[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1998 Edition]
[From the U.S. Government Printing Office]


[[Page i]]

          32



          National Defense



          PARTS 400 TO 629

                         Revised as of July 1, 1998

          CONTAINING
          A CODIFICATION OF DOCUMENTS
          OF GENERAL APPLICABILITY
          AND FUTURE EFFECT
          AS OF JULY 1, 1998

          With Ancillaries
          Published by
          the Office of the Federal Register
          National Archives and Records
          Administration
          as a Special Edition of
          the Federal Register



[[Page ii]]

                                     




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 1998



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 32:
      Subtitle A--Department of Defense (Continued):
    Chapter V--Department of the Army.........................       5
  Finding Aids:
    Table of CFR Titles and Chapters..........................     691
    Alphabetical List of Agencies Appearing in the CFR........     709
    List of CFR Sections Affected.............................     719



[[Page iv]]


      


------------------------------------------------------------------

   Cite this Code:  CFR

   To cite the regulations in this volume use title, part and
   section number. Thus,  32 CFR 501.1 refers to title 32, part
   501, section 1.

------------------------------------------------------------------


[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 1998), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I), and Acts Requiring Publication 
in the Federal Register (Table II). A list of CFR titles, chapters, and 
parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
[email protected].

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Weekly Compilation 
of Presidential Documents and the Privacy Act Compilation are available 
in electronic format at www.access.gpo.gov/nara (``GPO Access''). For 
more information, contact Electronic Information Dissemination Services, 
U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 
(toll-free). E-mail, [email protected].

[[Page vii]]

    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 1998.



[[Page ix]]



                               THIS TITLE

    Title 32--National Defense is composed of six volumes. The parts in 
these volumes are arranged in the following order: parts 1-190, parts 
191-399, parts 400-629, parts 630-699, parts 700-799, and part 800 to 
end. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 1998.

    The current regulations issued by the Department of Defense appear 
in the volumes containing parts 1-190 and parts 191-399; those issued by 
the Department of the Army appear in the volumes containing parts 400-
629 and parts 630-699; those issued by the Department of the Navy appear 
in the volume containing parts 700-799, and those issued by the 
Department of the Air Force, Defense Logistics Agency, Selective Service 
System, Central Intelligence Agency, Information Security Oversight 
Office, National Security Council, Office of Science and Technology 
Policy, Office for Micronesian Status Negotiations, Office of the Vice 
President of the United States, and Presidential Commission on the 
Assignment of Women in the Armed Forces appear in the volume containing 
part 800 to end.

    For this volume, Melanie L. Marcec was Chief Editor. The Code of 
Federal Regulations is published under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.





[[Page 1]]


                       TITLE 32--NATIONAL DEFENSE





                  (This book contains parts 400 to 629)

  --------------------------------------------------------------------
                                                                    Part

             SUBTITLE A--Department of Defense (Continued):

Chapter v--Department of the Army...........................         501


Cross References: American Battle Monuments Commission: See Parks, 
  Forests, and Public Property, 36 CFR, chapter IV.


  Department of Veterans Affairs: See Pensions, Bonuses, and Veterans' 
Relief, 38 CFR, chapter I.


  Federal Acquisition Regulations System, 48 CFR.

[[Page 3]]

                        Subtitle A--Department of

                           Defense (Continued)

  --------------------------------------------------------------------


[[Page 5]]



                    CHAPTER V--DEPARTMENT OF THE ARMY




                           (Parts 400 to 629)

  --------------------------------------------------------------------

       SUBCHAPTER A--AID OF CIVIL AUTHORITIES AND PUBLIC RELATIONS
Part                                                                Page
400-500

[Reserved]

501             Employment of troops in aid of civil 
                    authorities.............................           7
502             Relief assistance...........................           9
503             Apprehension and restraint..................          15
504             Obtaining information from financial 
                    institutions............................          17
505             The Army privacy program....................          26
507             Manufacture and sale of decorations, medals, 
                    badges, insignia, commercial use of 
                    heraldic designs and Heraldic Quality 
                    Control Program.........................          61
508             Competition with civilian bands.............          67
510             Chaplains...................................          67
513             Indebtedness of military personnel..........          68
516             Litigation..................................          78
518             The Army Freedom of Information Act Program.         135
519             Publication of rules affecting the public...         196
525             Entry authorization regulation for Kwajalein 
                    Missile Range...........................         201
527             Personal check cashing control and abuse 
                    prevention..............................         208
                    SUBCHAPTER B--CLAIMS AND ACCOUNTS
534             Military court fees.........................         227
536             Claims against the United States............         231
537             Claims on behalf of the United States.......         267
538             Military payment certificates...............         275
                    SUBCHAPTER C--MILITARY EDUCATION
542             Schools and colleges........................         279
543-544

[Reserved]

       SUBCHAPTER D--MILITARY RESERVATIONS AND NATIONAL CEMETERIES
552             Regulations affecting military reservations.         282

[[Page 6]]

553             Army National cemeteries....................         343
555             Corps of Engineers, research and 
                    development, laboratory research and 
                    development and tests, work for others..         355
556             Private organizations on Department of the 
                    Army installations......................         360
                    SUBCHAPTER E--ORGANIZED RESERVES
562             Reserve Officers' Training Corps............         375
564             National Guard regulations..................         378
                         SUBCHAPTER F--PERSONNEL
571             Recruiting and enlistments..................         386
574             United States Soldiers' and Airmen's Home...         392
575             Admission to the United States Military 
                    Academy.................................         394
578             Decorations, medals, ribbons, and similar 
                    devices.................................         397
581             Personnel review board......................         447
583

Former personnel [Reserved]

584             Family support, child custody, and paternity         458
588             Equal employment opportunity discrimination 
                    complaints..............................         477
589             Compliance with court orders by personnel 
                    and command sponsored family members....         541
                        SUBCHAPTER G--PROCUREMENT
619             Program for qualifying DoD freight motor 
                    carriers, exempt surface freight 
                    forwarders, and shipper agents..........         544
                  SUBCHAPTER H--SUPPLIES AND EQUIPMENT
621             Loan and sale of property...................         573
623             Loan of Army materiel.......................         584
625             Surface transportation--administrative 
                    vehicle management......................         626
626             Biological Defense Safety Program...........         627
627             The Biological Defense Safety Program, 
                    technical safety requirements (DA 
                    Pamphlet 385-69)........................         639

  Editorial Note: Other regulations issued by the Department of the Army 
appear in title 33, chapter II; and title 36, chapter III.


Abbreviations:
    The following abbreviations are used in this chapter: AGCT=Army 
  General Classification Test. AGO=Adjutant General's Office. APP=Army 
  Procurement Procedure. AR=Army Regulations. ASPR=Armed Services 
  Procurement Regulations. ATC=Air Transport Command. A. W.=Articles of 
  War. AWOL=Absent Without Leave. Comp. Gen.=Comptroller General. 
  OCF=Office, Chief of Finance. ROTC=Reserve Officer's Training Corps. 
  ZI=Zone of Interior.

[[Page 7]]



       SUBCHAPTER A--AID OF CIVIL AUTHORITIES AND PUBLIC RELATIONS





PARTS 400-500 [RESERVED]






PART 501--EMPLOYMENT OF TROOPS IN AID OF CIVIL AUTHORITIES--Table of Contents




Sec.
501.1  Basic policies.
501.2  Emergency.
501.3  Command authority.
501.4  Martial law.
501.5  Protection of Federal property.
501.6  End of commitment.
501.7  Loan of military resources to civil authorities.

    Authority: Secs. 331, 332, 333, and 3012, 70A Stat. 15, 157; 10 
U.S.C. 331, 332, 333, 3012.

    Source: 34 FR 14126, Sept. 6, 1969, unless otherwise noted.



Sec. 501.1  Basic policies.

    (a) The protection of life and property and the maintenance of law 
and order within the territorial jurisdiction of any State are the 
primary responsibility of State and local civil authorities. Generally, 
Federal Armed Forces are committed after State and local civil 
authorities have utilized all of their own forces and are unable to 
control the situation, or when the situation is beyond the capabilities 
of State or local civil authorities, or when State and local civil 
authorities will not take appropriate action. Commitment of Federal 
Armed Forces will take place only--
    (1) Under the provisions of this part, and
    (2) When the Secretary of the Army, pursuant to the orders and 
policies of the Secretary of Defense and the President, has generally or 
specifically so ordered, except in cases of emergency (Sec. 501.2).
    (b) The Secretary of the Army has been designated as the Executive 
Agent for the Department of Defense in all matters pertaining to the 
planning for, and deployment and employment of military resources in the 
event of civil disturbances. The Department of the Army is responsible 
for coordinating the functions of all the Military Services in this 
activity for the Executive Agent. The Secretaries of the other Military 
Services are responsible for providing such assistance as may be 
requested by the Executive Agent.
    (c) Persons not normally subject to military law taken into custody 
by the military forces incident to the use of Armed Forces, as 
contemplated by this part, will be turned over, as soon as possible, to 
the civil authorities. The Army will not operate temporary confinement/
detention facilities unless local facilities under the control of city, 
county, and State governments and the U.S. Department of Justice cannot 
accommodate the number of persons apprehended or detained. Further, this 
authority may be exercised only in the event Federal Armed Forces have 
been committed under the provisions of this part and only with the prior 
approval of the Department of the Army. When the requirement exists for 
the Army to operate such facilities, the provisions of Army confinement 
regulations will apply to the maximum extent feasible under the 
circumstances.
    (d) Whenever military aid is requested by civil authorities in the 
event of civil disturbances within the States of Alaska, or Hawaii, the 
Commonwealth of Puerto Rico, or U.S. possessions and territories, the 
commander of the unified command concerned coordinates the provision of 
such aid.
    (e) Units and members of the Army Reserve on active duty may be 
employed in civil disturbance operations in the same manner as active 
forces. Units and members of the Army Reserve may be ordered to active 
duty for this purpose by the President as provided by law. Members of 
the Army Reserve, with their consent, may be ordered to active duty for 
civil disturbance operations under the provisions of 10 U.S.C. 672.



Sec. 501.2  Emergency.

    (a) In cases of sudden and unexpected invasion or civil disturbance, 
including

[[Page 8]]

civil disturbances incident to earthquake, fire, flood, or other public 
calamity endangering life or Federal property or disrupting Federal 
functions or the normal processes of Government, or other equivalent 
emergency so imminent as to make it dangerous to await instructions from 
the Department of the Army requested through the speediest means of 
communications available, an officer of the Active Army in command of 
troops may take such action, before the receipt of instructions, as the 
circumstances of the case reasonably justify. However, in view of the 
availability of rapid communications capabilities, it is unlikely that 
action under this authority would be justified without prior Department 
of the Army approval while communications facilities are operating. Such 
action, without prior authorization, of necessity may be prompt and 
vigorous, but should be designed for the preservation of law and order 
and the protection of life and property until such time as instructions 
from higher authority have been received, rather than as an assumption 
of functions normally performed by the civil authorities.
    (b) Emergency firefighting assistance may be provided pursuant to 
agreements with local authorities; emergency explosive ordnance disposal 
service may be provided in accordance with paragraph 18, AR 75-15.



Sec. 501.3  Command authority.

    (a) In the enforcement of the laws, Federal Armed Forces are 
employed as a part of the military power of the United States and act 
under the orders of the President as Commander in Chief. When commitment 
of Federal Armed Forces has taken place, the duly designated military 
commander at the objective area will act to the extent necessary to 
accomplish his mission. In the accomplishment of his mission, reasonable 
necessity is the measure of his authority, subject of course, to 
instructions he may receive from his superiors.
    (b) Federal Armed Forces committed in aid of the civil authorities 
will be under the command of, and directly responsible to, their 
military and civilian superiors through the Department of the Army chain 
of command. They will not be placed under the command of an officer of 
the State Defense Forces or of the National Guard not in the Federal 
service, or of any local or State civil official; any unlawful or 
unauthorized act on the part of such troops would not be excusable on 
the ground that it was the result of an order received from any such 
officer or official. As directed by the Army Chief of Staff, military 
commanders will be responsive to authorized Federal civil officials.



Sec. 501.4  Martial law.

    It is unlikely that situations requiring the commitment of Federal 
Armed Forces will necessitate the declaration of martial law. When 
Federal Armed Forces are committed in the event of civil disturbances, 
their proper role is to support, not supplant, civil authority. Martial 
law depends for its justification upon public necessity. Necessity gives 
rise to its creation; necessity justifies its exercise; and necessity 
limits its duration. The extent of the military force used and the 
actual measures taken, consequently, will depend upon the actual threat 
to order and public safety which exists at the time. In most instances 
the decision to impose martial law is made by the President, who 
normally announces his decision by a proclamation, which usually 
contains his instructions concerning its exercise and any limitations 
thereon. However, the decision to impose martial law may be made by the 
local commander on the spot, if the circumstances demand immediate 
action, and time and available communications facilities do not permit 
obtaining prior approval from higher authority (Sec. 501.2). Whether or 
not a proclamation exists, it is incumbent upon commanders concerned to 
weigh every proposed action against the threat to public order and 
safety it is designed to meet, in order that the necessity therefor may 
be ascertained. When Federal Armed Forces have been committed in an 
objective area in a martial law situation, the population of the 
affected area will be informed of the rules of conduct and other 
restrictive measures the military is authorized to enforce. These will 
normally be announced by

[[Page 9]]

proclamation or order and will be given the widest possible publicity by 
all available media. Federal Armed Forces ordinarily will exercise 
police powers previously inoperative in the affected area, restore and 
maintain order, insure the essential mechanics of distribution, 
transportation, and communication, and initiate necessary relief 
measures.



Sec. 501.5  Protection of Federal property.

    The right of the United States to protect Federal property or 
functions by intervention with Federal Armed Forces is an accepted 
principle of our Government. This form of intervention is warranted only 
where the need for protection exists and the local civil authorities 
cannot or will not give adequate protection. This right is exercised by 
executive authority and extends to all Federal property and functions.



Sec. 501.6  End of commitment.

    The use of Federal Armed Forces for civil disturbance operations 
should end as soon as the necessity therefor ceases and the normal civil 
processes can be restored. Determination of the end of the necessity 
will be made by the Department of the Army.



Sec. 501.7  Loan of military resources to civil authorities.

    (a) The Department of the Army in certain limited situations can 
lend military equipment to civil law enforcement authorities in the 
event of civil disturbances. Such loans of equipment are limited to 
those necessary to meet an urgent need during an actual civil 
disturbance (except as provided in paragraph (b) of this section) and 
the loans are considered to be a temporary emergency action. Civil law 
enforcement authorities are to be encouraged to procure their own 
equipment for police use since, even though requests are handled 
expeditiously, normally some time will elapse before the military 
equipment can be in the hands of the civil law enforcement authorities. 
Law enforcement authorities are to be cautioned not to rely on the loan 
of military equipment in the event of a civil disturbance in their 
locality because the availability of military equipment for civilian use 
is contingent upon military requirements for the Department of the Army 
resources.
    (b) A loan agreement will be executed with the civil authority in 
each case. The agreement will indicate that the property may be retained 
by the civil authorities only for the duration of the civil disturbance, 
but for not more than 15 days; however, should the civil disturbance 
exceed 15 days the approving authority may extend the agreement for 
another 15-day period. It is recognized that there is often a 
substantial leadtime before equipment procured by civil law enforcement 
authorities will be delivered to them. For this reason loans of 
equipment beyond the 15-day limit are authorized when a request is made 
in anticipation of imminent threatened civil disturbance and the civil 
authority requesting the loan has initiated procurement action for 
equipment substantially similar to the military property requested. 
Loans may be approved for terms of up to 90 days pending delivery to the 
civil authority of its own equipment and renewed by the approving 
authority for another 90-day period if necessary.
    (c) Each loan agreement will contain provisions for a cash bond, 
performance bond, or the equivalent equal to the value of the loaned 
equipment, as a condition to making the loan; waiver of the requirement 
to post bond will be approved only by the Department of the Army. With 
the prior concurrence of the Department of the Army, the bond will be 
forfeited in the event the equipment is not returned at the time 
specified. However, the forfeiture of the bond will not constitute a 
sale of the equipment, and the borrower will not be relieved of his 
obligation to return the loaned equipment. Loan agreements will clearly 
state the expenses and obligations assumed by the civil authority.



PART 502--RELIEF ASSISTANCE--Table of Contents




                             Disaster Relief

Sec.
502.1  Purpose and applicability.
502.2  Definitions.
502.3  Provisions of disaster relief legislation and Executive orders 
          and other authorities.

[[Page 10]]

502.4  Department of Defense policies and delegation of authority.
502.5  Department of the Army policies and designation of 
          responsibilities.

                            Relief Shipments

502.11  Commercial freight shipments of supplies by voluntary non-profit 
          relief agencies.

    Authority: Sec. 3012, 70A Stat. 157; 10 U.S.C. 3012.

    Source: 31 FR 7966, June 4, 1966, unless otherwise noted.

                             Disaster Relief



Sec. 502.1  Purpose and applicability.

    (a) Sections 502.1 through 502.5 contain Department of the Army 
policy and responsibilities for operations involving participation in 
natural disaster relief activities.
    (b) Sections 502.1 through 502.5 are applicable in the 48 contiguous 
States and the District of Columbia, and where not in conflict with 
public law or other proper authority, have equal application to Alaska, 
Hawaii, Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Trust Territory of the Pacific Islands. Within the latter areas, the 
commander of the unified command concerned is responsible for emergency 
employment of military resources in disaster relief.
    (c) Policy and guidance for related type emergencies involving 
employment of Army resources are contained in AR 600-50 (Civil 
Disturbances), AR 500-70 (Civil Defense), and AR 420-90 (Fire Prevention 
and Protection).
    (d) The provisions of Secs. 502.1 through 502.5 apply generally 
except as otherwise covered in directives of Chief of Engineers 
pertinent to the Civil Works Program.



Sec. 502.2  Definitions.

    For the purpose of Secs. 502.1 through 502.5 the following 
definitions apply:
    (a) Natural disaster. All domestic emergencies except those created 
as a result of enemy attack or civil disturbance.
    (b) Major disaster. Any disaster caused by flood, drought, fire, 
earthquake, storm, hurricane, or other catastrophe, which in the 
determination of the President, is or threatens to be, of such severity 
and magnitude as to warrant disaster assistance by the Federal 
Government under the provisions of Pub. L. 875 (see Sec. 502.3(a)) to 
supplement the efforts and available resources of State and local 
governments in alleviating the damage, hardship or suffering caused 
thereby.
    (c) Imminent seriousness. An emergency condition of immediate 
urgency in which it would be dangerous to delay necessary action by 
waiting for instructions from higher authority despite the fact such 
instructions are requested through command channels by the most 
expeditious means of communication available.
    (d) Military resources. Includes personnel, equipment, and supplies 
of Department of Defense agencies including the Army, Navy, Air Force, 
Marine Corps, and Defense Supply Agency.
    (e) State. Includes any State in the United States, the District of 
Columbia, Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Trust Territory of the Pacific Islands.
    (f) Local government. Includes any county, city, village, town, 
district, or other political subdivision of any State, or the District 
of Columbia.
    (g) Federal agency. Includes any departmental, independent 
establishment, government corporation, or other agency of the executive 
branch of the Federal Government, excepting, however, the American 
National Red Cross.
    (h) Office of Emergency Planning (OEP). The Federal Executive agency 
in the Executive Office of the President responsible for coordinating 
Federal assistance for major disasters in behalf of the President.
    (i) Office of Civil Defense (OCD). The office under the Secretary of 
the Army responsible for plans and preparations for civil defense.
    (j) American National Red Cross (ANRC). The national organization of 
the Red Cross organized to undertake activities for the relief of 
persons suffering from disaster as stated in section 3 of the Act of 
January 5, 1905, chapter 23, as amended (36 U.S.C. 3), entitled ``An Act 
To Incorporate the American National Red Cross.''
    (k) DOD components. Army, Navy, Air Force, Marine Corps, Defense 
Supply

[[Page 11]]

Agency, and other Department of Defense agencies.



Sec. 502.3  Provisions of disaster relief legislation and Executive orders and other authorities.

    The following guidelines are pertinent to disaster relief action.
    (a) Public Law 875, 81st Congress, as amended, 42 U.S.C. 1855-1855g 
(Federal Disaster Act of 30 September 1950), hereinafter referred to as 
Pub. L. 875, which provides for supplementary Federal assistance to 
State and local governments in major disasters, and for other purposes.
    (b) Executive Order 10427 dated January 16, 1953, as amended, which 
delegates to the Director, OEP the authority to direct and coordinate 
other Federal agencies in rendering assistance to State and local 
governments under provisions of Pub. L. 875.
    (c) Executive Order 10737, dated October 29, 1957, which amends 
Executive Order 10427 to include authority for the reimbursement of any 
Federal agency, subject to the concurrence of the Director of the Bureau 
of the Budget, for authorized expenditures for funds allocated by the 
President for use in assistance to a specific State.
    (d) Executive Order 11051 dated September 27, 1962, which 
specifically prescribes the responsibility of the Director, OEP as set 
forth in Executive Orders 10427 and 10737.
    (e) Federal assistance is authorized under provisions of Pub. L. 875 
only after the President has declared the specific disaster as defined 
in the Act. Such declaration is made after a request for Federal 
assistance by the Governor of the State (or the Board of Commissioners 
of the District of Columbia), through the appropriate OEP Regional 
Office Director.
    (f) Section 5 of the Act of August 18, 1941, ch. 377, as amended, 33 
U.S.C. 701n; is commonly known and hereinafter referred to as Public Law 
99 (Pub. L. 99). It provides basic guidance for the applicable emergency 
activities of the Corps of Engineers. The law provides discretionary 
authority for expenditures for flood emergency preparation; flood 
fighting and rescue operations, and emergency repair or restoration of 
flood control works and Federal shore protection or hurricane flood 
protection works. Administration of Pub. L. 99 is under the direction of 
the Secretary of the Army and the supervision of the Chief of Engineers. 
No declaration of a major disaster is required.
    (g) Existing statutes and Executive orders do not in any way limit 
Federal agencies from taking necessary action in accordance with 
existing policy and statutory authority in the event of a disaster which 
will not brook delay in the commencement of Federal assistance or other 
Federal action and/or pending the designation by the President of a 
major disaster.
    (h) The American National Red Cross is charged in accordance with 
its Charter, with continuing a system of national and international 
relief with voluntary service and financing, which in effect supports 
official disaster relief action.



Sec. 502.4  Department of Defense policies and delegation of authority.

    (a) Responsibility for alleviating disaster conditions rests 
primarily with individuals, families, private industry, local and State 
governments, the American National Red Cross, and those Federal agencies 
having special statutory responsibilities.
    (b) DOD components are authorized to assist civilian authorities as 
necessary or as directed by competent authority.
    (c) Where the disaster is of such imminent seriousness that delay in 
awaiting instructions from higher authority is unwarranted, a military 
commander will take such action as may be required and justified under 
the circumstances to save human life, prevent immediate human suffering, 
or mitigate major property damage or destruction. The commander will 
immediately report to higher authority the action taken and request 
appropriate guidance.
    (d) DOD components have been directed to develop, as appropriate, 
contingency plans for major disaster operations and insure that these 
are coordinated with appropriate civil authorities at State and local 
level.

[[Page 12]]

    (e) DOD components overseas will participate in foreign disaster 
relief operations as directed by unified commanders.
    (f) The Department of the Army has been directed to assume 
responsibility for military support in disasters within the continental 
United States (48 contiguous States and the District of Columbia). This 
includes responsibility for effective utilization, coordination, and 
control of resources made available by the Department of the Navy, the 
Department of the Air Force, and other DOD components as appropriate.
    (g) The Department of the Navy has been directed to coordinate with 
the Department of the Army in planning and supporting civil authorities 
in disaster relief operations.
    (h) The Department of the Air Force has been directed to coordinate 
with the Department of the Army in planning and supporting civil 
authorities in disaster relief operations including activities of the 
Civil Air Patrol.
    (i) The Joint Chiefs of Staff have been directed to issue 
instructions to appropriate unified commanders to insure proper planning 
and use of military resources for disaster relief operations in Alaska, 
Hawaii, Puerto Rico, the Virgin Islands, American Samoa, Guam, and the 
Trust Territory of the Pacific Islands.



Sec. 502.5  Department of the Army policies and designation of responsibilities.

    (a) Military commanders will conduct relief operations in the event 
of emergency as described in Sec. 502.4(c), or when directed by higher 
military authority or by direction of OEP under Pub. L. 875.
    (b) Use of military resources and other military participation in 
disaster relief will be on a minimum essential basis and terminated at 
the earliest practicable time. Military assistance in rehabilitation 
following a disaster is not authorized, except as directed by the OEP, 
or in support of emergency operations conducted by the Corps of 
Engineers as authorized by law.
    (c) Federal troops used in disaster relief activities will be under 
command of, and directly responsible to, their military superiors.
    (d) National Guard forces, if not in active Federal service, will 
remain under control of the State governor and will be considered part 
of the local resources available to civil authorities. Federally owned 
National Guard equipment may accompany a unit when ordered into disaster 
relief operations by a governor.
    (e) The Commanding General, U.S. Continental Army Command (CG 
USCONARC) is delegated responsibility for the conduct of Army support 
activities. Specifically he--
    (1) Is, under the provisions of Secs. 502.1 through 502.5, assigned 
responsibility for the conduct of military disaster relief in the 48 
contiguous States and the District of Columbia.
    (2) Will be prepared to conduct disaster relief operations as 
appropriate in Mexico or Canada upon direction of the Department of the 
Army.
    (3) Will coordinate and insure establishment of joint control of the 
disaster relief efforts of all DOD components. In local disasters not 
warranting a declaration of a major disaster, local civil authorities 
can be expected to make appeals for assistance direct to installations 
or activities other than those operated by the Department of the Army.
    (4) Will report to the Deputy Chief of Staff for Military Operations 
by the fastest electrical means when resources of DOD components are 
committed to disaster relief or when disaster conditions prevail that 
make commitment of DOD resources imminent.
    (5) Will, as appropriate, furnish available personnel and resources 
to District and Division Engineers of the Corps of Engineers prosecuting 
a flood fight under provisions of Pub. L. 99, or acting in response to a 
disaster relief directive from OEP under provisions of Pub. L. 875.
    (6) Will establish and maintain liaison with the Directors of OEP 
and OCD, the American National Red Cross, and such other Federal, State, 
and local governmental agencies as are necessary to discharge 
responsibilities under Secs. 502.1 through 502.5.
    (7) Has full authority to approve or disapprove personal requests 
for military assistance made by a State governor or a member of 
Congress. This

[[Page 13]]

authority will not be delegated lower than ZI army commanders. 
Information on such requests and action taken will be furnished to 
Deputy Chief of Staff for Military Operations, Department of the Army, 
Washington, DC, 20310.
    (8) Will insure that ZI army commanders have an effective natural 
disaster information plan for use in the event of military operations. 
The plan should provide for early dispatch of information personnel to 
the scene.
    (f) ZI army commanders are specifically charged, under the overall 
direction of CG USCONARC, with supporting disaster relief operations, 
and they--
    (1) Will establish and maintain, as appropriate, liaison with 
Regional Directors, OEP and OCD, area offices of the American National 
Red Cross and other Federal, State, and local governmental agencies.
    (2) Will establish and maintain, as necessary, working relationships 
with appropriate DOD component headquarters, class II installations and 
Division/District Engineers to insure coordination of the overall 
military disaster relief effort within the Army area and will secure 
necessary information from such installations as required for reports.
    (3) Will assume control of resources made available by class II 
installations and activities for disaster assistance. If class II 
installation or activity resources are required but have not been made 
available by the activity commander, the ZI army commander will forward 
a request with justification through command channels to the Deputy 
Chief of Staff for Military Operations, Department of the Army. In those 
cases where commanders are unable to communicate with Headquarters, 
Department of the Army, and where in the opinion of the ZI army 
commander concerned, the extreme emergency warrants the temporary use of 
such resources, he will direct their use and report this action through 
command channels to the Deputy Chief of Staff for Military Operations.
    (4) Will, upon request, make resources available to District and 
Division Engineers performing a flood fight under provisions of Pub. L. 
99 and/or support the Corps of Engineers response to directive from OEP 
under provisions of Pub. L. 875.
    (5) Will coordinate the military relief effort with assistance 
provided by the Corps of Engineers under statutory authorities of the 
Chief of Engineers or as directed by the OEP under Pub. L. 875.
    (g) Class II installation and activity commanders are responsible 
for supporting disaster relief efforts under the provisions of 
Secs. 502.1 through 502.5, and they--
    (1) Will take action in local disasters of imminent seriousness as 
appropriate. Such action will be reported concurrently to his 
headquarters and to the respective ZI army commander.
    (2) Will, upon the request of the ZI army commander, designate those 
resources under their control which can be made immediately available 
for disaster relief operations. Only such resources will be placed under 
the operational control of the ZI army commander or Division/District 
Engineer conducting relief operations.
    (h) The Chief of Engineers is responsible for the provision of 
disaster assistance by applicable Division and District Engineers when 
required by disaster of imminent seriousness and as authorized by 
statutory authorities or as directed by the OEP under Pub. L. 875. He 
will--
    (1) Insure that Division and District Engineers establish and 
maintain appropriate liaison with ZI army commanders, regional Directors 
of OCD and OEP, the American National Red Cross, and other Federal, 
State and local governmental agencies as necessary to discharge assigned 
responsibilities.
    (2) Furnish the ZI army commanders concerned all pertinent 
information on floods or other natural disas- ters including activities 
undertaken by the Corps of Engineers. Information furnished will be by 
the fastest electrical means and consistent with reporting requirements 
placed on ZI army commanders.
    (3) Insure that Engineers preplanned procedures for disaster 
operations are coordinated among Division/District Engineers and the ZI 
army commanders, and include provisions covering flood emergencies.

[[Page 14]]

                            Relief Shipments



Sec. 502.11  Commercial freight shipments of supplies by voluntary non-profit relief agencies.

    (a) Scope of section. Provided in this section are the rules under 
which the Department of the Army, in order to further the efficient use 
of United States voluntary contributions for relief in the foreign 
country hereinafter named, will pay ocean freight charges from United 
States ports to designated foreign ports of entry on supplies donated to 
or purchased by United States voluntary nonprofit relief agencies 
registered with and recommended by the Advisory Committee on Voluntary 
Foreign Aid (called ``the Committee'' in this section), for distribution 
in the Ryukyu Islands.
    (b) Agencies within scope of this section. Any United States 
voluntary nonprofit relief agency may make application to the Chief of 
Civil Affairs, Department of the Army, Washington, DC 20310, for 
reimbursement of ocean freight charges on shipments of supplies donated 
to or purchased by it for distribution within the foreign country listed 
in paragraph (a) of this section, Provided:
    (1) The agency is registered with and recommended by the Committee 
to the Department of the Army;
    (2) The supplies are within the general program and projects of the 
agency as previously submitted to and approved by the Committee, and are 
essential in support of such programs and projects;
    (3) The agency's representatives to whom the supplies are consigned 
for distribution abroad are acceptable to the Committee;
    (4) The Committee has notified the Department of the Army that:
    (i) The agency is not engaged in commercial or political activities;
    (ii) Contributions to the agency are eligible for tax exemption 
under income tax laws;
    (iii) The agency is directed by an active and responsible board of 
American citizens who serve without compensation;
    (iv) The accounts of the agency are regularly audited by a certified 
public accountant;
    (v) The agency currently reports its activities and operations to 
the Committee including its budget and reports of income and 
expenditures, its transfer of funds, and its exports of commodities and 
such other information as the Committee may deem necessary, and such 
reports are open for public inspection;
    (vi) The general program and projects by countries of operation of 
the agency have been approved by the Committee to permit the 
coordination of private agency programs with each other and with the 
programs of the Department of the Army in the Ryukyu Islands;
    (vii) The Government of the country in which the supplies are 
distributed affords appropriate facilities for the necessary and 
economic operation of the agency's general program and projects;
    (viii) The supplies are free of customs duties, other duties, tolls, 
and taxes;
    (ix) The agency has assumed responsibility for noncommercial 
distribution of the supplies free of cost to the person or persons 
ultimately receiving them and distribution of the supplies is supervised 
by United States citizens, and such operations are appropriately 
identified as to their American character.
    (c) Manner of payment of ocean freight charges. (1) The Department 
of the Army will reimburse agencies qualified under this section, to the 
extent of ocean freight charges paid by them for shipments made in 
conformity with this section: Provided, That application for such 
reimbursement on shipments must be submitted to the Department within 
thirty days of date of shipment, together with receipted invoices for 
such charges, supported by ocean bills of lading, showing that such 
charges are limited to the actual cost of transportation of the supplies 
from end of ship's tackle at the United States port of loading to end of 
ship's tackle at port of discharge, correctly assessed at the time of 
loading by the carrier for freight on a weight, measurement or unit 
basis, and free of any other charges.
    (2) The voluntary non-profit relief agencies which qualify under 
this section may apply to the Office of the Chief of Civil Affairs, 
Department of

[[Page 15]]

the Army, Washington, DC 20310, for authorization to make shipments via 
Military Sea Transportation Service vessels, in conformity with this 
section. Upon approval of the request, the Chief of Civil Affairs will 
issue a Department of Army Approved Part Program authorizing shipment 
from a designated Port of Embarkation to end of ship's tackle at port of 
discharge, and including fund citation for reimbursement of Chief of 
Transportation. All costs of inland transportation are to be borne by 
the voluntary agencies.
    (d) Refund by agencies. Any agency reimbursed under this section 
will refund promptly to the Department of the Army upon demand the 
entire amount reimbursed (or such lessor amount as the Department may 
demand) whenever it is determined that the reimbursement was improper as 
being in violation of any of the provisions of the Foreign Assistance 
Act of 1948, any acts amendatory thereof or supplemental thereto, any 
relevant appropriation acts, or any rules, regulations or procedures of 
the Department of the Army.
    (e) Saving clause. The Secretary of the Army may waive, withdraw, or 
amend at any time or from time to time any or all of the provisions of 
this section.


(Interpret or apply Title II, sec. 112, 75 Stat. 719, 22 U.S.C. 2366 
note)

[27 FR 177, Jan 6, 1962]



PART 503--APPREHENSION AND RESTRAINT--Table of Contents




Sec.
503.1  Persons not subject to military law.
503.2  Delivery to civil authorities.



Sec. 503.1  Persons not subject to military law.

    Persons not subject to military law may be apprehended or restrained 
by members of the Department of the Army, other than in foreign 
countries, as follows:
    (a) General. All members of the Department of the Army having the 
ordinary right and duty of citizens to assist in the maintenance of the 
peace. Where, therefore, a felony or a misdemeanor amounting to a breach 
of the peace is being committed in his presence, it is the right and 
duty of every member of the military service, as of every civilian, to 
apprehend the perpetrator.
    (b) Restraint. The restraint imposed under the provisions of 
paragraph (a) of this section will not exceed that reasonably necessary, 
nor extend beyond such time as may be required to dispose of the case by 
orderly transfer of custody to civil authority or otherwise, under the 
law.
    (c) Ejection. Persons not subject to military law who are found 
within the limits of military reservations in the act of committing a 
breach of regulations, not amounting to a felony or a breach of the 
peace, may be removed therefrom upon orders from the commanding officer 
and ordered by him not to reenter. For penalty imposed upon reentrance 
after ejection, see title 18, United States Code, section 1382.

(Sec. 3012, 70A Stat. 157; 10 U.S.C. 3012)

[28 FR 2732, Mar. 20, 1963]



Sec. 503.2  Delivery to civil authorities.

    (a) Authority. Any commanding officer exercising general court-
martial jurisdiction or commanding officer designated by him may, in 
accordance with the Uniform Code of Military Justice, Article 14 (10 
U.S.C. 814), authorize the delivery of a member of the Armed Forces 
under his command, when such member is accused of a crime or offense 
made punishable by the laws of the jurisdiction making the request, to 
the civil authorities of the United States, a State of the United 
States, or a political subdivision thereof under the conditions 
prescribed in this section.
    (b) Policy. The policy of the Department of the Army is that 
commanding officers will cooperate with civil authorities and, unless 
the best interests of the service will be prejudiced thereby, will 
deliver a member of the Armed Forces to such authorities upon 
presentation of a proper request accompanied by reliable information 
showing that there is reasonable cause to believe that the person 
requested has committed a crime or offense made punishable by the laws 
of the jurisdiction making the request. A person will not be

[[Page 16]]

shielded from a just prosecution by the civil authorities solely because 
of his status as a member of the Armed Forces. In determining whether a 
member of the Armed Forces should be delivered to the civil authorities, 
the commanding officer will exercise his sound discretion in the light 
of the facts and circumstances of each particular case. Among other 
pertinent matters, he should consider the seriousness of the offense 
charged, whether court-martial charges are pending against the alleged 
offender, whether he is serving a sentence imposed by court-martial, and 
whether, under the existing military situation, the best interest of the 
service warrant his retention in the Armed Forces. With respect to 
extradition process, military personnel may be considered to be in the 
same status as persons not members of the Armed Forces. It is contrary 
to the general policy of the Department of the Army to transfer military 
personnel from a station within one State to a station within another 
State for the purpose of making such individuals amenable to civilian 
legal proceedings. Accordingly, if the delivery of a member of the Army 
is requested by a State other than the State in which he is located, the 
authorities of the requesting State will be required to complete 
extradition process according to the prescribed procedures to obtain 
custody of an individual from the State in which he is located and to 
make arrangements to take him into custody there.
    (c) Requirements for delivery. There ordinarily will be required 
with each application by the civil authorities for the surrender of a 
member of the Armed Forces a copy of an indictment, presentment, 
information, or warrant, together with sufficient information to 
identify the person sought as the person who allegedly committed the 
offense charged and a statement of the maximum sentence which may be 
imposed upon conviction. If the request for delivery is based upon an 
indictment, presentment, or information, it will be assumed that there 
is reasonable cause to believe that the offense charged was committed by 
the person named therein. If the request for delivery is based upon a 
warrant, the commanding officer may cause an inquiry to be made to 
satisfy himself that reasonable cause exists for the issuance of the 
warrant; however, if a warrant is accompanied by the statement of a 
United States attorney or the prosecuting officer of a State of the 
United States or political subdivision thereof that a preliminary 
official investigation of the offense charged shows that there is 
reasonable cause to believe that the offense charged was committed by 
the person named therein, no further inquiry need be made.
    (d) Retaining custody pending request for delivery. If the 
commanding officer specified in paragraph (a) of this section is in 
receipt of a statement of a United States attorney or the prosecuting 
officer of a State of the United States or a political subdivision 
thereof that there is reasonable cause to believe that a member of the 
Armed Forces under his command has committed an offense punishable by 
the laws of the pertinent jurisdiction, the commanding officer may, upon 
the request of such civil official, agree to retain the alleged offender 
in his command for a reasonable period of time, not extending beyond the 
termination of his current enlistment or period of service, pending 
presentation of a request for delivery accompanied by the evidence 
indicated in paragraph (c) of this section.
    (e) Action by commanding officers. Commanding officers, other than 
those specified in paragraph (a) of this section, will refer such 
requests with their recommendation for disposition to the appropriate 
commanding officer, who, after determining the propriety of the request, 
will take the action indicated in this paragraph. If the commanding 
officer having authority to deliver denies a request for delivery of an 
offender to the civil authorities, he will immediately forward the 
request direct to The Judge Advocate General, together with his reasons 
for denying the request. In cases involving special circumstances, the 
commanding officer having authority to deliver may forward the request 
with his recommendation for disposition direct to The Judge Advocate 
General for advice before taking his action.
    (f) Procedure for executing delivery. When the commanding officer 
specified

[[Page 17]]

in paragraph (a) of this section authorizes the delivery of a person to 
the civil authorities, he will inform the appropriate requesting agency 
or official of the time and place of delivery. In addition, he will 
advise the requesting agency or official that delivery of the person 
will be made at no expense to the Department of the Army and with the 
understanding that the civil agency or official will advise the 
delivering commander of the outcome of the trial and, if the Army 
authorities desire to return the person, will deliver him to the place 
of original delivery or to an Army installation nearer the place of 
civil detention, as may be designated by the Army authorities, at no 
expense to the Department of the Army. A written receipt, in 
substantially the following form, should be executed by the official who 
takes delivery of the accused:

In consideration of the delivery of ------------ (Grade and name) ------
------, (Service number) ------------, United States Army, to the civil 
authorities of the: ------------, (United States) ------------, (State 
of) ------------, at ------------, (Place of delivery) for trial upon 
the charge of ------------, hereby agree, pursuant to the authority 
vested in me as ------------ (Official designation) that the commanding 
officer of ------------ (General court-martial jurisdiction) will be 
informed of the outcome of the trial and that ------------ will be 
returned to the Army authorities at the aforesaid place of delivery or 
to an Army installation nearer the place of civil detention, as may be 
designated by the authorities of the Department of the Army, without 
expense to such Department or to the person delivered, immediately upon 
dismissal of the charges or completion of the trial in the event he is 
acquitted, or immediately upon satisfying the sentence of the court in 
the event he is convicted and a sentence imposed, or upon other 
disposition of the case, unless the Army authorities shall have 
indicated that return is not desired.


The above agreement is substantially complied with when the civil agency 
or official advises the delivering commander of the outcome of the trial 
of the alleged offender and of his prospective release to the Army 
authorities, and the individual is furnished transportation and 
necessary cash to cover his incidental expenses en route to an 
installation designated by Army authorities.
    (g) Return to Army control. Upon being advised of the outcome of the 
trial or other disposition of the charges against the alleged offender, 
the commanding officer specified in paragraph (a) of this section will, 
if return is desired, inform the appropriate civil agency or official of 
the name and location of the Army installation to which such person is 
to be delivered. Either the place of original delivery or an 
installation nearer the place of civil detention of the offender may be 
designated in accordance with existing policies governing assignments 
and transfers of personnel.

(Sec. 3012, 70A Stat. 157; 10 U.S.C. 3012)

[28 FR 2732, Mar. 20, 1963]



PART 504--OBTAINING INFORMATION FROM FINANCIAL INSTITUTIONS--Table of Contents




Sec.
504.1  General.
504.2  Procedures.


Appendix A to Part 504--Request for Basic Identifying Account Data--
          Sample Format
Appendix B to Part 504--Customer Consent and Authorization for Access--
          Sample Format
Appendix C to Part 504--Certificate of Compliance With the Right to 
          Financial Privacy Act of 1978--Sample Format
Appendix D to Part 504--Formal Written Request for Access--Sample Format
Appendix E to Part 504--Customer Notice of Formal Written Request--
          Sample Format

    Authority: 12 U.S.C. 3401 et seq., Pub. L. 95-630, unless otherwise 
noted.

    Source: 46 FR 60195, Dec. 9, 1981, unless otherwise noted.



Sec. 504.1  General.

    (a) Purpose. This regulation provides DA policies, procedures, and 
restrictions governing access to and disclosure of financial records 
maintained by financial institutions during the conduct of Army 
investigations or inquiries.
    (b) Applicability and scope. (1) This regulation applies to all DA 
investigative activities conducted by the Active Army, the Army National 
Guard, and the US Army Reserve.

[[Page 18]]

    (2) The provisions of 12 U.S.C. 3401 et seq. do not govern obtaining 
access to financial records maintained by financial institutions located 
outside of the states or territories of the United States, Puerto Rico, 
the District of Columbia, Guam, American Samoa, or the Virgin Islands. 
The procedures outlined in Sec. 504.2(d)(4) will be followed in seeking 
access to financial information from these facilities.
    (3) This regulation applies only to financial records maintained by 
financial institutions as defined in Sec. 504.1(c)(1).
    (c) Explanation of terms. For purposes of this regulation, the 
following terms apply:
    (1) Financial institution. Any office of a--
    (i) Bank.
    (ii) Savings bank.
    (iii) Credit card issuer as defined in section 103 of the Consumers 
Credit Protection Act (15 U.S.C. 1602(n)).
    (iv) Industrial loan company.
    (v) Trust company.
    (vi) Savings and loan association.
    (vii) Building and loan association.
    (viii) Homestead association (including cooperative banks).
    (ix) Credit union.
    (x) Consumer finance institution.

This includes only those offices located in any State or territory of 
the United States, or in the District of Columbia, Puerto Rico, Guam, 
American Samoa, or the Virgin Islands.
    (xi) Military banking contractors located outside the States or 
territories of the United States or the District of Columbia, Puerto 
Rico, Guam, American Samoa, or the Virgin Islands.
    (2) Financial record. An original record, its copy, or information 
known to have been derived from the original record held by a financial 
institution, pertaining to a customer's relationship with the financial 
institution.
    (3) Person. An individual or partnership of five or fewer 
individuals. (Per DODD 5400.12.)
    (4) Customer. Any person or authorized representative of that 
person--
    (i) Who used or is using any service of a financial institution.
    (ii) For whom a financial institution is acting or has acted as a 
fiduciary for an account maintained in the name of that person.
    (5) Law enforcement inquiry. A lawful investigation or official 
proceeding that inquires into a violation of, or failure to comply with, 
a criminal or civil statute or any enabling regulation, rule, or order 
issued pursuant thereto.
    (6) Army law enforcement office. Any army element, agency, or unit 
authorized to conduct investigations under the Uniform Code of Military 
Justice or Army regulations. This broad definition of, Army law 
enforcement office includes military police, criminal investigation, 
inspector general, and military intelligence activities conducting 
investigations of violations of law or regulation.
    (7) Personnel security investigation. An investigation required to 
determine a person's eligibility for access to classified information, 
assignment or retention in sensitive duties, or other designated duties 
requiring such investigation. Personnel security investigation includes 
investigations of subversive affiliations, suitability information, or 
hostage situations conducted to make personnel security determinations. 
It also includes investigations of allegations that--
    (i) Arise after adjudicative action, and
    (ii) Require resolution to determine a person's current eligibility 
for access to classified information or assignment or retention in a 
sensitive position. Within DA, personnel security investigations are 
conducted by the Defense Investigative Service.
    (d) Policy--(1) Customer consent. It is DA policy to seek customer 
consent to obtain a customer's financial records from a financial 
institution unless doing so would compromise or harmfully delay a 
legitimate law enforcement inquiry. If the person declines to consent to 
disclosure, the alternative means of obtaining the records authorized by 
this regulation will be used. (See Sec. 504.2 (c) through (g).)
    (2) Access requests. Except as provided in paragraph (d)(3) of this 
section and Secs. 504.1(f)(1), 504.2(g) and 504.2(j), Army investigative 
elements may not have access to or obtain copies of the information in 
the financial records of any

[[Page 19]]

customer from a financial institution unless the financial records are 
reasonably described and the--
    (i) Customer has authorized such disclosure (Sec. 504.2(b));
    (ii) Financial records are disclosed in response to a search warrant 
which meets the requirements of Sec. 504.2(d);
    (iii) Financial records are disclosed in response to a judicial 
subpoena which meets the requirements of Sec. 504.2(e); or
    (iv) Financial records are disclosed in response to a formal written 
request which meets the requirements of Sec. 504.2(f).
    (3) Voluntary information. Nothing in this regulation will preclude 
any financial institution, or any officer, employee, or agent of a 
financial institution, from notifying an Army investigative element that 
such institution, or officer, employee or agent has information which 
may be relevant to a possible violation of any statute or regulation.
    (e) Authority. (1) Law enforcement offices are authorized to obtain 
records of financial institutions per this regulation, except as 
provided in Sec. 504.2(e).
    (2) The head of a law enforcement office, of field grade rank or 
higher (or an equivalent grade civilian official), is authorized to 
initiate requests for such records.
    (f) Exceptions and waivers. (1) A law enforcement office may issue a 
formal written request for basic identifying account information to a 
financial institution as part of a legitimate law enforcement inquiry. 
The request may be issued for any or all of the following identifying 
data:
    (i) Name.
    (ii) Address.
    (iii) Account number.
    (iv) Type of account of any customer or ascertainable group of 
customers associated with a financial transaction or class of financial 
transactions.
    (2) A request for disclosure of the above specified basic 
identifying data on a customer's account may be issued without complying 
with the customer notice, challenge, or transfer procedures described in 
Sec. 504.2. However, if access to the financial records themselves is 
required, the procedures in Sec. 504.2 must be followed. (A sample 
format for requesting basic identifying account data is in app. A.)
    (3) No exceptions or waivers will be granted for those portions of 
this regulation required by law. Submit requests for exceptions or 
waivers of other aspects of this regulation to HQDA(DAPE-HRE), WASH, DC 
20310.



Sec. 504.2  Procedures.

    (a) General. A law enforcement official seeking access to a person's 
financial records will, when feasible, obtain the customer's consent. 
This chapter also sets forth other authorized procedures for obtaining 
financial records if it is not feasible to obtain the customer's 
consent. Authorized procedures for obtaining financial records follow. 
All communications with a US Attorney or a US District Court, as 
required by this regulation, will be coordinated with the supporting 
staff judge advocate before dispatch.
    (b) Customer consent. (1) A law enforcement office or personnel 
security element may gain access to or a copy of a customer's financial 
records by obtaining the customer's consent and authorization in 
writing. (See app. B for a sample format.) Any consent obtained under 
the provisions of this paragraph must--
    (i) Be in writing, signed, and dated.
    (ii) Identify the particular financial records being disclosed.
    (iii) State that the customer may revoke the consent at any time 
before disclosure.
    (iv) Specify the purpose of disclosure and to which agency the 
records may be disclosed.
    (v) Authorize the disclosure for a period not over 3 months.
    (vi) Contain a ``Statement of Customer Rights Under the Right to 
Financial Privacy Act of 1978'' (app. B).
    (2) Any customer's consent not containing all of the elements listed 
in paragraph a of this section will not be valid.
    (3) A copy of the customer's consent will be made a part of the law 
enforcement inquiry file.
    (4) A certification of compliance with 12 U.S.C. 3401 et seq. (app. 
C), along with the customer's consent, will be provided to the financial 
institution as a

[[Page 20]]

prerequisite to obtaining access to the financial records.
    (5) The annual reporting requirements of Sec. 504.2(m) apply to 
requests made to a financial institution even with the customer's 
consent.
    (c) Administrative summons or subpoena. The Army has no authority to 
issue an administrative summons or subpoena for access to financial 
records.
    (d) Search warrant. (1) A law enforcement office may obtain 
financial records by using a search warrant obtained under Rule 41 of 
the Federal Rules of Criminal Procedure in appropriate cases.
    (2) No later than 90 days after the search warrant is served, unless 
a delay of notice is obtained under Sec. 504.2(i), a copy of the search 
warrant and the following notice must be mailed to the customer's last 
known address:

    Records or information concerning your transactions held by the 
financial institution named in the attached search warrant were obtained 
by this (office/agency/unit) on (date) for the following purpose: (state 
purpose). You may have rights under the Right to Financial Privacy Act 
of 1978.

    (3) Search authorization signed by installation commanders or 
military judges will not be used to gain access to financial records 
from financial institutions in any State or territory of the United 
States.
    (4) Access to financial records maintained by military banking 
contractors in oversea areas or by other financial institutions located 
on DOD installations outside the United States, Puerto Rico, the 
District of Columbia, Guam, American Samoa, or the Virgin Islands is 
preferably obtained by customer consent.
    (i) In cases where it would not be appropriate to obtain this 
consent or such consent is refused and the financial institution is not 
otherwise willing to provide access to its records, the law enforcement 
activity may seek access by use of a search authorization. This 
authorization must be prepared and issued per AR 27-10, Legal Services.
    (ii) Information obtained under this paragraph should be properly 
identified as financial information. It should be transferred only where 
an official need-to-know exists. Failure to do so, however, does not 
render the information inadmissable in courts-martial or other 
proceedings.
    (iii) Law enforcement activities seeking access to financial records 
maintained by all other financial institutions overseas will comply with 
local foreign statutes or procedures governing such access.
    (e) Judicial subpoena. Judicial subpoenas--
    (1) Are those subpoenas issued in connection with a pending judicial 
proceeding.
    (2) Include subpoenas issued under paragraph 115 of the Manual for 
Courts-Martial and Article 46 of the Uniform Code of Military Justice. 
The servicing staff judge advocate will be consulted on the availability 
and use of judicial subpoenas. The notice and challenge provisions of 12 
U.S.C. 3407 and 3410 will be followed.
    (f) Formal written request. (1) A law enforcement office may 
formally request financial records when the records are relevant to a 
legitimate law enforcement inquiry. This request may be issued only if--
    (i) The customer has declined to consent to the disclosure of his or 
her records, or
    (ii) Seeking consent from the customer would compromise or harmfully 
delay a legitimate law enforcement inquiry.
    (2) A formal written request will be in a format set forth in 
appendix D and will--
    (i) State that the request is issued under the Right to Financial 
Privacy Act of 1978 and this regulation.
    (ii) Described the specific records to be examined.
    (iii) State that access is sought in connection with a legitimate 
law enforcement inquiry.
    (iv) Describe the nature of the inquiry.
    (v) Be signed by the head of the law enforcement office or a 
designee (persons specified in Sec. 504.1(e)(2)).
    (3) At the same time or before a formal written request is issued to 
a financial institution, a copy of the request will be personally served 
upon or mailed to the customer's last known

[[Page 21]]

address unless a delay of customer notice has been obtained under 
Sec. 504.2(i). The notice to the customer will be--
    (i) In a format similar to appendix E.
    (ii) Personally served at least 14 days or mailed at least 18 days 
before the date on which access is sought.
    (4) The official who signs the customer notice is designated to 
receive any challenge from the customer.
    (5) The customer will have 14 days to challenge a notice request 
when personal service is made, and 18 days when service is by mail.
    (6) The head of the law enforcement office initiating the formal 
written request will set up procedures to insure that no access to 
financial records is attempted before expiration of the above time 
periods--
    (i) While awaiting receipt of a potential customer challenge, or
    (ii) While awaiting the filing of an application for an injunction 
by the customer.
    (7) Proper preparation of the formal written request and notice to 
the customer requires preparation of motion papers and a statement 
suitable for court filing by the customer. Accordingly, the law 
enforcement office intending to initiate a formal written request will 
coordinate preparation of the request, the notice, motion papers, and 
sworn statement with the supporting staff judge advocate. These 
documents are required by statute; their preparation cannot be waived.
    (8) The supporting staff judge advocate is responsible for liaison 
with the proper United States Attorney and United States District Court. 
The requesting official will coordinate with the supporting staff judge 
advocate to determine whether the customer has filed a motion to prevent 
disclosure of the financial records within the prescribed time limits.
    (9) The head of the law enforcement office (Sec. 504.2(f)(2)) will 
certify in writing (see app. C) to the financial institution that such 
office has complied with the requirements of 12 U.S.C. 3401 et seq.--
    (i) When a customer fails to file a challenge to access to financial 
records within the above time periods, or
    (ii) When a challenge is adjudicated in favor of the law enforcement 
office.

No access to any financial records will be made before such 
certification is given.
    (g) Emergency access. (1) In some cases, the requesting law 
enforcement office may determine that a delay in obtaining access would 
create an imminent danger of--
    (i) Physical injury to a person,
    (ii) Serious property damage, or
    (iii) Flight to avoid prosecution.

Section 504.2(g)(2)(3) provides for emergency access in such cases of 
imminent danger. (No other procedures in this regulation apply to such 
emergency access.)
    (2) When emergency access is made to financial records, the 
requesting official (Sec. 504.1(e)(2)) will--
    (i) Certify in writing (in a format similar to that in app. C) to 
the financial institution that the provisions of 12 U.S.C. 3401 et seq. 
have been complied with as a prerequisite to obtaining access.
    (ii) File with the proper court a signed, sworn statement setting 
forth the grounds for the emergency access within 5 days of obtaining 
access to financial records.
    (3) After filing of the signed, sworn statement, the official who 
has obtained access to financial records under this paragraph will--
    (i) Personally serve or mail to the customer a copy of the request 
to the financial institution and the following notice, unless a delay of 
notice has been obtained under Sec. 504.2(i):

    Records concerning your transactions held by the financial 
institution named in the attached request were obtained by (office/
agency/unit) under the Right to Financial Privacy Act of 1978 on (date) 
for the following purpose: (state with reasonable detail the nature of 
the law enforcement inquiry). Emergency access to such records was 
obtained on the grounds that (state grounds).

    (ii) Insure that mailings under this section will be by certified or 
registered mail to the last known address of the customer.
    (4) The annual reporting requirements of Sec. 504.2(m) apply to any 
request for access under this section.
    (h) Release of information obtained from financial institutions--(1) 
Records notice. Financial records, to include derived information, 
obtained under 12

[[Page 22]]

U.S.C. 3401 et seq. will be marked as follows:

    This record was obtained pursuant to the Right to Financial Privacy 
Act of 1978, 12 U.S.C. 3401 et seq., and may not be transferred to 
another Federal agency or department outside DOD without prior 
compliance with the transferring requirements of 12 U.S.C. 3412.

    (2) Records transfer. (i) Financial records originally obtained 
under this regulation will not be transferred to another agency or 
department outside the DOD unless the transferring law enforcement 
office certifies their relevance in writing. Certification will state 
that there is reason to believe that the records are relevant to a 
legitimate law enforcement inquiry within the jurisdiction of the 
receiving agency or department. To support this certification, the 
transferring office may require that the requesting agency submit 
adequate justification for its request. File a copy of this 
certification with a copy of the released records.
    (ii) Unless a delay of customer notice has been obtained 
(Sec. 504.2(i)), the transferring law enforcement office will, within 14 
days, personally serve or mail the following to the customer at his or 
her last known address--
    (A) A copy of the certification made according to 
Sec. 504.2(h)(2)(i) and
    (B) The following notice, which will state the nature of the law 
enforcement inquiry with reasonable detail:

    Copies of, or information contained in, your financial records 
lawfully in possession of the Department of the Army have been furnished 
to (state the receiving agency or department) pursuant to the Right to 
Financial Privacy Act of 1978 for (state the purpose). If you believe 
that this transfer has not been made to further a legitimate law 
enforcement inquiry, you may have legal rights under the Financial 
Privacy Act of 1978 or the Privacy Act of 1974.

    (iii) If a request for release of information is from a Federal 
agency authorized to conduct foreign intelligence or foreign 
counterintelligence activities (Executive Order 12036) and is for 
puposes of conducting such activities by these agencies, the information 
will be released without notifying the customer, unless permission to 
provide notification is given in writing by the requesting agency.
    (iv) Financial information obtained before the effective date of the 
Financial Privacy Act of 1978 (10 March 1978) may continue to be 
provided to other agencies according to existing procedures, to include 
applicable Privacy Act System Notices published in AR 340-21 series.
    (3) Precautionary measures. Whenever financial data obtained under 
this regulation is incorporated into a report of investigation or other 
correspondence, precautions must be taken to insure that--
    (i) The report or correspondence is not is not distributed outside 
of DOD except in compliance with paragraph (h)(2)(ii)(B) of this 
section.
    (ii) The report or other correspondence contains the following 
warning restriction on the first page or cover:

    Some of the information contained herein (cite specific paragraphs) 
is financial record information which was obtained pursuant to the Right 
to Financial Privacy Act of 1978, 12 U.S.C. 3401 et seq. This 
information may not be released to another Federal agency or department 
outside the DOD without compliance with the specific requirements of 12 
U.S.C. 3412 and AR 190-6.

    (i) Delay of customer notice procedures--(1) Length of delay. The 
customer notice required by formal written request (Sec. 504.2(f)(3)), 
emergency access (Sec. 504.2(g)(3)), and release of information 
(Sec. 504.2(h)(2)(iii)) may be delayed for successive periods of 90 
days. The notice required for search warrant (Sec. 504.2(d)(2)) may be 
delayed for one period of 180 days and successive periods of 90 days.
    (2) Conditions for delay. A delay of notice may be granted only by a 
court of competent jurisdiction. This will be done only when not 
granting a delay in serving the notice would result in--
    (i) Endangering the life or physical safety of any person.
    (ii) Flight from prosecution.
    (iii) Destruction of or tampering with evidence.
    (iv) Intimidation of potential witnesses.
    (v) Otherwise seriously jeopardizing an investigation or official 
proceeding or unduly delaying a trial or ongoing official proceeding to 
the same degree

[[Page 23]]

as the circumstances in Sec. 504.2(i)(2)(ii) through (iv).
    (3) Coordination. When a delay of notice is appropriate, the law 
enforcement office involved will consult with the supporting staff judge 
advocate to obtain such a delay. Applications for delays of notice 
should contain reasonable detail.
    (4) After delay expiration. Upon the expiration of a delay of notice 
under above and required by--
    (i) Section 504.2(d)(1), the law enforcement office obtaining 
financial records will mail to the customer a copy of the search warrant 
and the following notice.

    Records or information concerning your transactions held by the 
financial institution named in the attached search warrant were obtained 
by this (agency or office) on (date). Notification was delayed beyond 
the statutory 90-day delay period pursuant to a determination by the 
court that such notice would seriously jeopardize an investigation 
concerning (state with reasonable detail). You may have rights under the 
Right to Financial Privacy Act of 1978.

    (ii) Section 504.2(f)(3), the law enforcement office obtaining 
financial records will serve personally or mail to the customer a copy 
of the process or request and the following notice:

    Records or information concerning your transactions which are held 
by the financial institution named in the attached process or request 
were supplied to or requested by the government authority named in the 
process or request on (date). Notification was withheld pursuant to a 
determination by the (title of the court so ordering) under the Right to 
Financial Privacy Act of 1978 that such notice might (state reason). The 
purpose of the investigation or official proceeding was (state purpose 
with reasonable detail).

    (iii) Section 504.2(g)(3), the law enforcement office obtaining 
financial records will serve personally or mail to the customer a copy 
of the request and the notice required by Sec. 504.2(g)(3).
    (iv) Section 504.2(h)(2), the law enforcement office transferring 
financial records will serve personally or mail to the customer the 
notice required by Sec. 504.2(f)(3). If the law enforcement office was 
responsible for obtaining the court order authoriziang the delay, such 
office shall also serve personally or by mail to the customer the notice 
required in Sec. 504.2(f)(3).
    (5) Annual reports. The annual reporting requirements of 
Sec. 504.2(m) apply to delays of notice sought or granted under this 
paragraph.
    (j) Foreign intelligence and foreign counterintelligence activities. 
(1) Except as indicated below, nothing in this regulation applies to 
requests for financial information in connection with authorized foreign 
intelligence and foreign counterintelligence activities as defined in 
Executive Order 12036. Appropriate foreign intelligence and 
counterintelligence directives should be consulted in these instances.
    (2) However, to comply with the Financial Privacy Act of 1978, the 
following guidance will be followed for such requests. When a request 
for financial records is made--
    (i) A military intelligence group commander, the chief of an 
investigative control office, or the Commanding General (or Deputy CG), 
US Army Intelligence and Security Command, will certify to the financial 
institution that the requesting activity has complied with the 
provisions of 12 U.S.C. 3403(b).
    (ii) The requesting official will notify the financial institution 
from which records are sought that 12 U.S.C. 3414(a)(3) prohibits 
disclosure to any person by the institution, its agents, or employees 
that financial records have been sought or obtained.
    (3) The annual reporting requirements shown in Sec. 504.2(m) apply 
to any request for access under this section.
    (k) Certification. A certificate of compliance with the Right of 
Financial Privacy Act of 1978 (app. C) will be provided to the financial 
institution as a prequisite to obtaining access to financial records 
under the following access procedures:
    (1) Customer consent (Sec. 504.2(b)).
    (2) Search warrant (Sec. 504.2(d)).
    (3) Judicial subpoena (Sec. 504.2(e)).
    (4) Formal written request (Sec. 504.2(f)).
    (5) Emergency access (Sec. 504.2(g)).
    (6) Foreign intelligence and foreign counterintelligence activities 
(Sec. 504.2 (j)).
    (l) Penalties. Obtaining or disclosing financial records or 
financial information on a customer from a financial institution in 
violation of the Act or this

[[Page 24]]

regulation may subject the Army to payment of civil penalties, actual 
damages, punitive damages as the court may allow, and cost with 
reasonable attorney fees. Military and civilian personnel who willfully 
or intentionally violate the Act or this regulation may be subject to 
disciplinary action.
    (m) Right to Financial Privacy Act of 1978 Annual Report (RCS DD-
COMP(A)1538). (1) Major Army commanders will submit this report to 
HQDA(DAPE-HRE) concerning requests for financial information from 
financial institutions. Reports are to include all queries requested or 
information obtained under the provisions of this regulation by 
subordinate Army law enforcement offices (as defined in 
Sec. 504.1(c)(6)). Negative reports will be submitted.
    (2) This report is to arrive at HQDA(DAPE-HRE), WASH, DC 20310, not 
later than 1 February following the calendar year reported.
    (3) The annual report will contain the number of--
    (i) Requests for access to financial institutions, specifying the 
types of access and any other information deemed relevant or useful.
    (ii) Customer challenges to access and whether they were successful.
    (iii) Transfers to agencies outside of the DOD of information 
obtained under this regulation.
    (iv) Customer challenges to the transfer of information and whether 
they were successful.
    (v) Applications for delay of notice, the number granted, and the 
names of the officials requesting such delays.
    (vi) Delay of notice extensions sought and the number granted.
    (vii) Refusals by financial institutions to grant access, by 
category of authorization, such as customer consent or formal written 
request.
    (4) A consolidated Army report will be submitted by HQDA(DAPE-HRE) 
to the Defense Privacy Board, Office of the Deputy Assistant Secretary 
of Defense (Administration), by 15 February each year.

  Appendix A to Part 504--Request for Basic Identifying Account Data--
                              Sample Format

                          (Official Letterhead)

 (Date)_________________________________________________________________
Mr./Mrs. ____________,
Chief Teller (as appropriate), First National Bank, Little Rock, AR 
          72203.
    Dear Mr./Mrs. ____________: In connection with a legitimate law 
enforcement inquiry and pursuant to section 3414(g) of the Right to 
Financial Privacy Act of 1978, section 3401 et seq., Title 12, United 
States Code, you are requested to provide the following account 
information: (name, address, account number, and type of account of any 
customer or ascertainable group of customers associated with a certain 
financial transaction or class of financial transactions as set forth in 
Sec. 504.1(f)).
    I hereby certify, pursuant to section 3403(b) of the Right to 
Financial Privacy Act of 1978, that the provisions of the Act have been 
complied with as to this request for account information.
 (Official Signature Block)_____________________________________________
    Under section 3417(c) of the Act, good faith reliance upon this 
certification relieves your institution and its employees and agents of 
any possible liability to the subject in connection with the disclosure 
of the requested financial records.

 Appendix B to Part 504--Customer Consent and Authorization for Access--
                              Sample Format

    Pursuant to section 3404(a) of the Right to Financial Privacy Act of 
1978, I, (name of customer), having read the explanation of my rights on 
the reverse side, hereby authorize the (name and address of financial 
institution) to disclose these financial records: (list of particular 
financial records) to (Army law enforcement office) for the following 
purpose(s): (specify the purpose(s)).
    I understand that this authorization may be revoked by me in writing 
at any time before my records, as described above, are disclosed, and 
that this authorization is valid for no more than 3 months from the date 
of my signature.

 Date:__________________________________________________________________
 Signature:_____________________________________________________________
(Typed name)
(Mailing address of customer)

Statement of Customer Rights Under the Right to Financial Privacy Act of 
                                  1978

    Federal law protects the privacy of your financial records. Before 
banks, savings and loan associations, credit unions, credit card 
issuers, or other financial institutions may give financial information 
about you to a

[[Page 25]]

Federal agency, certain procedures must be followed.

                      Consent to Financial Records

    You may be asked to consent to the financial institution making your 
financial records available to the Government. You may withhold your 
consent, and your consent is not required as a condition of doing 
business with any financial institution. If you give your consent, it 
can be revoked in writing at any time before your records are disclosed. 
Futhermore, any consent you give is effective for only 3 months and your 
financial institution must keep a record of the instances in which it 
discloses your financial information.

                          Without Your Consent

    Without your consent, a Federal agency that wants to see your 
financial records may do so ordinarily only by means of a lawful 
subpoena, summons, formal written request, or search warrant for that 
purpose. Generally, the Federal agency must give you advance notice of 
its request for your records explaining why the information is being 
sought and telling you how to object in court. The Federal agency must 
also send you copies of court documents to be prepared by you with 
instructions for filling them out. While these procedures will be kept 
as simple as possible, you may want to consult an attorney before making 
a challenge to a Federal agency's request.

                               Exceptions

    In some circumstances, a Federal agency may obtain financial 
information about you without advance notice or your consent. In most of 
these cases, the Federal agency will be required to go to court for 
permission to obtain your records without giving you notice beforehand. 
In these instances, the court will make the Government show that its 
investigation and request for your records are proper. When the reason 
for the delay of notice no longer exists, you will usually be notified 
that your records were obtained.

                         Transfer of Information

    Generally, a Federal agency that obtains your financial records is 
prohibited from transferring them to another Federal agency unless it 
certifies in writing the transfer is proper and sends a notice to you 
that your records have been sent to another agency.

                                Penalties

    If the Federal agency or financial institution violates the Right to 
Financial Privacy Act, you may sue for damages or seek compliance with 
the law. If you win, you may be repaid your attorney's fee and costs.

                         Additional Information

    If you have any questions about your rights under this law, or about 
how to consent to release your financial records, please call the 
official whose name and telephone number appears below:
 _______________________________________________________________________
(Last Name, First Name, Middle Initial) Title (Area Code) (Telephone 
Number)
 _______________________________________________________________________
(Component activity, address)

  Appendix C to Part 504--Certificate of Compliance With the Right to 
              Financial Privacy Act of 1978--Sample Format

                          (Official Letterhead)

Mr./Mrs. ____________,
Manager, Army Federal Credit Union, Fort Ord, CA 93941.

    Dear Mr./Mrs. ____________: I certify, pursuant to section 3403(b) 
of the Right to Financial Privacy Act of 1978, section 3401 et seq., 
Title 12, United States Code, that the applicable provisions of that 
statute have been complied with as to the (customer's consent, search 
warrant or judicial subpoena, formal written request, emergency access, 
as applicable) presented on (date), for the following financial records 
of (customer's name):
 _______________________________________________________________________
(Describe the specific records)
 (Official Signature Block)_____________________________________________
    Pursuant to section 3417(c) of the Right to Financial Privacy Act of 
1978, good faith reliance upon this certificate relieves your 
institution and its employees and agents of any possible liability to 
the customer in connection with the disclosure of these financial 
records.

Appendix D to Part 504--Formal Written Request for Access--Sample Format

                          (Official Letterhead)

 (Date)_________________________________________________________________
Mr./Mrs. ____________,
President (as appropriate), City National Bank and Trust Company, 
          Altoona, PA 16602.

    Dear Mr./Mrs. ____________: In connection with a legitimate law 
enforcement inquiry and pursuant to section 3402(5) and section 3408 of 
the Right to Financial Privacy Act of 1978, section 3401 et seq., Title 
12, United States Code, and Army Regulation 190-6, you are requested to 
provide the following account information pertaining to (identify 
customer);
 _______________________________________________________________________
(Describe the specific records to be examined)

[[Page 26]]

    The Army has no authority to issue an administrative summons or 
subpoena for access to these financial records which are required for 
(describe the nature or purpose of the inquiry).
    A copy of this request was (personally served upon or mailed to) the 
subject on (date) who has (10 or 14) days in which to challenge this 
request by filing an application in an appropriate United States 
district court if the subject desires to do so.
    Upon expiration of the above mentioned time period and in the 
absence of any filing or challenge by the subject, you will be furnished 
a certification certifying in writing that the applicable provisions of 
the Act have been complied with prior to obtaining the requested 
records. Upon your receipt of a Certificate of Compliance with the Right 
to Financial Privacy Act of 1978, you will be relieved of any possible 
liability to the subject in connection with the disclosure of the 
requested financial records.
 (Official Signature Block)_____________________________________________

   Appendix E to Part 504--Customer Notice of Formal Written Request--
                              Sample Format

                          (Official Letterhead)

 (Date)_________________________________________________________________
Mr./Ms. ____________,
1500 N. Main Street, Washington, DC 20314.

    Dear Mr./Ms. ____________: Information or records concerning your 
transactions held by the financial institution named in the attached 
request are being sought by the (agency/department) in accordance with 
the Right to Financial Privacy Act of 1978, section 3401 et seq., Title 
12, United States Code, and Army Regulation 190-6, for the following 
purpose(s):
 _______________________________________________________________________
(List the purpose(s))
    If you desire that such records or information not be made 
available, you must do the following:
    a. Fill out the accompanying motion paper and sworn statement or 
write one of your own--
    (1) Stating that you are the customer whose records are being 
requested by the Government.
    (2) Giving the reasons you believe that the records are not relevant 
or any other legal basis for objecting to the release of the records.
    b. File the motion and statement by mailing or delivering them to 
the clerk of any one of the following United States District Courts:
 _______________________________________________________________________
(List applicable courts)
    c. Mail or deliver a copy of your motion and statement to the 
requesting authority: (give title and address).
    d. Be prepared to come to court and present your position in further 
detail.
    You do not need to have a lawyer, although you may wish to employ 
one to represent you and protect your rights.
    If you do not follow the above procedures, upon the expiration of 
(10 days from the date of personal service) (14 days from the date of 
mailing) of this notice, the records or information requested therein 
may be made available.
    These records may be transferred to other Government authorities for 
legitimate law enforcement inquiries, in which event you will be 
notified after the transfer if such transfer is made.
3 Inclosures (see para------)
 (Signature)____________________________________________________________



PART 505--THE ARMY PRIVACY PROGRAM--Table of Contents




Sec.
505.1  General information.
505.2  Individual rights of access and amendment.
505.3  Disclosure of personal information to other agencies and third 
          parties.
505.4  Record-keeping requirements under the Privacy Act.
505.5  Exemptions.


Appendix A to Part 505--Example of System of Records Notice
Appendix B to Part 505--Example of Report for New System of Records
Appendix C to Part 505--Provisions of the Privacy Act from which a 
          General or Specific Exemption may be Claimed
Appendix D to Part 505--Glossary of Terms

    Authority: Pub. L. 93-579, 88 Stat. 1896 (5 U.S.C. 552a).

    Source: 50 FR 42164, Oct. 18, 1985, unless otherwised noted.



Sec. 505.1  General information.

    (a) Purpose. This regulation sets forth policies and procedures that 
govern personal information kept by the Department of the Army in 
systems of records.
    (b) References--(1) Required publications. (i) AR 195-2, Criminal 
Investigation Activities. (Cited in Sec. 505.2(j))
    (ii) AR 340-17, Release of Information and Records from Army Files. 
(Cited in Secs. 505.2(h) and 505.4(d))
    (iii) AR 430-21-8, The Army Privacy Program; System Notices and 
Exemption Rules for Civilian Personnel Functions. (Cited in 
Sec. 505.2(i))

[[Page 27]]

    (iv) AR 380-380, Automated System Security. (Cited in Sec. 505.4(d) 
and (f))
    (2) Related publications. (A related publication is merely a source 
of additional information. The user does not have to read it to 
understand this regulation.)
    (i) DOD Directive 5400.11, DOD Privacy Program.
    (ii) DOD Regulation 5400.11-R, DOD Privacy Program.
    (iii) Treasury Fiscal Requirements Manual. This publication can be 
obtained from The Treasury Department, 15th and Pennsylvania Ave., NW, 
Washington, DC 20220
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Director of Information Systems for 
Command, Control, Communications, and Computers (DISC4) is responsible 
for issuing policy and guidance for the Army Privacy Program in 
consultation with the Army General Counsel.
    (2) The Commander, U.S. Army Information Systems Command is 
responsible for developing policy for and executing the Privacy Act 
Program under the policy and guidance of the DISC4.
    (3) Heads of Joint Service agencies or commands for which the Army 
is the Executive Agent, or otherwise has responsibility for providing 
fiscal, logistical, or administrative support, will adhere to the 
policies and procedures in this regulation.
    (4) Commander, Army and Air Force Exchange Service (AAFES), is 
responsible for the supervision and execution of the privacy program 
within that command pursuant to this regulation.
    (e) Policy. Army Policy concerning the privacy rights of individuals 
and the Army's responsibilities for compliance with operational 
requirements established by the Privacy Act are as follows:
    (1) Protect, as required by the Privacy Act of 1974 (5 U.S.C. 552a), 
as amended, the privacy of individuals from unwarranted intrusion. 
Individuals covered by this protection are living citizens of the United 
States and aliens lawfully admitted for permanent residence.
    (2) Collect only the personal information about an individual that 
is legally authorized and necessary to support Army operations. Disclose 
this information only as authorized by the Privacy Act and this 
regulation.
    (3) Keep only personal information that is timely, accurate, 
complete, and relevant to the purpose for which it was collected.
    (4) Safeguard personal information to prevent unauthorized use, 
access, disclosure, alteration, or destruction.
    (5) Let individuals know what records the Army keeps on them and let 
them review or get copies of these records, subject to exemptions 
authorized by law and approved by the Secretary of the Army. (See 
Sec. 505.5.)
    (6) Permit individuals to amend records about themselves contained 
in Army systems of records, which they can prove are factually in error, 
not up-to-date, not complete, or not relevant.
    (7) Allow individuals to ask for an administrative review or 
decisions that deny them access to or the right to amend their records.
    (8) Maintain only information about an individual that is relevant 
and necessary for Army purposes required to be accomplished by statute 
or Executive Order.
    (9) Act on all requests promptly, accurately, and fairly.
    (f) Authority. The Privacy Act of 1974 (5 U.S.C. 552a), as amended, 
is the statutory basis for the Army Privacy Program. With in the 
Department of Defense, the Act is implemented by DOD Directive 5400.11 
and DOD 5400.11-R. The Act Assigns--
    (1) Overall Government-wide responsibilities for implementation to 
the Office of Management and Budget.
    (2) Specific responsibilities to the Office of Personnel Management 
and the General Services Administration.
    (g) Access and Amendment Refusal Authority (AARA). Each Access and 
Amendment Refusal Authority (AARA) is responsible for action on requests 
for access to, or amendment of, records referred to them under this 
part. The officials listed below are the only AARA for records in their 
authority. Authority may be delegated to an officer or

[[Page 28]]

subordinate commander. All delegations must be in writing. If an AARA's 
delegate denies access or amendment, the delegate must clearly state 
that he or she is acting on behalf of the AARA and identify the AARA by 
name and position in the written response to the requester. Denial of 
access or amendment by an AARA's delegate must have appropriate legal 
review. Delegations will not be made below the colonel (06) or GS/GM-15 
level. Such delegations must not slow Privacy actions. AARAs will send 
the names, offices, telephone numbers of heir delegates to the Director 
of Information Systems for Command, Control, Communications and 
Computers, Headquarters, Department of the Army, ATTN: SAIS-IDP, 
Washington, DC 20310-0107; and the Department of the Army Privacy Review 
Board, Crystal Square 1, Suite 201, 1725 Jefferson Davis Highway, 
Arlington, VA 22202.
    (1) The Administrative Assistant to the Secretary of the Army (AASA) 
for records of the Secretariat and its serviced activities, to include 
the personnel records maintained by the General Officer Management 
Office, personnel records pertaining to Senior Executive Service 
personnel serviced by the Office of the Secretary of the Army (OSA), and 
Equal Employment Opportunity (EEO) records from offices serviced by the 
OSA. The AASA will also serve as AARA for those records requiring the 
personal attention of the Secretary of the Army.
    (2) The Inspector General (TIG) for TIG investigative records.
    (3) The president or executive secretary of boards, councils, and 
similar bodies established by the Department of the Army to consider 
personnel matters, including the Army Board of Correction of Military 
Appeals, for records under their purview.
    (4) The Deputy Chief of Staff for Personnel (DCSPER) for records of 
active and former non-appropriated fund employees (except those in the 
Army and Air Force Exchange Service), alcohol and drug abuse treatment 
records, behavioral science records, recruiting, Armed Services 
Vocational Aptitude Battery (ASVAB), equal opportunity, Junior Reserve 
Officers' Training Corps (ROTC), Senior ROTC Instructor, military 
academy cadet, selection, promotion, and reduction boards; special 
review boards; professional staff informational records; and entrance 
processing records (when records pertain to those not entering active 
duty).
    (5) The Deputy Chief of Staff for Operations and Plans (DCSOPS) for 
military police records and reports and prisoner confinement and 
correctional records.
    (6) Chief of Engineers (COE) for records pertaining to civil work 
(including litigation), military construction, engineer procurement, 
other engineering matters not under the purview of another AARA, 
ecology, and contractor qualifications.
    (7) The Surgeon General (TSG) for medical records, except properly 
part of the Official Personnel Folder (OPM/GOVT-1 system of records).
    (8) Chief of Chaplains (CCH) for ecclesiastical records.
    (9) The Judge Advocate General (TJAG) for legal records under TJAG 
responsibility.
    (10) Chief, National Guard Bureau (NGB) for personnel records of the 
Army National Guard.
    (11) Chief, Army Reserve (CAR) for personnel records of Army 
retired, separated and reserve military personnel members.
    (12) Commander, United States Army Material Command (USAMC) for 
records of Army contractor personnel of the Army Material Command.
    (13) Commander, United States Army Criminal Investigation Command 
(USACIDC) for criminal investigation reports and military police reports 
included therein.
    (14) Commander, United States Total Army Personnel Command (PERSCOM) 
for personnel and personnel related records of Army members on active 
duty and current Federal appropriated fund civilian employees. (Requests 
from former civilian employees to amend a record in any OPM system of 
records such as the Official Personnel Folder should be sent to the 
Office of Personnel Management, Assistant Director for Workforce 
Information, Compliance and Investigations Group, 1900 E Street, NW., 
Washington, DC 20415-0001.

[[Page 29]]

    (15) Commander, U.S. Army Community and Family Support Center 
(USACFSC) for records relating to morale, welfare and recreation 
activities; community life programs; family action programs, retired 
activities, club management, Army emergency relief, consumer protection, 
retiree survival benefits, and records dealing with Department of the 
Army relationships and social security veteran's affairs, United Service 
Organizations, U.S. Soldiers' and Airmen's home and American Red Cross.
    (16) Commander, U.S. Army Intelligence and Security Command (INSCOM) 
for intelligence, investigative and security records; foreign scientific 
and technological information; intelligence training, mapping and 
geodesy information; ground surveillance records; intelligence threat 
assessments; and missile intelligence data relating to tactical land 
warfare systems.
    (17) Commander, Army and Air Force Exchange Service (AAFES) for 
records pertaining to employees, patrons, and other matters which are 
the responsibility of the Exchange Service.
    (18) Commander, Military Traffic Management Command (MTMC) for 
transportation records.
    (19) Director of Army Safety for safety records.
    (20) Commander, U.S. Army Information Systems Command (USAISC) for 
records which do not fall within the functional area of another AARA.
    (h) Department of the Army Privacy Review Board. The Department of 
the Army Privacy Review Board acts on behalf of the Secretary of the 
Army in deciding appeals from refusal of the appropriate AARAs to amend 
records. Board membership is comprised of the AASA, the Commander, 
USAISC, Pentagon, and TJAG, or their representatives. The AARA may serve 
as a nonvoting member when the Board considers matters in the AARA's 
area of functional specialization. The Commander, USAISC, Pentagon, 
chairs the Board and provides the recording secretary.
    (i) Privacy Official. (1) Heads of Army Staff agencies and 
commanders of major Army commands and subordinate commands and 
activities will designate a privacy official who will serve as a staff 
adviser on privacy matters. This function will not be assigned below 
battalion level.
    (2) The privacy official will ensure that (i) requests are processed 
promptly and responsively, (ii) records subject to the Privacy Act in 
his/her command/agency are described properly by a published system 
notice, (iii) privacy statements are included on forms and 
questionnaires that seek personnel information from an individual, and 
(iv) procedures are in place to meet reporting requirements.
[50 FR 42164, Oct. 18, 1985, as amended at 58 FR 51012, Sept. 30, 1993]



Sec. 505.2  Individual rights of access and amendment.

    (a) Access under the Privacy Act. Upon a written or oral request, an 
individual or his/her designated agent or legal guardian will be granted 
access to a record pertaining to that individual, maintained in a system 
of records, unless the record is subject to an exemption and the system 
manager has invoked the exemption (see Sec. 505.5), or the record is 
information compiled in reasonable anticipation of a civil action or 
proceeding. The requester does not have to state a reason or otherwise 
justify the need to gain access. Nor can an individual be denied access 
solely because he/she refused to provide his/her Social Security Number 
unless the Social Security Number was required for access by statute or 
regulation adopted prior to January 1, 1975. The request should be 
submitted to the custodian of the record.
    (b) Notifying the individual. The custodian of the record will 
acknowledge requests for access within 10 work days of receipt. Records 
will be provided within 30 days, excluding Saturdays, Sundays, and legal 
public holidays.
    (c) Relationship between the Privacy Act and the Freedom of 
Information Act. A Privacy Act request for access to records should be 
processed also as a Freedom of Information Act request. If all or any 
portion of the requested material is to be denied, it must be considered 
under the substantive provisions of both the Privacy Act and the

[[Page 30]]

Freedom of Information Act. Any withholding of information must be 
justified by asserting a legally applicable exemption in each Act.
    (d) Functional requests. If an individual asks for his/her record 
and does not cite, or reasonably imply, either the Privacy Act or the 
Freedom of Information Act, and another prescribing directive authorizes 
release, the records should be released under that directive. Examples 
of functional requests are military members asking to see their Military 
Personnel Records Jacket, or civilian employees asking to see their 
Official Personnel Folder.
    (e) Medical records. If it is determined that releasing medical 
information to the data subject could have an adverse affect on the 
mental or physical health of that individual, the requester should be 
asked to name a physician to receive the record. The data subject's 
failure to designate a physician is not a denial under the Privacy Act 
and cannot be appealed.
    (f) Third party information. Third party information pertaining to 
the data subject may not be deleted from a record when the data subject 
requests access to the record unless there is an established exemption 
(see Sec. 505.5(d)). However, personal data such as SSN and home address 
of third parties in the data subject's record normally do not pertain to 
the data subject and therefore may be withheld. Information about the 
relationship between the data subject and the third party would normally 
be disclosed as pertaining to the data subject.
    (g) Referral of records. Requests for access to Army systems of 
records containing records that originated with other DOD Components or 
Federal agencies which claimed exemptions for them will be coordinated 
with or referred to the originator for release determination. The 
requester will be notified of the referral.
    (h) Fees. Requesters will be charged only for the reproduction of 
requested documents. Normally, there will be no charge for the first 
copy of a record provided to the individual whose record it is. 
Thereafter, fees will be computed as set forth in AR 340-17.
    (i) Denial of access. (1) The only officials authorized to deny a 
request from a data subject for records in a system of records 
pertaining to that individual are the appropriate Access and Amendment 
Refusal Authorities (see Sec. 505.1(f)), or the Secretary of the Army, 
acting through the General Counsel. Denial is appropriate only if the 
record:
    (i) Was compiled in reasonable anticipation of a civil action or 
proceeding, or
    (ii) Is properly exempted by the Secretary of the Army from the 
disclosure provisions of the Privacy Act (see Sec. 505.5), there is a 
legitimate governmental purpose for invoking the exemption, and it is 
not required to be disclosed under the Freedom of Information Act.
    (2) Requests for records recommended to be denied will be forwarded 
to the appropriate AARA within 5 work days of receipt, together with the 
request, disputed records, and justification for withholding. The 
requester will be notified of the referral.
    (3) Within the 30 work day period (see Sec. 505.2(b)), the AARA will 
give the following information to the requester in writing if the 
decision is to deny the request for access:
    (i) Official's name, position title, and business address;
    (ii) Date of the denial;
    (iii) Reasons for the denial, including citation of appropriate 
section(s) of the Privacy Act and this regulation;
    (iv) The opportunity for further review of the denial by the General 
Counsel, Office, Secretary of the Army, The Pentagon, Washington, DC 
20310, through the AARA within 60 calendar days. (For denials made by 
the Army when the record is maintained in one of OPM's government-wide 
systems of records, notices for which are described at appendix B, AR 
340-21-8, an individual's request for further review must be addressed 
to the Assistant Director for Agency Compliance and Evaluation, Office 
of Personnel Management, 1900 E Street NW., Washington, DC 20415-0001.)
    (j) Amendment of records. (1) Individuals may request the amendment 
of their records, in writing, when such records are believed to be 
inaccurate as a matter of fact rather than judgment, irrelevant, 
untimely, or incomplete.

[[Page 31]]

    (2) The amendment procedures are not intended to permit challenge to 
a record that records an event that actually occurred nor are they 
designed to permit collateral attack upon that which has been the 
subject of a judicial or quasi-judicial action. Consideration of request 
for an amendment would be appropriate if it can be shown that 
circumstances leading up to the event that is recorded on the document 
were challenged through administrative procedures and found to be 
inaccurately described, that the document is not identical to the 
individual's copy, or that the document was not constructed in 
accordance with the applicable recordkeeping requirements prescribed. 
For example, the amendment provisions do not allow an individual to 
challenge the merits of an adverse action. However, if the form that 
documents the adverse action contains an error on the fact of the record 
(e.g., the individual's name is misspelled, an improper date of birth or 
SSN was recorded), the amendment procedures may be used to request 
correction of the record.
    (3) US Army Criminal Investigations Command reports of investigation 
(records in system notices AO501.08e Informant Register, AO508.11b 
Criminal Information Reports and Cross Index Card Files, and AO508.25a 
Index to Criminal Investigative Case Files) have been exempted from the 
amendment provisions of the Privacy Act. Requests to amend these reports 
will be considered under AR 195-2 by the Commander, US Army Criminal 
Investigations Command, action by the Commander, US Army Criminal 
Investigation Commander will constitute final action on behalf of the 
Secretary of the Army under that regulation.
    (4) Records accessioned into the National Archives are exempted from 
the Privacy Act provision allowing individuals to request amendment of 
records. Most provisions of the Privacy Act apply only to those systems 
of records which are under the legal control of the originating agency; 
e.g., an agency's current operating files or records stored at a Federal 
records center.
    (k) Procedures. (1) Requests to amend a record should be addressed 
to the custodian or system manager of that record. The request must 
reasonably describe the record to be amended and the changes sought 
(i.e., deletion, addition, amendment). The burden of proof rests with 
the requester; therefore, the alteration of evidence presented to 
courts, boards, and other official proceedings is not permitted. (An 
individual acting for the requester must supply a written consent signed 
by the requester.)
    (2) The custodian or system manager will acknowledge the request 
within 10 work days and make final response within 30 work days.
    (3) The record for which amendment is sought must be reviewed by the 
proper system manager or custodian for accuracy, relevance, timeliness, 
and completeness so as to assure fairness to the individual in any 
determination made about that individual on the basis of that record.
    (4) If the amendment is proper, the custodian or system manager will 
physically amend the record by adding or deleting information, or 
destroying the record or a portion of it, and notify the requester of 
such action.
    (5) If the amendment is not justified, the request and all relevant 
documents, including the reasons for not amending, will be forwarded to 
the appropriate AARA within 5 work days and the requester so notified.
    (6) The AARA, on the basis of the evidence, either will amend the 
record and notify the requester and the custodian of that decision, or 
will deny the request and inform the requester:
    (i) Of reasons for not amending; and
    (ii) Of his/her right to seek further review by the DA Privacy 
Review Board (through the AARA).
    (7) On receipt of an appeal from a denial to amend, the AARA will 
append any additional records or background information that 
substantiates the refusal or renders the case complete and, within 5 
work days of receipt, forward the appeal to the DA Privacy Review Board.
    (8) The DA Privacy Review Board, on behalf of the Secretary of the 
Army, will complete action on a request for further review within 30 
work days of its receipt by the AARA. The General Counsel may authorize 
an additional 30 days when unusual circumstances and

[[Page 32]]

good cause so warrant. The Board may seek additional information, 
including the appellant's official file, if deemed relevant and 
necessary to deciding the appeal.
    (i) If the Board determines that amendment is justified, it will 
amend the record and notify the requester, the AARA, the custodian of 
the record, and any prior recipients of the record.
    (ii) If the Board denies the request, it will obtain the General 
Counsel's concurrence. Response to the appellant will include reasons 
for denial and the appellant's right to file a statement of disagreement 
with the Board's action and to seek judicial review of the Army's 
refusal to amend.
    (9) Statements of disagreement will be an integral part of the 
record to which it pertains so the fact that the record is disputed is 
apparent to anyone who may have access to, use of, or need to disclose 
from it. The disclosing authority may include a brief summary of the 
Board's reasons for not amending the disputed record. The summary will 
be limited to the reasons stated to the individual by the Board.
    (l) Privacy case files. Whenever an individual submits a Privacy Act 
request, a case file will be established; see system notice 
AO240.01DAAG. In no instance will the individual's request and Army 
actions thereon be included in the individual's personnel file. The case 
file will comprise the request for access/amendment, grants, refusals, 
coordination action, and related papers. This file will not be used to 
make any determinations about the individuals.



Sec. 505.3  Disclosure of personal information to other agencies and third parties.

    (a) Disclosure without consent. The Army is prohibited from 
disclosing a record from a system of records without obtaining the prior 
written consent of the data subject, except when disclosure is:
    (1) To those officers and employees of the Department of Defense who 
have a need for the record in the performance of their duties;
    (2) Required under the Freedom of Information Act (see Sec. 505.3(c) 
for information normally releasable);
    (3) Permitted by a routine use that has been published in the 
Federal Register;
    (4) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to title 13 of the 
United States Code;
    (5) To a recipient who has provided the Army with advance adequate 
written assurance that the record will be used solely as a statistical 
research or reporting record, and the record is to be transferred in a 
form that is not individually identifiable;
    (6) To the National Archives of the United States as a record that 
has sufficient historical or other value to warrant its continued 
preservation by the U.S. Government, or for determination of such value 
by the Administrator of the General Services Administration (GSA), or 
designee. (Records sent to Federal Records Centers for storage remain 
under Army control; these transfers are not disclosures and do not 
therefore need an accounting.)
    (7) To another agency or to an instrumentality of any governmental 
jurisdiction within or under the control of the United States for a 
civil or criminal law enforcement activity if the activity is authorized 
by law, and if the head of the agency or instrumentality has made a 
written request to the Army element which maintains the record. The 
request must specify the particular portion desired and the law 
enforcement activity for which the record is sought;
    (8) To a person pursuant to a showing of compelling circumstances 
affecting the health and safety of an individual. Upon such disclosure, 
notification will be transmitted to the last known address of such 
individual;
    (9) To either House of Congress, or to a committee or subcommittee 
to the extent that the subject matter falls within the jurisdiction of 
the committee or subcommittee;
    (10) To the Comptroller General, or any authorized representative in 
the course of the performance of the duties of the General Accounting 
Office;
    (11) Pursuant to the order signed by a judge of a court of competent 
jurisidiction. (Reasonable efforts must be made to notify the individual 
if the

[[Page 33]]

legal process is a matter of public record); or
    (12) To a consumer reporting agency in accordance with section 3(d) 
of the Federal Claims Collection Act of 1966 (originally codified at 31 
U.S.C. 952(d); recodified at 31 U.S.C. 3711(f), the name, address, SSN, 
other information identifying the individual; amount, status, and 
history of the claim, and the agency or program under which the case 
arose may be disclosed in this instance.
    (b) Blanket routine use disclosures. In addition to the routine uses 
in each system notice, the following blanket routine uses apply to all 
records from systems of records maintained by the Army except those 
which state othewise.
    (1) Law enforcement. Relevant records maintained to carry out Army 
functions may be referred to Federal, State, local, or foreign law 
enforcement agencies if the record indicates a violation or potential 
violation of law. The agency to which the records are referred must be 
the appropriate agency charged with the responsibility of investigating 
or prosecuting the violation or charges, with enforcing or implementing 
the statute, rule, regulation, or order issued pursuant thereto.
    (2) Disclosure when requesting information. A record may be 
disclosed to a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information, such as current licenses, to obtain information relevant to 
an Army decision concerning the hiring or retention of an employee, the 
issuance of a security clearance, the letting of a contract, or the 
issuance of a license, grant, or other benefit.
    (3) Disclosure of requested information. If the information is 
relevant and necessary to the requesting agency's decision, a record may 
be disclosed to a Federal agency, in response to its request, in 
connection with the hiring or retention of an employee, the issuance of 
a security clearance, the reporting of an investigation of an employee, 
the letting of a contract, or the issuance of a license, grant, or other 
benefit by the requesting agency, to the extent that the information is 
relevant and necessary to the requesting agency's decision on the 
matter.
    (4) Congressional inquiries. Disclosure from a system of records 
maintained by the Army may be made to a Congressional office from the 
record of an individual in response to an inquiry from the Congressional 
office made at the request of that individual.
    (5) Private relief legislation. Relevant information in all systems 
of records of the Department of Defense published on or before August 
22, 1975, will be disclosed to the Office of Management and Budget (OMB) 
review of private relief legislation as set forth in OMB Circular A-19 
at any stage of the legislative coordination and clearance process.
    (6) Disclosures required by international agreements. A record may 
be disclosed to foreign law enforcement, security, investigatory, or 
administrative authorities. These disclosures are in compliance with 
requirements imposed by, or to claim rights conferred in, international 
agreements and arrangements including those regulating the stationing 
and status in foreign countries of DOD military and civilian personnel.
    (7) Disclosure to State and local taxing authorities. Any 
information normally contained in Internal Revenue Service Form W-2 
which is maintained in a record from a system of records of the Army may 
be disclosed to State and local taxing authorities with which the 
Secretary of the Treasury has entered into agreements under 5 U.S.C., 
sections 5516, 5517, and 5520 only to those State and local taxing 
authorities for which an employee or military member is or was subject 
to tax regardless of whether tax is or was withheld. This routine use 
complies with Treasury Fiscal Requirements Manual, Sec. 5060.
    (8) Disclosures to the Office of Personnel Management. A record may 
be disclosed to the Office of Personnel Management (OPM) concerning 
information on pay and leave, benefits, retirement deduction, and any 
other information necessary for the OPM to carry out its legally 
authorized government-wide personnel management functions and studies.
    (9) Disclosure to National Archives and Records Administration. A 
record may be disclosed to the National Archives and Records 
Administration in records

[[Page 34]]

management inspections conducted under authority of title 44 U.S.C., 
sections 2904 and 2906.
    (10) Disclosure to the Department of Justice for Litigation. A 
record may be disclosed as a routine use to any component of the 
Department of Justice, when--
    (i) The agency, or any component there of, or
    (ii) Any employee of the agency in his or her official capacity, or
    (iii) Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee, or
    (iv) The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed by the agency to be 
relevant and necessary to the litigation, provided, however, that in 
each case, the agency determines that disclosure of the records to the 
Department of Justice is a use of the information contained in the 
records that is compatible with the purpose for which it is collected.
    (11) Disclosure for Agency use in Litigation. A record may be 
disclosed in a proceeding before a court or adjudicative body before 
which the agency is authorized to appear, when--
    (i) The agency, or any component there of, or
    (ii) Any employee of the agency in his or her official capacity, or
    (iii) Any employee of the agency in his or her official capacity 
where the Department of Justice has agreed to represent the employee, or
    (iv) The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the agency 
determines that their use of such records is relevant and necessary to 
the litigation, provided; however, that in each case, the agency 
determines that disclosure of the records to the court or adjudicative 
body is a use of the information contained in the records that is 
compatible with the purpose for which it is collected.
    (c) Disclosure to third parties. Personal information which may be 
disclosed under the Freedom of Information Act:
    (1) On military personnel: Name, rank, date of rank, gross salary, 
present and past duty assignments, future assignments that are 
officially established, office or duty telephone number, source of 
commission, promotion sequence number, awards and decorations, military 
and civilian educational level, duty status at any given time.
    (2) On civilian employees: Name, present and past position titles, 
grades, salaries, duty stations that include office or duty telephone 
numbers. However, disclosure of this information will not be made where 
the information requested is a list of present or past position titles, 
grades, salaries, and/or duty stations and, as such, is:
    (i) Selected to constitute a clearly unwarranted invasion of 
personal privacy. For example, the nature of the request calls for a 
response that would reveal more about the employee than the five 
enumerated items;
    (ii) Would be protected from mandatory disclosure under an exemption 
of the Freedom of Information Act.
    (iii) In addition to the information in Sec. 505.3(c)(2) above, the 
following information may be made available to a prospective employer of 
a current or former Army employee: Tenure of employment, civil service 
status, length of service in the Army and the Government and, date and 
reason for separation shown on the Notification of Personnel Action, SF 
50.
    (d) Accounting of disclosure. (1) An accounting of disclosure is 
required whenever a record from an Army system of records is disclosed 
to someone other than the data subject, except when that record:
    (i) Is disclosed to officials within the Department of Defense who 
have a need for it in the performance of official business;
    (ii) Is required to be disclosed under the Freedom of Information 
Act.
    (2) Since the characteristics of records maintained within the Army 
vary widely, no uniform method for keeping the disclosure of accounting 
is prescribed. For most paper records, the accounting may be affixed to 
the

[[Page 35]]

record being disclosed. It must be a written record and consist of:
    (i) Description of the record disclosed;
    (ii) Name, position title, and address of the person to whom 
disclosure was made;
    (iii) Date, method, and purpose of the disclosure; and
    (iv) Name and position title of the person making the disclosure.
    (3) Purpose of the accounting of disclosure is to enable an 
individual:
    (i) To ascertain those persons/agencies that have received 
information about the individual, and
    (ii) To provide a basis for informing recipients of subsequent 
amendments or statements of dispute concerning the record.
    (4) When an individual requests such an accounting, the system 
manager or designee shall respond within 10 work days and inform the 
individual of the items in Sec. 505.3(d)(2) above.
    (5) The only basis for not furnishing the data subject an accounting 
of disclosures are if disclosure was made for law enforcement purposes 
under 5 U.S.C. 552a(b)(7), or the disclosure was from a system of 
records for which an exemption from 5 U.S.C. 552a(c)(3) has been claimed 
(see appendix C to this part).
[50 FR 42164, Oct. 18, 1985, as amended at 58 FR 51013, Sept. 30, 1993]



Sec. 505.4  Record-keeping requirements under the Privacy Act.

    (a) Systems of records. (1) Notices of all Army systems of records 
are required by the Act to be published in the Federal Register. An 
example is at appendix A to this part. When new systems are established, 
or major changes occur in existing systems, which meet the criteria of 
OMB Guidelines summarized at Sec. 505.4(f)(2), advance notice is 
required to be furnished OMB and the Congress before the system or 
proposed changes become operational.
    (2) Uncirculated personal notes, papers and records which are 
retained at the author's discretion and over which the Army exercises no 
control or dominion are not considered Army records within the meaning 
of the Privacy Act. Individuals who maintain such notes must restrict 
their use of memory aids. Disclosure from personal notes, either 
intentional or through carelessness, remove the information from the 
category of memory aids and the notes then become subject to the 
provisions of the Act.
    (3) Only personal information as is relevant and necessary to 
accomplish a purpose or mission of the Army, required by Federal statue 
or Executive Order of the President, will be maintained in Army systems 
of records. Statutory authority, or regulatory authority to establish 
and maintain a system of records does not convey unlimited authority to 
collect and maintain all information which may be useful or convenient. 
The authority is limited to relevant and necessary information.
    (4) Except for statistical records, most records could be used to 
determine an individual's rights, benefits, or privileges. To ensure 
accuracy, personal information to be included in a system of records 
will be collected directly from the individual if possible. Collection 
of information from third parties should be limited to verifying 
information for security or employment suitability or obtaining 
performance data or opinion-type evaluations.
    (b) Privacy Act Statement. Whenever personal information is 
requested from an individual that will become part of system of records 
retreived by reference to the individual's names or other personal 
identifier, the individual will be furnished a Privacy Act Statement. 
This is to ensure that individuals know why the information is collected 
so they can make an informed decision on whether or not to furnish it. 
As a minimum, the Privacy Act Statement will include the following 
information in language that is explicit and easily understood and not 
so lengthy as to deter an individual from reading it:
    (1) Cite the specific statute or Executive Order, including a brief 
title or subject, that authorizes the Army to collect the personal 
information requested. Inform the individual whether or not a response 
is mandatory or voluntary, and any possible consequences of failing to 
respond.

[[Page 36]]

    (2) Cite the principal purpose(s) for which the information will be 
used; and
    (3) Cite the probable routine uses for which the information may be 
used.

This may be a summary of information published in the applicable system 
notice. The above information normally should be printed on the form 
used to record the information. In certain instances, it may be printed 
in a public notice in a conspicuous location such as check-cashing 
facilities; however, if the individual requests a copy of its contents, 
it must be provided.
    (c) Social Security Number (SSN). Executive Order 9397 authorizes 
the Department of the Army to use the SSN as a system of identifying 
Army members and employees. Once a military member or civilian employee 
of the Department of the Army has disclosed his/her SSN for purposes of 
establishing personnel, financial, or medical records upon entry into 
Army service or employment, the SSN becomes his/her identification 
number. No other use of this number is authorized. Therefore, whether 
the SSN alone is requested from the individual, or the SSN together with 
other personal information, the Privacy Act Statement must make clear 
that disclosure of the number is voluntary. If the individual refuses to 
disclose his/her SSN, the Army activity must be prepared to identify the 
individual by alternate means.
    (d) Safeguarding personal information. (1) The Privacy Act requires 
establishment of appropriate administrative, technical, and physical 
safeguards to ensure the security and confidentialty of records and to 
protect against any threats or hazards to the subjects security or 
integrity which could result in substantial harm, embarrassment, 
inconvenience, or unfairness.
    (2) At each location, and for each system of records, an official 
will be designated to safeguard the information in that system. 
Consideration must be given to sensitivity of the data, need for 
accuracy and reliability in operations, general security of the area, 
cost of safeguards, etc. See AR 380-380.
    (3) Ordinarily, personal information must be afforded at least the 
protection required for information designated ``For Official Use Only'' 
(see Chapter IV, AR 340-17). Privacy Act data will be afforded 
reasonable safeguards to prevent inadvertent or unauthorized disclosure 
of record content during processing, storage, transmission, and 
disposal.
    (4) No comparisons of Army records systems with systems of other 
Federal or commerical agencies (known as ``matching'' or ``computer 
matching'' programs) will be accomplished without prior approval of the 
Assistant Chief of Staff for Information Managment (DAIM-RMS-S), Alex, 
VA 22331-0301.
    (e) First Amendment rights. No record describing how an individual 
exercises rights guaranteed by the First Amendment will be kept unless 
expressly authorized by Federal statue, by the individual about whom the 
record pertains, or unless pertinent to and within the scope of an 
authorized law enforcement activity. Exercise of these rights includes, 
but is not limited to, religious and political beliefs, freedom of 
speech and the press, and the right of assembly and to petition.
    (f) System notice. (1) The Army publishes in the Federal Register a 
notice describing each system of records for which it is responsible. A 
notice contains:
    (i) Name and location(s) of the records;
    (ii) Categories of individuals on whom records are maintained;
    (iii) Categories of records in the sytem;
    (iv) Authority (statutory or Executive Order) authorizing the 
system;
    (v) Purpose(s) of the system;
    (vi) Routine uses of the records, including the categories of users 
and the purposes of such uses;
    (vii) Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of the records;
    (viii) Position title and business address of the responsible 
official;
    (ix) Procedures an individual must follow to learn if a system of 
records contains a record about the individual;
    (x) Procedures an individual must follow to gain access to a record 
about that individual in a system of records, to contest contents, and 
to appeal initial determinations;
    (xi) Categories of sources of records in the system;

[[Page 37]]

    (xii) Exemptions from the Privacy Act claimed for the system. (See 
example notice at appendix A to this part.)
    (2) New, or altered, systems which meet the requirements below, 
require a report to the Congress and the Office of Management and 
Budget. A new system is one for which no system notice is published in 
the Federal Register. An altered system is one that:
    (i) Increases or changes the number or types of individuals on whom 
records are kept so that it significantly alters the character and 
purpose of the system of records.
    (ii) Expands the types of categories of information maintained.
    (iii) Alters the manner in which records are organized, indexed, or 
retrieved so as to change the nature or scope of those records.
    (iv) Alters the purposes for which the information is used, or adds 
a routine use that is not compatible with the purpose for which the 
system is maintained.
    (v) Changes the equipment configuration on which the system is 
operated so as to create potential for either greater or easier access.
    (3) Report of a new or altered system must be sent to HQDA (DAIM-
RMS-S) at least 120 days before the system or changes become 
operational, and include a narrative statement and supporting 
documentation.
    (i) The narrative statement must contain the following items:
    (A) System identification and name:
    (B) Responsible official;
    (C) Purpose(s) of the system, or nature of changes proposed (if an 
altered system);
    (D) Authority for the system;
    (E) Number (or estimate) of individuals on whom records will be 
kept;
    (F) Information of First Amendment activities;
    (G) Measure to assure information accuracy;
    (H) Other measures to assure system security; (Automated systems 
require risk assessment under AR 380-380.)
    (I) Relations to State/local government activities. (See example at 
appendix B to this part.)
    (4) Supporting documentation consists of system notice for the 
proposed new or altered system, and proposed exemption rule, if 
applicable.
    (g) Reporting requirements. (1) The annual report required by the 
Act, as amended by Pub. L. 97-375, 96 Stat. 1821, focuses on two primary 
areas:
    (i) Information describing the exercise of individuals' rights of 
access to and amendment of records.
    (ii) Changes in, or additions to, systems of records.
    (2) Specific reporting requirements will be disseminated each year 
by The Assistant Chief of Staff for Information Management (DAIM-RMS-S) 
in a letter to reporting elements.
    (h) Rules of conduct. System managers will ensure that all 
personnel, including government contractors or their employees, who are 
involved in the design, development, operation, maintenance, or control 
of any system of records, are informed of all requirements to protect 
the privacy of individuals who are subjects of the records.
    (i) Judicial sanctions. The Privacy Act has both civil remedies and 
criminal penalties for violations of its provisions:
    (1) Civil remedies: An individual may file a civil suit against the 
Army if Army personnel fail to comply with the Privacy Act.
    (2) Criminal penalties: A member or employee of the Army may be 
guilty of a misdemeanor and fined not more than $5,000 for willfully:
    (i) Maintaining a system of records without first meeting the public 
notice requirements of publishing in the Federal Register;
    (ii) Disclosing individually identifiable personal information to 
one not entitled to have it;
    (iii) Asking for or getting another's record under false pretense.



Sec. 505.5  Exemptions.

    (a) Exempting systems of records. The Secretary of the Army may 
exempt Army systems of records from certain requirements of the Privacy 
Act. There are two kinds of exemptions: General and specific. The 
general exemption relieves systems of records from most requirements of 
the Act; the specific exemptions from only a few. See appendix C to this 
part.

[[Page 38]]

    (b) General exemptions. Only Army activities actually engaged in the 
enforcement of criminal laws as their primary function may claim the 
general exemption. To qualify for this exemption, a system must consist 
of:
    (1) Information compiled to identify individual criminals and 
alleged criminals, which consists only of identifying data and arrest 
records; type and disposition of charges; sentencing, confinement, and 
release records; and parole and probation status;
    (2) Information compiled for the purpose of criminal investigation 
including efforts to prevent, reduce, or control crime and reports of 
informants and investigators associated with an identifiable individual; 
or
    (3) Reports identifiable to an individual, compile at any stage of 
the process of enforcement of the criminal laws, from arrest or 
indictment through release from supervision.
    (c) Specific exemptions. The Secretary of the Army has exempted all 
properly classified information and a few systems of records that have 
the following kinds of information, from certain parts of the Privacy 
Act. The Privacy Act exemption cite appears in parentheses after each 
category.
    (1) Classified information in every Army system of records. This 
exemption is not limited to the systems listed in Sec. 505.5(d). Before 
denying as individual access to classified information, the Access and 
Amendment Refusal Authority must make sure that it was properly 
classified under the standards of Executive Orders 11652, 12065, or 
12958 and that it must remain so in the interest of national defense of 
foreign policy. (5 U.S.C. 552a(k)(1)).
    (2) Investigatory data for law enforcement purposes (other than that 
claimed under the general exemption). However, if this information has 
been used to deny someone a right, privilege or benefit to which the 
individual is entitled by Federal law, it must be released, unless doing 
so would reveal the identity of a confidential source. (5 U.S.C. 
552a(k)(2)).
    (3) Records maintained in connection with providing protective 
services to the President of the United States or other individuals 
protected pursuant to Title 18 U.S.C., section 3056. (5 U.S.C. 
552a(k)(3)).
    (4) Statistical data required by statute and used only for 
statistical purposes and not to make decisions on the rights, benefits, 
or entitlements of individuals, except for census records which may be 
disclosed under Title 13 U.S.C., section 8. (5 U.S.C. 552a(k)(4)).
    (5) Data compiled to determine suitability, eligibility, or 
qualifications for Federal service, Federal contracts, or access to 
classified information. This information may be withheld only to the 
extent that disclosure would reveal the identify of a confidential 
source. (5 U.S.C. 552a(k)(5)).
    (6) Testing material used to determine if a person is qualified for 
appointment or promotion in the Federal service. This information may be 
withheld only if disclosure would compromise the objectivity or fairness 
of the examination process. (5 U.S.C. 552a(k)(6)).
    (7) Information to determine promotion potential in the Armed 
Forces. Information may be withheld, but only to the extent that 
disclosure would reveal the identity of a confidential source. (5 U.S.C. 
552a(k)(7)).
    (d) Procedures. When a system manager seeks an exemption for a 
system of records, the following information will be furnished to the 
Director of Information Systems for Command, Control, Communications and 
Computers, Washington, DC 20310-0107; applicable system notice, 
exemptions sought, and justification. After appropriate staffing and 
approval by the Secretary of the Army, a proposed rule will be published 
in the Federal Register, followed, by a final rule 60 days later. No 
exemption may be invoked until these steps have been completed.
    (e) Exempt Army records. The following records may be exempt from 
certain parts of the Privacy Act:
    (1) A0020-1aSAIG.
    (i) System name: Inspector General Investigative Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2) or (k)(5) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (e)(4)(H), and (f).

[[Page 39]]

    (iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iv) Reasons: Selected portions and/or records in this system are 
compiled for the purposes of enforcing civil, criminal, or military law, 
including executive orders or regulations validly adopted pursuant to 
law. Granting individuals access to information collected and maintained 
in these files could interfere with enforcement proceedings; deprive a 
person of a right to fair trial or an impartial adjudication or be 
prejudicial to the conduct of administrative action affecting rights, 
benefits, or privileges of individuals, constitute an unwarranted 
invasion of personal privacy; disclose the identity of a confidential 
source; disclose nonroutine investigative techniques and procedures, or 
endanger the life or physical safety of law enforcement personnel; 
violate statutes which authorize or require certain information to be 
withheld from the public such as: Trade or financial information, 
technical data, National Security Agency information, or information 
relating to inventions. Exemption from access necessarily includes 
exemption from the other requirements.

    (2) A0020-1bSAIG.
    (i) System name: Inspector General Action Request/Assistance Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2) or (k)(5) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (d), (e)(4)(G), (e)(4)(H), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iv) Reasons: Selected portions and/or records in this system are 
compiled for the purposes of enforcing civil, criminal, or military law, 
including Executive Orders or regulations validly adopted pursuant to 
law. Granting individuals access to information collected and maintained 
in these files could interfere with enforcement proceedings; deprive a 
person of a right to fair trail or an impartial ajudication or be 
prejudicial to the conduct of administrative action affecting rights, 
benefits, or privileges of individuals; constitute an unwarranted 
invasion of personnel privacy; disclose the identity of a confidential 
source; disclose nonroutine investigative techniques and procedures, or 
endanger the life or physical safety of law enforcement personnel; 
violate statutes which authorize or require certain information, to be 
withheld from the public such as: Trade or financial information, 
technical data, National Security Agency information, or information 
relating to inventions. Exemption from access necessarily includes 
exemption from the other requirements.

    (3)A0025-55SAIS.
    (i) System name: Request for Information Files.
    (ii) Exemption: (A) All portions of this system of records which 
fall within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f) and (g).
    (B) All portions of the system maintained by offices of Initial 
Denying Authorities which do not have a law enforcement mission and 
which fall within the scope of 5 U.S.C. 552a(k)(1) through (k)(7) may be 
exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (e)(4)(H), and (f).
    (iii) Authority: 5 U.S.C. 552a(j)(2), and (k)(1) through (k)(7).
    (iv) Reasons: This system of records is maintained solely for the 
purpose of administering the Freedom of Information Act and processing 
routine requests for information. To insure an accurate and complete 
file on each case, it is sometimes necessary to include copies of 
records which have been the subject of a Freedom of Information Act 
request. This situation applies principally to cases in which an 
individual has been denied access and/or amendment of personal records 
under an exemption authorized by 5 U.S.C. 552. The same justification 
for the original denial would apply to denial of access to copies 
maintained in the Freedom of Information Act file. It should be 
emphasized that the majority of records in this system are available on 
request to the individual and that all records are used solely to 
process requests. This file is not used to make any other determinations 
on the rights, benefits or privileges of individuals.

    (4)A0027-1DAJA.

[[Page 40]]

    (i) System name: General Legal Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and 
(k)(7) may be exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), 
(e)(1), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), (k)(5), (k)(6), and 
(k)(7).
    (iv) Reasons: Various records from other exempted systems of records 
are sometimes submitted for legal review or other action. A copy of such 
records may be permanently incorporated into the General Legal Files 
system of records as evidence of the facts upon which a legal opinion or 
review was based. Exemption of the General Legal Files system of records 
is necessary in order to ensure that such records continue to receive 
the same protection afforded them by exemptions granted to the systems 
of records in which they were originally filed.

    (5) A0027-10aDAJA.
    (i) System name: Prosecutorial Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges; and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.

    (6) A0027-10bDAJA.
    (i) System name: Courts-Martial Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(d)(2), (d)(4), (e)(2), (e)(3), (e)(4)(H), 
and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: Courts-martial files are exempt because a large body 
of existing criminal law governs trials by courts-martial to the 
exclusion of the Privacy Act. The Congress recognized the judicial 
nature of courts-martial proceedings and exempt them from the 
Administrative Procedures Act by specifically excluding them from the 
definition of the term `agency' (Title 5 U.S.C. 551(1)(f)). Substantive 
and procedural law applicable in trials by court-martial is set forth in 
the Constitution, the Uniform Code of Military Justice (UCMJ) Manual for 
Courts-Martial, United States, 1969 (Revised edition), and the decisions 
of the U.S.

[[Page 41]]

Court of Military Appeals and Courts of Military Review. The right of 
the accused not to be compelled to be a witness against himself and the 
need to obtain accurate and reliable information with regard to criminal 
misconduct necessitate the collection of information from sources other 
than the individual accused. Advising the accused or any other witness 
of the authority for collection of the information, the purpose for 
which it is to be used, whether disclosure is voluntary or mandatory, 
and the effects on the individual of not providing the information would 
unnecesarily disrupt and confuse court-martial preceedings. It is the 
responsibility of the investigating officer or military judge to 
determine what information will be considered as evidence. In making the 
determination, the individual's rights are weighed against the accused's 
right to fair trial. The determination is final for the moment and the 
witness' failure to comply with the decision would delay the proceeding 
and may result in prosecution of the witness for wrongful refusal to 
testify. In a trial by court-martial, the accused has a unique 
opportunity to assure that the record is accurate, relevant, timely, and 
complete as it is made. He has the right to be present and the trial, to 
be represented by counsel at general and special courts-martial, and to 
consult with counsel in summary courts-martial, to review and challenge 
all information before it is introduced into evidence, to cross-examine 
all witnesses against him, to present evidence in his behalf and in 
general and special courts-martial, to review and comment upon the 
record for trial before it is authenticated. Procedures for correction 
of the record and controlled by paragraphs 82, 86, and 95, Manual for 
Courts-Martial, 1969 (Revised edition). After completion of appellate 
review, the record may not be amended. Article 76 of the Uniform Code of 
Military Justice (10 U.S.C. 876) provides that the proceedings, findings 
and sentences of courts-martial as approved, reviewed or affirmed are 
final and conclusive and binding upon all departments, courts, agencies, 
and of the United States subject only to action upon a petition for new 
trial (Article 73, UCMJ), action by the Secretary concerned (Article 74, 
UCMJ), and the authority of the President.

    (7) A0190-5DAMO.
    (i) System name: Vehicle Registration System (VRS).
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsections (c)(4), (d), (e)(4)(G), 
(e)(4)(H), (f) and (g) because granting individuals access to 
information collected and maintained by this component relating to the 
enforcement of laws could interfere with proper investigations and the 
orderly administration of justice. Disclosure of this information could 
result in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges; and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious

[[Page 42]]

impediment to law enforcement in that it could compromise the existence 
of a confidential investigation or reveal the identity of witnesses or 
confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.

    (8) A0190-9DAMO.
    (i) System name: Absentee Case Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges; and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.

    (9) A0190-14DAMO.
    (i) System name: Registration and Permit Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3).
    (iii) Authority: 5 U.S.C. 552a(k)(2).
    (iv) Reasons: From subsection (c)(3) because the release of 
accounting of disclosures would place the subject of an investigation on 
notice that he or she is under investigation and provide him or her with 
significant information concerning the nature of the investigation thus 
resulting in a serious impediment to criminal law enforcement 
investigations, activities or the compromise of properly classified 
material.

    (10) A0190-30DAMO.
    (i) System name: Military Police Investigator Certification Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2), (k)(5), and (k)(7) may be 
exempt from the provisions of 5 U.S.C. 552a(d), (e)(4)(G), (e)(4)(H), 
and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2), (k)(5) and (k)(7).
    (iv) Reasons: From subsections (d), (e)(4)(G), (e)(4)(H), and (f) 
because disclosure of portions of the information

[[Page 43]]

in this system of records would seriously impair selection and 
management of these uniquely functioning individuals; hamper the 
inclusion of comments, reports and evaluations concerning the 
performance, qualifications, character, actions, and propensities of the 
agency; and prematurely compromise investigations which either concern 
the conduct of the agent himself or herself, or investigations wherein 
he or she is integrally or only peripherally involved. Additionally, the 
exemption from access necessarily includes exemptions from the amendment 
and the agency procedures that would otherwise be required to process 
these types of requests.

    (11) A0190-40DAMO.
    (i) System name: Serious Incident Reporting Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges, and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources, and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from the other requirements.
    (B) From subsection (c)(3) because of the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, they require that information be collected to 
the greatest extent practicable from the subject individual would alert 
the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and be revealing investigative 
techniques, procedures or evidence.

    (12) A0190-45DAMO
    (i) System name: Offense Reporting System (ORS).
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges, and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources, and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption

[[Page 44]]

from access necessarily includes exemption from the other requirements.
    (B) From subsection (c)(3) because of the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, they require that information be collected to 
the greatest extent practicable from the subject individual would alert 
the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and be revealing investigative 
techniques, procedures or evidence.

    (13)A0190-47DAMO.
    (i) System name: Correctional Reporting System (CRS).
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(3), (e)(4)(G), 
(e)(4)(H), (e)(5), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: Granting individuals access to information collected 
and maintained by this component relating to the enforcement of criminal 
laws could interfere with the orderly administration of justice. 
Disclosure of this information could jeopardize the safety and well- 
being of information sources, correctional supervisors and other 
confinement facility administrators. Disclosure of the information could 
also result in the invasion of privacy of persons who provide 
information used in developing individual treatment programs. Further, 
disclosure could result in a deterioration of a prisoner's self-image 
and adversely affect meaningful relationships between a prisoner and his 
counselor or supervisor. These factors are, or course, essential to the 
rehabilitative process. Exemption from the remaining provisions is 
predicated upon the exemption from disclosure or upon the need for 
proper functioning of correctional programs.

    (14) A0195-2aUSACIDC.
    (i) System name: Source Register.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(5), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(3) because release of 
accounting of disclosures would provide the informant with significant 
information concerning the nature of a particular investigation, the 
internal methods and techniques involved in criminal investigation, and 
the investigative agencies (state, local or foreign) involved in a 
particular case resulting in a serious compromise of the criminal law 
enforcement processes.
    (B) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) 
because disclosure of portions of the information in this system of 
records would seriously impair the prudent and efficient handling of 
these uniquely functioning individuals; hamper the inclusion of comments 
and evaluations concerning the performance qualification, character, 
identity, and propensities of the informant; and prematurely compromise 
criminal investigations which either concern the conduct of the 
informant himself or investigations wherein he/she is intergrally or 
only peripherally involved. Additionally, the exemption from access 
necessarily includes exemption from amendment, certain agency 
requirements relating to access and amendment of records and civil 
liability predicated upon agency compliance with specific provisions of 
the Privacy Act.
    (C) From subsection (d), (e)(4)(G), (e)(4)(H), and (f) are also 
necessary to protect the security of information properly classified in 
the interest of national defense and foreign policy.

[[Page 45]]

    (D) From subsection (e)(1) because the nature of the criminal 
investigative function creates unique problems in prescribing what 
information concerning informants is relevant or necessary. Due to close 
liaison and existing relationships with other Federal, state, local and 
foreign law enforcement agencies, information about informants may be 
received which may relate to a case then under the investigative 
jurisdiction of another Government agency but it is necessary to 
maintain this information in order to provide leads for appropriate law 
enforcement purposes and to establish patterns of activity which may 
relate to the jurisdiction of both the USACIDC and other agencies. 
Additionally, the failure to maintain all known information about 
informants could affect the effective utilization of the individual and 
substantially increase the operational hazards incumbent in the 
employment of an informant in very compromising and sensitive 
situations.
    (E) From subsection (e)(2) because collecting information from the 
information would potentially thwart both the crminal investigtive 
process and the required management control over these individuals by 
appraising the informant of investigations or management actions 
concerning his involvement in criminal activity or with USACIDC 
personnel.
    (F) From subsection (e)(3) because supplying an informant with a 
form containing the information specified could result in the compromise 
of an investigation, tend to inhibit the cooperation of the informant, 
and render ineffectual investigative techniques and methods utilized by 
USACIDC in the performance of its criminal law enforcement duties.
    (G) From subsection (e)(5) because this requirement would unduly 
hamper the criminal investigative process due to type of records 
maintained an necessity for rapid information retrieval and 
dissemination. Also, in the collection of information about informants, 
it is impossible to determine what information is then accurate, 
relevant, timely and complete. With the passage of time, seemingly 
irrevelant or untimely information may acquire new significance as 
further investigation or contact brings new details to light. In the 
criminal investigative process, accuracy and relevance of information 
concerning informants can only be determined in a court of law. The 
restrictions imposed by subsection (e)(5) would restrict the ability of 
trained investigators to exercise their judgment in reporting 
information relating to informant's actions and would impede the 
development of criminal intelligence necessary for effective law 
enforcement.
    (H) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to criminal law enforcement 
by revealing investigative techniques, procedures, and the existence of 
confidential investigations.

    (15)A0195-2bUSACIDC.
    (i) System name: Criminal Investigation and Crime Laboratory Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552(j)(2).
    (iv) Reasons: (A) From subsection (c)(3) because the release of 
accounting of disclosures would place the subject of an investigation on 
notice that he is under investigation and provide him with significant 
information concerning coordinated investigative effort and techniques 
and the nature of the investigation, resulting in a serious impediment 
to criminal law enforcement activities or the compromise of properly 
classified material.
    (B) From subsections (c)(4), (d), (e)(4)(G), (e)(4)(H), (f), and (g) 
because access might compromise on-going investigations, reveal 
classified information, investigatory techniques or the identity of 
confidential informants, or invade the privacy of persons who provide 
information in connection with a particular investigation. The exemption 
from access necessarily includes exemption from amendment, certain 
agency requirements relating to access and amendment of records, and 
civil liability predicated upon agency compliance with those specific 
provisions of

[[Page 46]]

the Privacy Act. The exemption from access necessarily includes 
exemption from other requirements.
    (C)From subsection (e)(1) because the nature of the investigative 
function creates unique problems in prescribed specific perimeters in a 
particular case as to what information is relevant or necessary. Also, 
due to close liaisons and working relationships with other Federal, 
state, local, and foreign law enforcement agencies, information may be 
received which may relate to a case then under the investigative 
jurisdiction of another Government agency but it is necessary to 
maintain this information in order to provide leads for appropriate law 
enforcement purposes and to establish patterns of activity which may 
relate to the jurisdiction of both the USACIDC and other agencies.
    (D) From subsection (e)(2) because collecting information from the 
subject of criminal investigations would thwart the investigative 
process by placing the subject of the investigation on notice thereof.
    (E) From subsection (e)(3) because supplying an individual with a 
form containing the information specified could result in the compromise 
of an investigation, tend to inhibit the cooperation of the individual 
queried, and render ineffectual investigation techniques and methods 
utilized by USACIDC in the performance of their criminal law enforcement 
duties.
    (F) From subsection (e)(5) because this requirment would unduly 
hamper the criminal investigative process due to the great volume of 
records maintained and the necessity for rapid information retrieval and 
dissemination. Also, in the collection of information for law 
enforcement purposes, it is impossible to determine what information is 
then accurate, relevant, timely, and complete. With the passage of time, 
seemingly irrelevant or untimely information may acquire new 
significance as further investigation brings new details to light. In 
the criminal investigation process, accuracy and relevance of 
information can only be determine in a court of law. The restrictions 
imposed by subsection (e)(5) would restrict the ability of trained 
investigators to exercise their judgment in reporting on investigations 
and impede the development of criminal intelligence necessary for 
effective law enforcement.
    (G) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to criminal law enforcement 
by revealing investigative techniques, procedures, and the existence of 
confidential investigations.

    (16) A0195-6USACIDC.
    (i) System name: Criminal Investigation Accreditation and Polygraph 
Examiner Evaluation Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2), (k)(5), or (k)(7) may be exempt 
from the provisions of 5 U.S.C. 552a(d), (e)(1), (e)(4)(G), (e)(4)(H), 
and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2), (k)(5), and (k)(7).
    (iv) Reasons: (A) From subsections (d), (e)(4)(G), (e)(4)(H), and 
(f) because disclosure of portions of the information in this system of 
records would seriously impair the selection and management of these 
uniquely functioning individuals; hamper the inclusion of comments, 
reports and evaluations concerning the performance, qualifications, 
character, action and propensities of the agent; and prematurely 
compromise investigations with either concern the conduct of the agent 
himself or investigations wherein he or she is integrally or only 
peripherally involved. Additionally, the exemption from access 
necessarily includes exemptions from the amendment and the agency 
procedures which would otherwise be required to process these types of 
requests.
    (B) From subsection (e)(1) because the failure to maintain all known 
information about agents could affect the effective utilization of the 
individual and substantially increase the operational hazards incumbent 
in the employment of agents in very compromising and sensitive 
situations.

    (17) A0210-7DAMO.
    (i) System name: Expelled or Barred Person Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C.

[[Page 47]]

552a(c)(3), (c)(4), (d), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(8), 
(f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsection (c)(4), (d), (e)(4)(G), (e)(4)(H), 
(f) and (g) because granting individuals access to information collected 
and maintained by this component relating to the enforcement of laws 
could interfere with proper investigations and the orderly 
administration of justice. Disclosure of this information could result 
in the concealment, alteration or destruction of evidence, the 
identification of offenders or alleged offenders, nature and disposition 
of charges, and jeopardize the safety and well-being of informants, 
witnesses and their families, and law enforcement personnel and their 
families. Disclosure of this information could also reveal and render 
ineffectual investigative techniques, sources, and methods used by this 
component, and could result in the invasion of the privacy of 
individuals only incidentally related to an investigation. Exemption 
from access necessarily includes exemption from the other requirements.
    (B) From subsection (c)(3) because of the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because in a criminal or other law 
enforcement investigation, they require that information be collected to 
the greatest extent practicable from the subject individual would alert 
the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and be revealing investigative 
techniques, procedures or evidence.

    (18) A0340JDMSS.
    (i) System name: HDQA Correspondence and Control/Central File 
System.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k) may be exempt from the provisions 
of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1) through (k)(7).
    (iv) Reasons: Documents are generated by other elements of the Army 
or are received from other agencies and individuals. Because of the 
broad scope of the contents of this system and since the introduction of 
documents is largely unregulatable, specific portions or documents that 
may require an exemption cannot be predetermined. Therefore, and to the 
extent that such material is received and maintained, selected 
individual documents may be exempted from disclosure under any of the 
provisions of sections (k)(1) through (k)(7) of 5 U.S.C. 552a.

    (19) A0340-21SAIS.
    (i) System name: Privacy Case Files.
    (ii) Exemption: (A) All portions of this system of records which 
fall within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(5), (e)(8), (f), and (g).
    (B) All portions of this system maintained by the DA Privacy Review 
Board and those Access and Amendment Refusal Authorities which do not 
have a law enforcement mission and which fall within the scope of 5 
U.S.C. 552a(k)(1) through (k)(7) may be exempt from the provisions of 5 
U.S.C. 552a(c)(3)(d), (e)(1), (e)(4)(G), (e)(4)(H), and (f).
    (iii) Authority: 5 U.S.C. 552a(j)(2) and (k)(7).
    (iv) Reasons: This system of records is maintained solely for the 
purpose of administering the Privacy Act of 1974. To insure accurate and 
complete file on each case, it is sometimes necessary to include copies 
of records which have been the subject of a Privacy Act request. This 
situation applies principally to cases in which an individual

[[Page 48]]

has been denied access and/or amendment of personal records under an 
exemption authorized by 5 U.S.C. 552a. The same justification for the 
original denial would apply to a denial of access and/or amendment of 
copies maintained in the Privacy Act Case File. It should be emphasized 
that the majority of records in this system are available on request to 
the individual and that all records are used solely to administer 
Privacy Act requests. This file is not used to make any other 
determination on the rights, benefits or privileges of individuals.

    (20) [Reserved]

    (21) A0351-12DAPE.
    (i) System name: Applicants/Students, U.S. Military Academy Prep 
School.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) and (k)(7) may be exempt from 
the following provision of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5) and (k)(7).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluation material on individuals, furnished to the US Military Academy 
Preparatory School under an express promise of confidentiality, be 
maintained to ensure the candid presentation of information necessary in 
determinations involving admission to or retention at the United States 
Military Academy and suitability for commissioned military service.

    (22) A0351-17aUSMA.
    (i) System name: U.S. Military Academy Candidate Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5), (k)(6), or (k)(7) may be exempt 
from the provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5), (k)(6) and (k)(7).
    (iv) Reasons: (A) From subsection (d) because access might reveal 
investigatory and testing techniques. The exemption from access 
necessarily includes exemption from amendment, certain agency 
requirements relating to access and amendment of records, and civil 
liability predicated upon agency compliance with those specific 
provisions of the Privacy Act.
    (B) Exemption is necessary to protect the identity of individuals 
who furnished information to the United States Military Academy which is 
used in determining suitability, eligibility, or qualifications for 
military service and which was provided under an express promise of 
confidentiality.
    (C) Exemption is needed for the portion of records compiled within 
the Academy which pertain to testing or examination material used to 
rate individual qualifications, the disclosure of which would compromise 
the objectivity or fairness of the testing or examination process.
    (D) Exemption is required for evaluation material used by the 
Academy in determining potential for promotion in the Armed Services, to 
protect the identity of a source who furnished information to the 
Academy under an express promise of confidentiality.

    (23) A0351-17bUSMA.
    (i) System name: U.S. Military Academy Personnel Cadet Records.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) or (k)(7) may be exempt from the 
provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5) and (k)(7).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluation and investigatory material on candidates, cadets, and 
graduates, furnished to the United States Military Academy under promise 
of confidentiality be maintained to insure the candid presentation of 
information necessary in determinations involving admissions to the 
Military Academy and suitability for commissioned service and future 
promotion.

    (24) A0380-13DAMO.
    (i) System name: Local Criminal Intelligence Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(j)(2) may be exempt from the 
provisions of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(2), (e)(3), 
(e)(4)(G), (e)(4)(H), (e)(8), (f), and (g).
    (iii) Authority: 5 U.S.C. 552a(j)(2).
    (iv) Reasons: (A) From subsections (e)(4)(G), (e)(4)(H), (f), and 
(g) because granting individuals access to information collected and 
maintained by this

[[Page 49]]

component relating to the enforcement of laws could interfere with 
proper investigations and the orderly administration of justice. 
Disclosure of this information could result in the concealment, 
alteration or destruction of evidence, the identification of offenders 
or alleged offenders, nature and disposition of charges; and jeopardize 
the safety and well-being of informants, witnesses and their families, 
and law enforcement personnel and their families. Disclosure of this 
information could also reveal and render ineffectual investigative 
techniques, sources and methods used by this component and could result 
in the invasion of the privacy of individuals only incidentally related 
to an investigation. Exemption from access necessarily includes 
exemption from the other requirements.
    (B) From subsection (c)(3) because the release of accounting of 
disclosure would place the subject of an investigation on notice that he 
is under investigation and provide him with significant information 
concerning the nature of the investigation, thus resulting in a serious 
impediment to law enforcement investigations.
    (C) From subsection (e)(2) because, in a criminal or other law 
enforcement investigation, the requirement that information be collected 
to the greatest extent practicable from the subject individual would 
alert the subject as to the nature or existence of the investigation and 
thereby present a serious impediment to effective law enforcement.
    (D) From subsection (e)(3) because compliance would constitute a 
serious impediment to law enforcement in that it could compromise the 
existence of a confidential investigation or reveal the identity of 
witnesses or confidential informants.
    (E) From subsection (e)(8) because compliance with this provision 
would provide an impediment to law enforcement by interfering with the 
ability to issue warrants or subpoenas and by revealing investigative 
techniques, procedures or evidence.

    (25) A0380-67DAMI.
    (i) System name: Personnel Security Clearance Information Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 
(e)(4)(H), and (e)(4)(I).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5).
    (iv) Reasons: The material contained in this record system contains 
data concerning sensitive sources and operational methods whose 
dissemination must be strictly controlled because of national security 
intelligence considerations. Disclosure of documents or the disclosure 
accounting record may compromise the effectiveness of the operation, and 
negate specialized techniques used to support intelligence or criminal 
investigative programs, or otherwise interfere with the orderly conduct 
of intelligence operations or criminal investigations.

    (26) A0381-20bDAMI.
    (i) System name: Counterintelligence/Security Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5) may be 
exempt from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through 
(d)(5), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5).
    (iv) Reasons: (A) From subsection (c)(3) because disclosing the 
agencies to which information from this system has been released could 
inform the subject of an investigation of an actual or potential 
criminal violation, or intelligence operation or investigation; or the 
existence of that investigation or operation; of the nature and scope of 
the information and evidence obtained as to his/her activities or of the 
identify of confidential sources, witnesses, and intelligence personnel 
and could provide information to enable the subject to avoid detection 
or apprehension. Granting access to such information could seriously 
impede or compromise an investigation; endanger the physical safety of 
confidential sources, witnesses, intelligence personnel, and their 
families; lead to the improper influencing of witnesses; the destruction 
of evidence or the fabrication of testimony and disclose investigative 
techniques and procedures. In addition, granting access to such 
information

[[Page 50]]

could disclose classified and sensitive sources, information, and 
operational methods and could constitute an unwarranted invasion of the 
personal privacy of others.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records in this system of records could inform the subject of a 
counterintelligence operation or investigation of an actual or potential 
criminal violation or the existence of that operation or investigation; 
of the nature and scope of the information and evidence obtained as to 
his/her activities; or of the identity of confidential sources, 
witnesses and intelligence personnel and could provide information to 
enable the subject to avoid detection or apprehension. Granting access 
to such information could seriously impede or compromise an operation or 
investigation; endanger the physical safety of confidential sources, 
witnesses, intelligence personnel and their families; lead to the 
improper influencing of witnesses; the destruction of evidence or the 
fabrication of testimony and disclose investigative techniques and 
procedures. In addition, the agency is required to protect the 
confidentiality of sources who furnished information to the Government 
under an expressed promise of confidentiality or, prior to September 27, 
1975, under an implied promise that the identity of the source would be 
held in confidence. This confidentiality is needed to maintain the 
Government's continued access to information from persons who otherwise 
might refuse to give it.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of specific information in the early 
stages of an investigation or operation. Relevance and necessity are 
often questions of judgement and timing, an it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established. In addition, during the course of the 
investigation or operation, the investigator may obtain information 
which is incidental to the main purpose of the investigative 
jurisdiction of another agency. Such information cannot readily be 
segregated. Furthermore, during the course of the investigation or 
operation, the investigator may obtain information concerning violations 
of laws other than those which are within the scope of his/her 
jurisdiction. In the interest of effective intelligence operations and 
law enforcement, military intelligence agents should retain information, 
since it an aid in establishing patterns of criminal or intelligence 
activity and provide valuable leads for other law enforcement or 
intelligence agencies.
    (D) From subsection (e)(4)(G), (e)(4)(H), and (f) because this 
system or records is being exempt from subsections (d) of the Act, 
concerning access to records. These requirements are inapplicable to the 
extent that this system of records will be exempt from subsections 
(d)(1) through (d)(5) of the Act. Although the system would be exempt 
from these requirements, the Deputy Chief of Staff for Intelligence has 
published information concerning its notification, access, and contest 
procedures because under certain circumstances, the Deputy Chief of 
Staff for Intelligence could decide it is appropriate for an individual 
to have access to all or a portion os his/her records in this system of 
records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of the sources of information, to protect the privacy 
and physical safety of confidential sources and witnesses and to avoid 
the disclosure of investigative techniques and procedures. Although the 
system will be exempt from this requirement, the Deputy Chief of Staff 
for Intelligence has published such a notice in broad, generic terms.

    (27) A0381-100aDAMI.
    (i) System name: Intelligence/Counterintelligence Source Files.
    (ii) Exemption: All portions of this system of records that fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through (d)(5), 
(e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5).
    (iv) Reasons: (A) From subsection (c)(3)because disclosing the 
agencies to which information from this system

[[Page 51]]

has been released could reveal the subject's involvement in a sensitive 
intelligence or counterintelligence operation or investigation of an 
actual or potential criminal violation, or intelligence operation or 
investigation; or the existence of that investigation or operation. 
Granting access to such information could seriously impede or compromise 
an investigation or operation; endanger the physical safety of 
participants and their families, confidential sources, witnesses, 
intelligence personnel, and their families; and lead to the improper 
influencing of witnesses; the destruction of evidence or the fabrication 
of testimony and disclose investigative techniques and procedures.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records could inform the subject of an intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation or the existence of that operation or investigation; 
or the nature and scope of the information and evidence obtained, or of 
the identity of confidential sources, witnesses and intelligence 
personnel. Granting access to such information could seriously impede or 
compromise an operation or investigation; endanger the physical safety 
of confidential sources, witnesses, intelligence personnel and their 
families; lead to the improper influencing of witnesses; the destruction 
of evidence or the fabrication of testimony; disclose investigative 
techniques and procedures; invade the privacy of those individuals 
involved in intelligence programs and their families; compromise and 
thus negate specialized techniques used to support intelligence 
programs; and interfere with and negate the orderly conduct of 
intelligence and counterintelligence operations and investigations. In 
addition, the agency is required to protect the confidentiality of 
sources who furnished information to the Government under an expressed 
promise of confidentiality or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence. This confidentiality is needed to maintain the Government's 
continued access to information from persons who otherwise might refuse 
to give it.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of specific information in the early 
stages of an investigation or operation. Relevance and necessity are 
often questions of judgment and timing, and it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established. In addition, during the course of the 
investigation or operation, the investigator or operative may obtain 
information which is incidental to the main purpose of the investigative 
jurisdiction of another agency. Such information cannot readily be 
segregated. Furthermore, during the course of the investigation or 
operation, the investigator may obtain information concerning violations 
of law other than those which are within the scope of his/her 
jurisdiction. In the interest of effective intelligence operations and 
law enforcement, military intelligence agents should retain information, 
since it is an aid in establishing patterns of criminal or intelligence 
activity and provides valuable leads for other law enforcement or 
intelligence agencies.
    (D) From subsection (e)(4)(G), (e)(4)(H), and (f) because this 
system of records is being exempt from subsection (d) of the Act 
concerning access to records. These requirements are inapplicable to the 
extent that this system of records will be exempt from subsections 
(d)(1) through (d)(5) of the Act. Although the system would be exempt 
from these requirements, the Deputy Chief of Staff for Intelligence has 
published information concerning its notification, access, and contest 
procedures because under certain circumstances, the Deputy Chief of 
staff for Intelligence could decide it is appropriate for an individual 
to have access to all or a portion of his/her records in this system of 
records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of sources of information, to protect the privacy and 
physical safety of participants and their families, confidential 
sources, and witnesses and to avoid the disclosure of specialized 
techniques and procedures. Although the

[[Page 52]]

system will be exempt from this requirement, the Deputy Chief of Staff 
for Intelligence has published such a notice in broad generic terms.

    (28) A0381-100bDAMI
    (i) System name: Technical Surveillance Index.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5) may be 
exempt from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through 
(d)(5), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2) or (k)(5).
    (iv) Reasons: (A) From subsection (c)(3) because disclosing the 
identities of agencies to which information from this system has been 
released could inform the subject of an investigation of an actual or 
potential criminal violation or intelligence operation; of the existence 
of that investigation or operation; of the nature and scope of the 
information and evidence obtained as to his/her activities or of the 
identify of confidential sources, witnesses, and intelligence or law 
enforcement personnel and could provide information to enable the 
subject to avoid detection or apprehension. Granting access to such 
information could seriously impede or compromise an investigation; 
endanger the physical safety of confidential sources, witnesses, 
intelligence or law enforcement personnel, and their families; lead to 
the improper influencing of witnesses; the destruction of evidence or 
the fabrication of testimony and disclose investigative techniques and 
procedures. In addition, granting access to such information could 
disclose classified and sensitive sources and operational methods and 
could constitute an unwarranted invasion of the personal privacy of 
others.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records in this system of records could inform the subject of an 
investigation of an actual or potential criminal violation; of the 
existence of that investigation; of the nature and scope of the 
information and evidence obtained as to his/her activities; or of the 
identity of confidential sources, witnesses and intelligence or law 
enforcement personnel and could provide information to enable the 
subject to avoid detection or apprehension. Granting access to such 
information could seriously impede or compromise an investigation; 
endanger the physical safety of confidential sources, witnesses, 
intelligence or law enforcement personnel and their families; lead to 
the improper influencing of witnesses; the destruction of evidence or 
the fabrication of testimony and disclose investigative techniques and 
procedures. In addition, granting access to such information could 
disclose classified, sensitive sources and operational methods and could 
constitute an unwarranted invasion of the personal privacy of others.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of specific information in the early 
stages of an investigation or operation. Relevance and necessity are 
often questions of judgment and timing, and it is only after the 
information is evaluated that the relevance and necessity of such 
information can be established. In addition, during the course of the 
investigation or operation, the investigator may obtain information 
which is incidental to the main purpose of the investigative 
jurisdiction of another agency. Such information cannot readily be 
segregated. Furthermore, during the course of the investigation or 
operation, the investigator may obtain information concerning violation 
of laws other than those which are within the scope of his/her 
jurisdiction. In the interest of effective intelligence operations and 
law enforcement, criminal law enforcement investigators and military 
intelligence agents should retain this information, since it can aid in 
establishing patterns of criminal or intelligence activity and can 
provide valuable leads for other law enforcement or intelligence 
agencies.
    (D) From subsections (e)(4)(G) and (e)(4)(H) because this system of 
records is being exempt from subsections (d) of the Act, concerning 
access to records, these requirements are inapplicable to the extent 
that this system of records will be exempt from subsections (d)(1) 
through (d)(5) of the Act. Although the system would be exempt from 
these requirements, the Deputy Chief of Staff for Intelligence and the 
U.S. Army

[[Page 53]]

Criminal Investigations Command have published information concerning 
its notification, access, and contest procedures for their respective 
areas because, under certain circumstances, the Deputy Chief of Staff 
for Intelligence or the U.S. Army Criminal Investigations Command could 
decide it is appropriate for an individual to have access to all or a 
portion of his/her records in this system of records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of the sources of information, to protect the privacy 
and physical safety of confidential sources and witnesses and to avoid 
the disclosure of investigative techniques and procedures. Although the 
system will be exempt from this requirement, the Deputy Chief of Staff 
for Intelligence and the U.S. Army Criminal Investigations Command have 
published such a notice in broad, generic terms.

    (29) A0601-141DASG.
    (i) System name: Army Medical Procurement Applicant Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) may be exempt from the 
provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluations and investigatory material on applicants applying for 
enlistment furnished to the US Army Recruiting Command under an express 
promise of confidentiality, be maintained to insure the candid 
presentation of information necessary in determinations of enlistment 
and suitability for enlistment into the United States Army.

    (30) A0601-210aUSAREC.
    (i) System name: Enlisted Eligibility Files.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(5) may be exempt from the 
provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(5).
    (iv) Reasons: It is imperative that the confidential nature of 
evaluations and investigatory material on applicants applying for 
enlistment furnished to the US Army Recruiting Command under an express 
promise of confidentiality, be maintained to insure the candid 
presentation of information necessary in determinations of enlistment 
and suitability for enlistment into the United States Army.

    (31) A0601-222USMEPCOM.
    (i) System name: ASVAB Student Test Scoring and Reporting System.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(6) may be exempt from the 
provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(6).
    (iv) Reasons: An exemption is required for those portions of the 
Skill Qualification Test system pertaining to individual item responses 
and scoring keys to prelude compromise of the test and to insure 
fairness and objectivity of the evaluation system.

    (32) A0608-18DASG.
    (i) System name: Family Advocacy Case Management.
    (ii) Exemption: All portions of this system of records which fall 
within the scope of 5 U.S.C. 552a(k)(2) and (k)(5) may be exempt from 
the provisions of 5 U.S.C. 552a(d).
    (iii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iv) Reasons: Exemptions are needed in order to encourage persons 
having knowledge of abusive or neglectful acts toward children to report 
such information and to protect such sources from embarrassment or 
recriminations as well as to protect their right to privacy. It is 
essential that the identities of all individuals who furnish information 
under an express promise of confidentiality be protected. In the case of 
spouse abuse, it is important to protect the privacy of spouses seeking 
treatment. Additionally, granting individuals access to information 
relating to criminal and civil law enforcement could interfere with on-
going investigations and the orderly administration of justice in that 
it could result in the concealment, alteration, destruction, or 
fabrication of information, could hamper the identification of offenders 
or alleged offenders, and the disposition of charges, and could 
jeopardize the safety and well-being of parents, children, and abused 
spouses.

    (33) A0614-115DAMI.

[[Page 54]]

    (i) System name: Department of the Army Operational Support 
Activities.
    (ii) Exemption: All portions of this system of records that fall 
within the scope of 5 U.S.C. 552a(k)(1), (k)(2), or (k)(5) may be exempt 
from the provisions of 5 U.S.C. 552a(c)(3), (d)(1) through (d)(5), 
(e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(1), (k)(2), and (k)(5).
    (iv) Reasons: (A) From subsection (c)(3)because disclosing the 
agencies to which information from this system has been released could 
reveal the subject's involvement in a sensitive intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation, or intelligence operation or investigation; or the 
existence of that investigation or operation. Granting access to such 
information could seriously impede or compromise an investigation or 
operation; endanger the physical safety of participants and their 
families, confidential sources, witnesses, intelligence personnel, and 
their families; and lead to the improper influencing of witnesses; the 
destruction of evidence or the fabrication of testimony and disclose 
investigative techniques and procedures.
    (B) From subsection (d)(1) through (d)(5) because granting access to 
records could inform the subject of an intelligence or 
counterintelligence operation or investigation of an actual or potential 
criminal violation or the existence of that operation or investigation; 
of the nature and scope of the information and evidence obtained, or of 
the identity of confidential sources, witnesses and intelligence 
personnel. Granting access to such information could seriously impede or 
compromise an operation or investigation; endanger the physical safety 
of confidential sources, witnesses, intelligence personnel and their 
families; lead to the improper influencing of witnesses; the destruction 
of evidence or the fabrication of testimony; disclose investigative 
techniques and procedures; invade the privacy of those individuals 
involved in intelligence programs and their families; compromise and 
thus negate specialized techniques used to support intelligence 
programs; and interfere with and negate the orderly conduct of 
intelligence and counterintelligence operations and investigations. In 
addition, the agency is required to protect the confidentiality of 
sources who furnished information to the Government under an expressed 
promise of confidentiality or, prior to September 27, 1975, under an 
implied promise that the identity of the source would be held in 
confidence. This confidentiality is needed to maintain the Government's 
continued access to information from persons who otherwise might refuse 
to give it.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance of specific information in the early stages of an 
investigation or operation. Relevance and necessity are often questions 
of judgment and timing, and it is only after the information is 
evaluated that the relevance and necessity of such information can be 
established. In addition, during the course of the investigation or 
operation, the investigator or operative may obtain information which is 
incidental to the main purpose of the investigative jurisdiction of 
another agency. Such information cannot readily be segregated. 
Furthermore, during the course of the investigation or operation, the 
investigator may obtain information concerning violations of law other 
than those which are within the scope of his/her jurisdiction. In the 
interest of effective intelligence operations and law enforcement, 
military intelligence agents should retain information, since it is an 
aid in establishing patterns of criminal or intelligence activity and 
provides valuable leads for other law enforcement or intelligence 
agencies.
    (D) From subsection (e)(4)(G), (e)(4)(H), and (f) because this 
system or records is being exempt from subsections (d) of the Act, 
concerning access to records. These requirements are inapplicable to the 
extent that this system of records will be exempt from subsections 
(d)(1) through (d)(5) of the Act. Although the system would be exempt 
from these requirements, the Deputy Chief of Staff for Intelligence has 
published information concerning its notification, access, and contest

[[Page 55]]

procedures because under certain circumstances, the Deputy Chief of 
Staff for Intelligence could decide it is appropriate for an individual 
to have access to all or a portion os his/her records in this system of 
records.
    (E) From subsection (e)(4)(I) because it is necessary to protect the 
confidentiality of sources of information, to protectthe privacy and 
physical safety of participants and their families, confidential 
sources, and witnesses and to avoid the disclosure of specialized 
techniques and procedures. Although the system will be exempt from this 
requirement, the Deputy Chief of Staff for Intelligence has published 
such a notice in broad, generic terms.

    (f) Exempt OPM records. Three Office of Personnel Management systems 
of records apply to Army employees, except for nonappropriated fund 
employees. These systems, the specific exemptions determined to be 
necessary and proper, the records exempted, provisions of the Privacy 
Act from which exempt, and justification are set forth below:
    (1) Personnel Investigations Records (OPM/CENTRAL-9). All material 
and information in these records that meets the criteria stated in 5 
U.S.C. 552a(k)(1), (k)(2), (k)(3), (k)(5), and (k)(6) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the 
Privacy Act relate to making accountings of disclosures available to the 
data subject and access to and amendment of records. The specific 
applicability of the exemptions to this system and the reasons for the 
exemptions are as follows:
    (i) Personnel investigations may obtain from another Federal agency 
properly classified information which pertains to national defense and 
foreign policy. Application of exemption (k)(1) may be necessary to 
preclude the data subject's access to and amendment of such classified 
information under 5 U.S.C. 552a(d).
    (ii) Personnel investigations may contain investigatory material 
compiled for law enforcement purposes other than material within the 
scope of 5 U.S.C. 552a(j)(2), e.g., investigations into the 
administration of the merit system. Application of exemption (k)(2) may 
be necessary to preclude the data subject's access to or amendment of 
such records, under 552a(c)(3) and (d).
    (iii) Personnel investigations may obtain from another Federal 
agency information that relates to providing protective services to the 
President of the United States or other individuals pursuant to section 
3056 of title 18. Application of exemption (k)(3) may be necessary to 
preclude the data subject's access to and amendment of such records 
under 5 U.S.C. 552a(d).
    (iv) All information about individuals in these records that meets 
the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (4). These provisions of the 
Privacy Act relate to making accountings of disclosures available to the 
data subject, and access to and amendment of records. These exemptions 
are claimed because this system contains investigatory material compiled 
solely for the purpose of determining suitability, eligibility, and 
qualifications for Federal civilian employment. To the extent that the 
disclosure of material would reveal the identity of source who furnished 
information to the Government under an express promise that the identity 
of the source would held in confidence, or, prior to September 27, 1975, 
under an implied promise that the identity of the source would be held 
in confidence, the application of exemption (k)(5) will be required to 
honor such a promise should the data subject request access to or 
amendment of the record, or access to the accounting of disclosures of 
the record.
    (v) All material and information in the records that meets the 
criteria stated in 5 U.S.C. 552a(k)(6) is exempt from the requirements 
of 5 U.S.C. 552a(d), relating to access to and amendment of records by 
the data subject. This exemption is claimed because portions of this 
system relate to testing or examination materials used solely to 
determine individual qualifications for appointment or promotion in the 
Federal service. Access to or amendment of this information by the data 
subject would compromise the objectivity and fairness of the testing or 
exemption process.
    (2) Recruiting, Examining, and Placement Records (OPM/GOVT-5).

[[Page 56]]

    (i) All information about individuals in these records that meets 
the criteria stated in 5 U.S.C. 552a(k)(5) is exempt from the 
requirements of 5 U.S.C. 552a(c)(3) and (d). These provisions of the 
Privacy Act relate to making accountings of disclosures available to the 
data subject and access to and amendment of records. These exemptions 
are claimed because this system contains investigative material compiled 
solely for the purpose of determining the appropriateness of a request 
for approval of an objection to an eligible's qualification for 
employment in the Federal service. To the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the Government under an express promise that the identity 
of the source would be held in confidence, the application of exemption 
(k)(5) will be required to honor such a promise should the data subject 
request access to the accounting of disclosures of the record.
    (ii) All material and information in these records that meets the 
criteria stated in 5 U.S.C. 552a(k)(6) are exempt from the requirements 
of 5 U.S.C. 552a(d), relating to access to and amendment of records by 
the subject. The exemption is claimed because portions of this system 
relate to testing or examination materials used solely to determine 
individual qualification for appointment or promotion in the Federal 
service and access to or amendment of this information by the data 
subject would compromise the objectivity and fairness of the testing or 
examining process.
    (3) Personnel Research Test Validation Records (OPM/GOVT-6). All 
material and information in these records that meets the criteria stated 
in 5 U.S.C. 552a(k)(6) is exempt from the requirements of 5 U.S.C. 
552a(d), relating to access to and amendment of the records by the data 
subject. This exemption is claimed because portions of this system 
relate to testing or examination materials used solely to determine 
individual qualifications for appointment or promotion in the Federal 
service. Access to or amendment of this information by the data subject 
would compromise the objectivity and fairness of the testing or 
examination process.
[61 FR 43657, Aug. 26, 1996, as amended at 62 FR 48480, Sept. 16, 1997]

       Appendix A to Part 505--Example of System of Records Notice

                              A0319.01DACA

                              System name:

    Out-of-Service Accounts Receivables.

                            System location:

    US Army Finance and Accounting Center, Ft Benjamin Harrison, IN 
46249.

            Categories of individuals covered by the system:

    Separated and retired military/civilian personnel and others 
indebted to the US Army.

                  Categories of records in the system:

    Records of current and former military members and civilian 
employees' pay accounts showing entitlements, deductions, payments made, 
and any indebtedness resulting from deductions and payments exceeding 
entitlements. These records include, but are not limited to:
    a. Individual military pay records, substantiating documents such as 
military pay orders, pay adjustment authorizations, military master pay 
account printouts from the Joint Uniform Military Pay System (JUMPS), 
records of travel payments, financial record data folders, miscellaneous 
vouchers, personal financial records, credit reports, promissory notes, 
individual financial statements, and correspondence;
    b. Application for waiver of erroneous payments or for remission of 
indebtedness with supporting documents, including, but not limited to 
statements of financial status (personal income and expenses), 
statements of commanders and/or accounting and finance officers, 
correspondence with members and employees;
    c. Claims of individuals requesting additional payments for service 
rendered with supporting documents including, but not limited to, time 
and attendance reports, leave and earnings statements, travel orders 
and/or vouchers, and correspondence with members and employees;
    d. Delinquent accounts receivable from field accounting and finance 
officers including, but not limited to, returned checks, medical 
services billings, collection records, and summaries of the Army 
Criminal Investigations Command and/or Federal Bureau of Investigation 
reports:
    e. Reports from probate courts regarding estates of deceased 
debtors;

[[Page 57]]

    f. Reports from bankruptcy courts regarding claims of the United 
States against debtors.

                Authority for maintenance of the system:

    31 U.S.C., section 3711; 10 U.S.C., section 2774; and 12 U.S.C., 
section 1715.

                                Purpose:

    To process, monitor, and post-audit accounts receivable, to 
administer the Federal Claims Collection Act, and to answer inquiries 
pertaining thereto.

Routine users of records maintained in the system, including categories 
                 of users and the purposes of such uses:

    Information may be disclosed to:
    US Department of Justice/US Attorneys: For legal action and/or final 
disposition of the debt claims. The litigation briefs (comprehensive, 
written referral recommendations) will restructure the entire scope of 
the collection cases.
    Internal Revenue Service: To obtain locator status for delinquent 
accounts receivables; (Automated controls exist to preclude redisclosure 
of solicited IRS address data); and/or to report write-off amounts as 
taxable income as pertains to amounts compromised and accounts barred 
from litigation due to age.
    Private Collection Agencies: For collection action when the Army has 
exhausted its internal collection efforts.

               Disclosure to Consumer Reporting Agencies:

    Disclosures pursuant to 5 U.S.C. 552a(b)(12) may be made to 
``consumer reporting agencies'' as defined in the Fair Credit Reporting 
Act (15 U.S.C. 1681a(f) or the Federal Claims Collection Act of 1966 (31 
U.S.C. 3701(a)(3)) when an individual is responsible for a debt to the 
US Army, provided the debt has been validated, is overdue, and the 
debtor has been advised of the disclosure and his rights to dispute, 
appeal or review the claim; and/or whenever a financial status report is 
requested for use in the administration of the Federal Claims Collection 
Act. Claims of the United States may be compromised, terminated or 
suspended when warranted by information collected.

 Policies and practices for storing, retrieving, accessing, retaining, 
                 and disposing of records in the system:

                                Storage:

    Paper records in collection file folders and bulk storage; card 
files, computer magnetic tapes and printouts; microfiche.

                             Retrievability:

    By Social Security Number, name, and substantiating document number; 
conventional indexing is used to retrieve data.

                               Safeguards:

    The US Army Finance and Accounting Center employs security guards. 
An employee badge and visitor registration system is in effect. Hard 
copy records are maintained in areas accessible only to authorized 
personnel who are properly screened, cleared and trained. Computerized 
records are accessed by custodian of the records system and by persons 
responsible for servicing the record system in the performance of their 
official duties. Certifying finance and accounting officers of debts 
have access to debt information to confirm if the debt is valid and 
collection action is to be continued. Computer equipment and files are 
located in a separate secured area.

                         Retention and disposal:

    Individual military pay records and accounts receivables are 
converted to microfiche and retained for 6 years. Destruction is by 
shredding. Retention periods for other records vary according to 
category, but total retention does not exceed 56 years; these records 
are sent to the Federal Records Center, General Services Administration 
at Dayton, Ohio; destruction is by burning or salvage as waste paper.

                     System manager(s) and address:

    Commander, US Army Finance and Accounting Center Indianapolis, IN 
46249.

                         Notification procedure:

    Individuals desiring to know whether this system of records contains 
information about them should contact the System Manager, ATTN: FINCP-F, 
furnishing full name, Social Security Number, and military status or 
other information verifiable from the record itself.

                        Record access procedures:

    Individuals seeking access to records in this system pertaining to 
them should submit a written request as indicated in ``Notification 
procedure'' and furnish information required therein.

                      Contesting record procedures:

    The Army's rules for access to records and for contesting and 
appealing initial determinations are contained in Army Regulation 340-21 
(32 CFR part 505).

[[Page 58]]

                        Record source categories:

    Information is received from Department of Defense staff and field 
installations, Social Security Administration, Treasury Department, 
financial organizations, and automated system interface.

          Systems exempted from certain provisions of the act:

    None.

   Appendix B to Part 505--Example of Report for New System of Records

                           Narrative Statement

    1. System Identification and Name: A0404.02DAJA, Courts-Martial 
Files.
    2. Responsible Official: Mr. James D. Kemper, US Army Legal Services 
Agency, Office of The Judge Advocate General, Room 204B, Nassif 
Building, Falls Church, VA 22041.
    3. Purpose of the System: Records of trial by court-martial are 
necessary for the purpose of legal review and final action in court-
martial cases. After completion of appellate review, they protect each 
accused against a subsequent trial for the same offense(s).
    4. Authority for the System: Title 10 U.S.C., Chapter 47, Section 
865 states that, in the case of a general court-martial or when sentence 
that includes a bad conduct discharge is approved by the convening 
authority in a special court-martial, the record will be sent to The 
Judge Advocate General. All other special and summary court-martial 
records will be reviewed by a Judge Advocate.
    5. Number (or estimate) of individuals on whom records will be 
maintained: Approximately 7,000,000.
    6. Information on First Amendment Activities: The system contains no 
information on First Amendment activities per se; however, the system 
may include records of trial in which the charged misconduct was an 
activity arguably protected by the First Amendment.
    7. Measures to Assure Information Accuracy: In a trial by court-
martial, the accused has a unique opportunity to assure that his record 
is accurate, relevant, timely, and complete as it is made. He has the 
right to be present at trial, to be represented by counsel in general 
and special courts-martial and to consult with counsel prior to a 
summary courts-martial to review and challenge all information before it 
is introduced into evidence, to cross-examine all witnesses against him, 
to present evidence in his behalf, and in general and special courts-
martial, to review and comment upon the record of trial before the 
convening authority's action.
    8. Other Measures to Assure System Security: As courts-martial 
records reflect criminal proceedings ordinarily open to the public, 
copies are normally releasable to the public pursuant to the Freedom of 
Information Act. However, access to the original records is limited to 
authorized individuals. Security measures consist of standard physical 
security devices and civilian and military guards.
    9. Relationship to State/Local Government Activities: None.
    10. Supporting Documentation: Proposed system notice and proposed 
exemption rule are at Encl 1 and 2 respectively.

   Appendix C to Part 505--Provisions of the Privacy Act From Which a 
              General or Specific Exemption May Be Claimed

                                                                        
------------------------------------------------------------------------
                  Exemption                                             
--------------------------------------------- Section of the Privacy Act
       (j)(2)                (k)(l-7)                                   
------------------------------------------------------------------------
No                    No                      (b)(1) Disclosures within 
                                               the Department of        
                                               Defense.                 
No                    No                        (2) Disclosures to the  
                                                 public.                
No                    No                        (3) Disclosures for a   
                                                 ``Routine Use.''       
No                    No                        (4) Disclosures to the  
                                                 Bureau of Census.      
No                    No                        (5) Disclosures for     
                                                 statistical research   
                                                 and reporting.         
No                    No                        (6) Disclosures to the  
                                                 National Archives.     
No                    No                        (7) Disclosures for law 
                                                 enforcement purposes.  
No                    No                        (8) Disclosures under   
                                                 emergency              
                                                 circumstances.         
No                    No                        (9) Disclosures to the  
                                                 Congress.              
No                    No                        (10) Disclosures to the 
                                                 General Accounting     
                                                 Office.                
No                    No                        (11) Disclosures        
                                                 pursuant to court      
                                                 orders.                
No                    No                        (12) Disclosure to      
                                                 consumer reporting     
                                                 agencies.              
No                    No                      (c)(1) Making disclosure  
                                               accountings.             
No                    No                        (2) Retaining disclosure
                                                 accountings.           
Yes                   Yes                     (c)(3) Making disclosure  
                                               accounting available to  
                                               the individual.          
Yes                   No                      (c)(4) Informing prior    
                                               recipients of            
                                               corrections.             
Yes                   Yes                     (d)(1) Individual access  
                                               to records.              
Yes                   Yes                       (2) Amending records.   
Yes                   Yes                       (3) Review of the       
                                                 Component's refusal to 
                                                 amend a record.        
Yes                   Yes                       (4) Disclosure of       
                                                 disputed information.  
Yes                   Yes                       (5) Access to           
                                                 information compiled in
                                                 anticipation of civil  
                                                 action.                
Yes                   Yes                     (e)(1) Restrictions on    
                                               collecting information.  
Yes                   No                      (e)(2) Collecting directly
                                               from the individual.     
Yes                   No                        (3) Informing           
                                                 individuals from whom  
                                                 information is         
                                                 requested.             
No                    No                      (e)(4)(A) Describing the  
                                               name and location of the 
                                               system.                  
No                    No                        (B) Discribing          
                                                 categories of          
                                                 individuals.           
No                    No                        (C) Describing          
                                                 categories of records. 
No                    No                        (D) Describing routine  
                                                 uses.                  
No                    No                        (E) Describing records  
                                                 management policies and
                                                 practices.             
No                    No                        (F) Identifying         
                                                 responsible officials. 

[[Page 59]]

                                                                        
Yes                   Yes                     (e)(4)(G) Procedures for  
                                               determining if a system  
                                               contains a record on an  
                                               individual.              
Yes                   Yes                       (H) Procedures for      
                                                 gaining access.        
Yes                   Yes                       (I) Describing          
                                                 categories of          
                                                 information sources.   
Yes                   No                      (e)(5) Standards of       
                                               accuracy.                
No                    No                      (e)(6) Validating records 
                                               before disclosure.       
No                    No                      (e)(7) Records of First   
                                               Amendment activities.    
No                    No                      (e)(8) Notification of    
                                               disclosure under         
                                               compulsory legal process.
No                    No                      (e)(9) Rules of conduct.  
No                    No                      (e)(10) Administrative,   
                                               technical and physical   
                                               safeguards.              
No                    No                        (11) Notice for new and 
                                                 revised routine uses.  
Yes                   Yes                     (f)(1) Rules for          
                                               determining if an        
                                               individual is subject of 
                                               a record.                
Yes                   Yes                     (f)(2) Rules for handling 
                                               access requests.         
Yes                   Yes                     (f)(3) Rules for granting 
                                               access.                  
Yes                   Yes                     (f)(4) Rules for amending 
                                               records.                 
Yes                   Yes                     (f)(5) Rules regarding    
                                               fees.                    
Yes                   No                      (g)(1) Basis for civil    
                                               action.                  
Yes                   No                      (g)(2) Basis for judicial 
                                               review and remedies for  
                                               refusal to amend.        
Yes                   No                      (g)(3) Basis for judicial 
                                               review and remedies for  
                                               denial of access.        
Yes                   No                      (g)(4) Basis for judicial 
                                               review and remedies for  
                                               other failure to comply. 
Yes                   No                      (g)(5) Jurisdiction and   
                                               time limits.             
Yes                   No                      (h) Rights of legal       
                                               guardians.               
No                    No                      (i)(1) Criminal penalties 
                                               for unauthorized         
                                               disclosure.              
No                    No                        (2) Criminal penalites  
                                                 for failure to publish.
No                    No                        (3) Criminal penalties  
                                                 for obtaining records  
                                                 under false pretenses. 
Yes                   No                      (j) Rulemaking            
                                               requirement.             
N/A                   No                      (j)(1) General exemption  
                                               for the Central          
                                               Intelligence Agency.     
N/A                   No                      (j)(2) General exemption  
                                               for criminal law         
                                               enforcement records.     
Yes                   N/A                     (k)(1) Exemption for      
                                               classified material.     
N/A                   N/A                     (k)(2) Exemption for law  
                                               enforcement material.    
Yes                   N/A                     (k)(3) Exemption for      
                                               records pertaining to    
                                               Presidential protection. 
Yes                   N/A                     (k)(4) Exemption for      
                                               statistical records.     
Yes                   N/A                     (k)(5) Exemption for      
                                               investigatory material   
                                               compiled for determining 
                                               suitability for          
                                               employment or service.   
Yes                   N/A                     (k)(6) Exemption for      
                                               testing or examination   
                                               material.                
Yes                   N/A                     (k)(7) Exemption for      
                                               promotion evaluation     
                                               materials used by the    
                                               Armed Forces.            
Yes                   No                      (l)(1) Records stored in  
                                               GSA records centers.     
Yes                   No                      (l)(2) Records archived   
                                               before September 27,     
                                               1975.                    
Yes                   No                      (l)(3) Records archived on
                                               or after September 27,   
                                               1975.                    
Yes                   No                      (m) Applicability to      
                                               government contractors.  
Yes                   No                      (n) Mailing lists.        
Yes                   No                      (o) Reports on new        
                                               systems.                 
Yes                   No                      (p) Annual report.        
------------------------------------------------------------------------

          Appendix D to Part 505--Glossary of            Terms

                                Section I

                              Abbreviations

                                  AAFES

Army and Air Force Exchange Service

                                  AARA

Access and Amendment Refusal Authority

                                  ACSIM

Assistant Chief of Staff for Information Management

                                   DA

Department of the Army

                                   DOD

Department of Defense

                                   GAO

General Accounting Office

                                   GSA

General Services Administration

                                  JUMPS

Joint uniform military pay system

                                  MACOM

Major Army command

                                  MPMIS

Military Police management information system

                                  NARS

National Archives and Records Service

                                   NGB

National Guard Bureau

                                   OMB

Office of Management and Budget

                                   OPM

Office of Personnel Management

                                   SSN

Social Security Number

                                   TAG

The Adjutant General

[[Page 60]]

                                   TIG

The Inspector General

                                  TJAG

The Judge Advocate General

                                 USACIDC

U.S. Army Criminal Investigation Command

                               Section II

                                  Terms

                                 Access

The review of a record or obtaining a copy of a record or parts thereof 
in a system of records.

                                 Agency

The DOD is a single agency for the purpose of disclosing records subject 
to The Privacy Act of 1974. For other purposes, including access, 
amendment, appeals from denials of access or amendment, exempting 
systems of records, and record-keeping for release to non-DOD agencies, 
the DA is an agency.

                 Access and Amendment Refusal Authority

The Army Staff agency head or major Army commander designated sole 
authority by this regulation to deny access to, or refuse amendment of, 
records in his or her assigned area or functional specialization.

                           Confidential source

A person or organization that has furnished information to the Federal 
Government under an express promise that its identity would be withheld, 
or under an implied promise of such confidentiality if this implied 
promise was made before September 27, 1975.

                              Data subject

The individual about whom the Army is maintaining information in a 
system of records.

                               Disclosure

The furnishing of information about an individual by any means, to an 
organization, Government agency, or to an individual who is not the 
subject of the record, the subject's designated agent or legal guardian. 
Within the context of the Privacy Act and this regulation, this term 
applies only to personal information that is a part of a system of 
records.

                               Individual

A living citizen of the United States or an alien admitted for permanent 
residence. The Privacy Act rights of an individual may be exercised by 
the parent or legal guardian of a minor or an incompetent. (The Privacy 
Act confers no rights on deceased persons, nor may their next-of-kin 
exercise any rights for them.)

                                Maintain

Collect, use, maintain, or disseminate.

                              Official use

Any action by a member or employee of DOD that is prescribed or 
authorized by law or a regulation and is intended to perform a mission 
or function of the Department.

                          Personal information

Information about an individual that is intimate or private to the 
individual, as distinguished from information related solely to the 
individual's official functions or public life.

                           Privacy Act request

A request from an individual for information about the existence of, or 
for access to or amendment of, a record about him or her that is in a 
system of records. The request must cite or implicitly refer to the 
Privacy Act.

                                 Record

Any item, collection, or grouping of information about an individual 
that--
    a. Is kept by the Government including, but not limited to, an 
individual's home address, home telephone number, SSN, education, 
financial transactions, medical history, and criminal or employment 
history.
    b. Contains an individual's name, identifying number, symbol, or 
other individual identifier such as a finger, voice print, or a 
photograph.

                               Routine use

Disclosure of a record outside DOD without the consent of the subject 
individual for a use that is compatible with the purpose for which the 
information was collected and maintained by DA. The routine use must be 
included in the published system notice for the system of records 
involved.

                           Statistical record

A record maintained only for statistical research or reporting purposes 
and not used in whole or in part in making determinations about specific 
individuals.

                             System manager

The official responsible for policies and procedures for operating and 
safeguarding a system or records. This official is located normally at 
Headquarters, DA.

                            System of records

A group of records under the control of DA from which information is 
retrieved by the

[[Page 61]]

individual's name or by some identifying number, symbol, or other 
identifying particular assigned to the individual. System notices for 
all systems of records must be published in the Federal Register. (A 
grouping or files series of records arranged chronologically or 
subjectively that is not retrieved by individual identifier is not a 
system of records, even though individual information could be retrieved 
by such an identifier, such as through a paper-by-paper search.)



PART 507--MANUFACTURE AND SALE OF DECORATIONS, MEDALS, BADGES, INSIGNIA, COMMERCIAL USE OF HERALDIC DESIGNS AND HERALDIC QUALITY CONTROL PROGRAM--Table of Contents




                         Subpart A--Introduction

Sec.
507.1  Purpose.
507.2  References.
507.3  Explanation of abbreviations and terms.
507.4  Responsibilities.
507.5  Statutory authority.

  Subpart B--Manufacture and sale of Decorations, Medals, Badges, and 
                                Insignia

507.6  Authority to manufacture.
507.7  Authority to sell.
507.8  Articles authorized for manufacture and sale.
507.9  Articles not authorized for manufacture or sale.

              Subpart C--Commercial Use of Heraldic Designs

507.10  Incorporation of designs or likenesses of approved designs in 
          commercial articles.
507.11  Reproduction of designs.
507.12  Possession and wearing.

               Subpart D--Heraldic Quality Control Program

507.13  General.
507.14  Controlled heraldic items.
507.15  Certification of heraldic items.
507.16  Violations and penalties.
507.17  Procurement and wear of heraldic items.
507.18  Processing complaints of alleged breach of policies.

    Authority:  10 U.S.C. 3012, 18 U.S.C. 701, 18 U.S.C. 702

    Source: 63 FR 27208, May 18, 1998, unless otherwise noted.



                         Subpart A--Introduction



Sec. 507.1  Purpose.

    This part prescribes the Department of the Army and the Air Force 
policy governing the manufacture, sale, reproduction, possession, and 
wearing of military decorations, medals, badges, and insignia. It also 
establishes the Heraldic Item Quality Control Program to improve the 
appearance of the Army and Air Force by controlling the quality of 
heraldic items purchased from commercial sources.



Sec. 507.2  References.

    Related publications are listed in paragraphs (a) through (f) of 
this section. (A related publication is merely a source of additional 
information. The user does not have to read it to understand this part). 
Copies of referenced publications may be reviewed at Army and Air Force 
Libraries or may be purchased from the National Technical Information 
Services, U.S. Department of Commerce, 5285 Port Royal Road, 
Springfield, VA 22161.
    (a) AFI 36-2903, Dress and Personal Appearance of Air Force 
Personnel.
    (b) AR 360-5, Public Information.
    (c) AR 670-1, Wear and Appearance of Army Uniforms and Insignia.
    (d) AR 840-1, Department of the Army Seal, and Department of the 
Army Emblem and Branch of Service Plaques.
    (e) AR 840-10, Heraldic Activities, Flags, Guidons, Streamers, 
Tabards and Automobile Plates.
    (f) AFR 900-3, Department of the Air Force Seal, Organizational 
Emblems, Use and Display of Flags, Guidons, Streamers, and Automobile 
and Aircraft Plates.



Sec. 507.3  Explanation of abbreviations and terms.

    (a) Abbreviations.
    (1) AFB--Air Force Base.
    (2) DA--Department of the Army.
    (3) DCSPER--Deputy Chief of Staff for Personnel.
    (4) DSCP--Defense Supply Center Philadelphia.
    (5) DUI--distinctive unit insignia.
    (6) ROTC--Reserve Officers' Training Corps.
    (7) SSI--shoulder sleeve insignia.
    (8) TIOH--The Institute of Heraldry.

[[Page 62]]

    (9) USAF--United States Air Force.
    (b) Terms.--(1) Cartoon. A drawing six times actual size, showing 
placement of stitches, color and size of yarn and number of stitches.
    (2) Certificate of authority to manufacture. A certificate assigning 
manufacturers a hallmark and authorizing manufacture of heraldic items.
    (3) Hallmark. A distinguishing mark consisting of a letter and 
numbers assigned to certified manufacturers for use in identifying 
manufacturers of insignia.
    (4) Heraldic items. All items worn on the uniform to indicate unit, 
skill, branch, award or identification and a design has been established 
by TIOH on an official drawing.
    (5) Letter of agreement. A form signed by manufacturers before 
certification, stating that the manufacturer agrees to produce heraldic 
items in accordance with specific requirements
    (6) Letter of authorization. A letter issued by TIOH that authorizes 
the manufacture of a specific heraldic item after quality assurance 
inspection of a preproduction sample.
    (7) Tools. Hubs, dies, cartoons, and drawings used in the 
manufacture of heraldic items.



Sec. 507.4  Responsibilities.

    (a) Deputy Chief of Staff for Personnel (DCSPER), Army. The DCSPER 
has staff responsibility for heraldic activities in the Army.
    (b) The Director, The Institute of Heraldry (TIOH). The Director, 
TIOH, will--
    (1) Monitor the overall operation of the Heraldic Quality Control 
Program.
    (2) Authorize the use of insignia designs in commercial items.
    (3) Certify insignia manufacturers.
    (4) Inspect the quality of heraldic items.
    (c) The Commander, Air Force Personnel Center, Randolph AFB, TX 
78150-4739. The Commander has staff responsibility for heraldic 
activities in the Air Force.
    (d) The Chief, Air Force Personnel Center Commander's Programs 
Branch (HQ AFPC/DPSFC), 550 C Street West, Suite 37, Randolph AFB, TX 
78150-4739. The Chief, Commander's Programs Branch is responsible for 
granting permission for the incorporation of certain Air Force badges 
and rank insignia designs in commercial items.
    (e) Commander, Air Force Historical Research Agency (AFHRA/RSO), 
Maxwell AFB, AL 36112-6424. The Commander, AFHRA/RSO, is responsible for 
granting permission for use of the Air Force seal, coat of arms, and 
crest.
    (f) Commanders. Commanders are responsible for purchasing heraldic 
items that have been produced by manufacturers certified by TIOH. 
Commanders will ensure that only those heraldic items that are of 
quality and design covered in the specification and that have been 
produced by certified manufacturers are worn by personnel under their 
command.



Sec. 507.5  Statutory authority.

    (a) The wear, manufacture, and sale of military decorations, medals, 
badges, their components and appurtenances, or colorable imitations of 
them, are governed by section 704, title 18, United States Code (18 
U.S.C. 704).
    (b) The manufacture, sale, possession, and reproduction of badges, 
identification cards, insignia, or other designs, prescribed by the head 
of a U.S. department or agency, or colorable imitations of them, are 
governed by Title 18, United States Code, Section 701 (18 U.S.C. 701).
    (c) This part incorporates the statutory provisions.



  Subpart B--Manufacture and Sale of Decorations, Medals, Badges, and 
                                Insignia.



Sec. 507.6  Authority to manufacture.

    (a) A certificate of authority to manufacture heraldic articles may 
be granted by the Institute of Heraldry.
    (1) Certificates of authority will be issued only to companies who 
have manufacturing capability and agree to manufacture heraldic items 
according to applicable specifications or purchase descriptions.
    (2) The certificate of authority is valid only for the individual or 
corporation indicated.
    (3) A hallmark will be assigned to each certified manufacturer. All 
insignia manufactured will bear the manufacturer's hallmark.

[[Page 63]]

    (b) A certificate of authority may be revoked or suspended under the 
procedures prescribed in subpart D of this part.
    (c) Manufacturers will submit a preproduction sample to TIOH of each 
item they manufacture for certification under the Heraldic Quality 
Control Program. A letter of certification authorizing manufacture of 
each specific item will be issued provided the sample meets quality 
assurance standards.
    (d) A copy of the certified manufactures list will be furnished to 
the Army and Air Force Exchange Service and, upon request, to Army and 
Air Force commanders.



Sec. 507.7  Authority to sell.

    No certificate of authority to manufacture is required to sell 
articles listed in Sec. 507.8 of this part; however, sellers are 
responsible for insuring that any article they sell is manufactured in 
accordance with Government specifications using government furnished 
tools, bears a hallmark assigned by TIOH, and that the manufacturer has 
received a certification to manufacture that specific item prior to 
sale.



Sec. 507.8  Articles authorized for manufacture and sale.

    (a) The articles listed in paragraphs (a) (1) through (10) of this 
section are authorized for manufacture and sale when made in accordance 
with approved specifications, purchase descriptions or drawings.
    (1) All authorized insignia (AR 670-1 and AFI 36-2903).
    (2) Appurtenances and devices for decorations, medals, and ribbons 
such as oak leaf clusters, service stars, arrowheads, V-devices, and 
clasps.
    (3) Combat, special skill, occupational and qualification badges and 
bars.
    (4) Identification badges.
    (5) Fourrageres and lanyards.
    (6) Lapel buttons.
    (7) Decorations, service medals, and ribbons, except for the Medal 
of Honor.
    (8) Replicas of decorations and service medals for grave markers. 
Replicas are to be at least twice the size prescribed for decorations 
and service medals.
    (9) Service ribbons for decorations, service medals, and unit 
awards.
    (10) Rosettes.
    (11) Army emblem and branch of service plaques.
    (b) Variations from the prescribed specifications for the items 
listed in paragraph (a) of this section are not permitted without prior 
approval, in writing, by TIOH.



Sec. 507.9  Articles not authorized for manufacture or sale.

    The following articles are not authorized for manufacture and sale, 
except under contract with DSCP:
    (a) The Medal of Honor.
    (b) Service ribbon for the Medal of Honor.
    (c) Rosette for the Medal of Honor.
    (d) Service flags (prescribed in AR 840-10 or AFR 900-3).
    (e) Army seal.
    (f) Commercial articles for public sale that incorporate designs or 
likenesses of decorations, service medals, and service ribbons.
    (g) Commercial articles for public sale that incorporate designs or 
likenesses of designs of insignia listed in Sec. 507.8 of this part, 
except when authorized by the Service concerned.



              Subpart C--Commercial Use of Heraldic Designs



Sec. 507.10  Incorporation of designs or likenesses of approved designs in commercial articles.

    The policy of the Department of the Army and the Department of the 
Air Force is to restrict the use of military designs for the needs or 
the benefit of personnel of their Services.
    (a) Except as authorized in writing by the Department of the Army or 
the Department of the Air Force, as applicable, the manufacture of 
commercial articles incorporating designs or likenesses of official 
Army/Air Force heraldic items is prohibited. However, certain designs or 
likenesses of insignia such as badges or organizational insignia may be 
incorporated in articles manufactured for sale provided that permission 
has been granted as specified in paragraphs (a) (1) and (2) of this 
section.

[[Page 64]]

    (1) Designs approved for use of the Army. The Director, The 
Institute of Heraldry, 9325 Gunston Road, Room S-112, Fort Belvoir, VA 
22060-5579, is responsible for granting permission for the incorporation 
of certain Army insignia designs and the Army emblem in commercial 
articles manufactured for sale. Permission for such use will be in 
writing. Commanders of units authorized a SSI or DUI may authorize the 
reproduction of their SSI or DUI on commercial articles such as shirts, 
tie tacks, cups, or plaques. Permission for use of a SSI or DUI will be 
submitted in writing to the commander concerned. Authorization for 
incorporation of designs or likenesses of designs in commercial items 
will be granted only to those manufacturers who agree to offer these 
items for sale only to Army and Air Force Exchange Service and outlets 
that sell primarily to military personnel and their dependents.
    (2) Designs approved for use of the Air Force. Headquarters, Air 
Force Personnel Center, Chief, Commander's Programs Branch (HQ AFPC/
DPSFC), 550 C Street West, Suite 37, Randolph AFB, TX 78150-4739, is 
responsible for granting permission for the incorporation of certain Air 
Force designs for commercial articles manufactured for sale. The 
Commander, Air Force Historical Research Agency, AFHRA/RSO, Maxwell AFB, 
AL 36112-6678, is responsible for granting permission for the 
incorporation of the coat of arms, crest, seal and organizational 
emblems. Such permission will be in writing. Authorization for 
incorporation of designs or likenesses of designs in commercial items 
will be granted only to those manufacturers who agree to offer these 
items for sale only to the Army and Air Force Exchange Service, or to 
those outlets that sell primarily to military personnel and their 
dependents.
    (b) In the case of the Honorable Service lapel button, a general 
exception is made to permit the incorporation of that design in articles 
manufactured for public sale provided that such articles are not 
suitable for wear as lapel buttons or pins.



Sec. 507.11  Reproduction of designs.

    (a) The photographing, printing, or, in any manner making or 
executing any engraving, photograph, print, or impression in the 
likeness of any decoration, service medal, service ribbon, badge, lapel 
button, insignia, or other device, or the colorable imitation thereof, 
of a design prescribed by the Secretary of the Army or the Secretary of 
the Air Force for use by members of the Army or the Air Force is 
authorized provided that such reproduction does not bring discredit upon 
the military service and is not used to defraud or to misrepresent the 
identification or status of an individual, organization, society, or 
other group of persons.
    (b) The use for advertising purposes of any engraving, photograph, 
print, or impression of the likeness of any Department of the Army or 
Department of the Air Force decoration, service medal, service ribbon, 
badge, lapel button, insignia, or other device (except the Honorable 
Service lapel button) is prohibited without prior approval, in writing, 
by the Secretary of the Army or the Secretary of the Air Force except 
when used to illustrate a particular article that is offered for sale. 
Request for use of Army insignia in advertisements or promotional 
materials will be processed through public affairs channels in 
accordance with AR 360-5, paragraph 3-37.
    (c) The reproduction in any manner of the likeness of any 
identification card prescribed by Department of the Army or Department 
of the Air Force is prohibited without prior approval in writing by the 
Secretary of the Army or Secretary of the Air Force.



Sec. 507.12  Possession and wearing.

    (a) The wearing of any decoration, service medal, badge, service 
ribbon, lapel button, or insignia prescribed or authorized by the 
Department of the Army and the Department of the Air Force by any person 
not properly authorized to wear such device, or the use of any 
decoration, service medal, badge, service ribbon, lapel button, or 
insignia to misrepresent the identification or status of the person by 
whom such is worn is prohibited. Any person

[[Page 65]]

who violates the provision of this section is subject to punishment as 
prescribed in the statutes referred to in Sec. 507.5 of this part.
    (b) Mere possession by a person of any of the articles prescribed in 
Sec. 507.8 of this part is authorized provided that such possession is 
not used to defraud or misrepresent the identification or status of the 
individual concerned.
    (c) Articles specified in Sec. 507.8 of this part, or any 
distinctive parts including suspension ribbons and service ribbons) or 
colorable imitations thereof, will not be used by any organization, 
society, or other group of persons without prior approval in writing by 
the Secretary of the Army or the Secretary of the Air Force.



               Subpart D--Heraldic Quality Control Program



Sec. 507.13  General.

    The heraldic quality control program provides a method of ensuring 
that insignia items are manufactured with tools and specifications 
provided by TIOH.



Sec. 507.14  Controlled heraldic items.

    The articles listed in Sec. 507.8 of this part are controlled 
heraldic items and will be manufactured in accordance with Government 
specifications using Government furnished tools or cartoons. Tools and 
cartoons are not provided to manufacturers for the items in paragraphs 
(a) through (e) of this section. However, manufacture will be in 
accordance with the Government furnished drawings.
    (a) Shoulder loop insignia, ROTC, U.S. Army.
    (b) Institutional SSI, ROTC, U.S. Army.
    (c) Background trimming/flashes, U.S. Army.
    (d) U.S. Air Force organizational emblems for other than major 
commands.
    (e) Hand embroidered bullion insignia.



Sec. 507.15  Certification of heraldic items.

    A letter of certification to manufacture each heraldic item, except 
those listed in Sec. 507.14 (a) through (e) of this part, will be 
provided to the manufacturer upon submission of a preproduction sample. 
Manufacture and sale of these items is not authorized until the 
manufacturer receives a certification letter from TIOH.



Sec. 507.16  Violations and penalties.

    A certificate of authority to manufacture will be revoked by TIOH 
upon intentional violation by the holder thereof of any of the 
provisions of this part, or as a result of not complying with the 
agreement signed by the manufacturer in order to receive a certificate. 
Such violations are also subject to penalties prescribed in the Acts of 
Congress (Sec. 507.5 of this part). A repetition or continuation of 
violations after official notice thereof will be deemed prima facie 
evidence of intentional violation.



Sec. 507.17  Procurement and wear of heraldic items.

    (a) The provisions of this part do not apply to contracts awarded by 
the Defense Personnel Support Center for manufacture and sale to the 
U.S. Government.
    (b) All Army and Air Force service personnel who wear quality 
controlled heraldic items that were purchased from commercial sources 
will be responsible for ensuring that the items were produced by a 
certified manufacturer. Items manufactured by certified manufacturers 
will be identified by a hallmark and/or a certificate label certifying 
the item was produced in accordance with specifications.
    (c) Commanders will ensure that only those heraldic items that are 
of the quality and design covered in the specifications and that have 
been produced by certified manufacturers are worn by personnel under 
their command. Controlled heraldic items will be procured only from 
manufacturers certified by TIOH. Commanders procuring controlled 
heraldic items, when authorized by local procurement procedures, may 
forward a sample insignia to TIOH for quality assurance inspection if 
the commander feels the quality does not meet standards.



Sec. 507.18  Processing complaints of alleged breach of policies.

    The Institute of Heraldry may revoke or suspend the certificate of 
authority

[[Page 66]]

to manufacture if there are breaches of quality control policies by the 
manufacturer. As used in this paragraph, the term quality control 
policies include the obligation of a manufacturer under his or her 
``Agreement to Manufacture,'' the quality control provisions of this 
part, and other applicable instructions provided by TIOH.
    (a) Initial processing. (1) Complaints and reports of an alleged 
breach of quality control policies will be forwarded to the Director, 
The Institute of Heraldry, 9325 Gunston Road, Room S-112, Fort Belvoir, 
VA 22060-5579 (hereinafter referred to as Director).
    (2) The Director may direct that an informal investigation of the 
complaint or report be conducted.
    (3) If such investigation is initiated, it will be the duty of the 
investigator to ascertain the facts in an impartial manner. Upon 
conclusion of the investigation, the investigator will submit a report 
to the appointing authority containing a summarized record of the 
investigation together with such findings and recommendations as may be 
appropriate and warranted by the facts.
    (4) The report of investigation will be forwarded to the Director 
for review. If it is determined that a possible breach of quality 
control policies has occurred, the Director will follow the procedures 
outlined in paragraphs (b) through (g) of this section.
    (b) Voluntary performance. The Director will transmit a registered 
letter to the manufacturer advising of the detailed allegations of 
breach and requesting assurances of voluntary compliance with quality 
control policies. No further action is taken if the manufacturer 
voluntarily complies with the quality control policies; however, any 
further reoccurrence of the same breach will be considered refusal to 
perform.
    (c) Refusal to perform. (1) If the manufacturer fails to reply 
within a reasonable time to the letter authorized by paragraph (b) of 
this section, or refuses to give adequate assurances that future 
performance will conform to quality control policies, or indicates by 
subsequent conduct that the breach is continuous or repetitive, or 
disputes the allegations of breach, the Director will direct that a 
public hearing be conducted on the allegations.
    (2) A hearing examiner will be appointed by appropriate orders. The 
examiner may be either a commissioned officer or a civilian employee 
above the grade of GS-7.
    (3) The specific written allegations, together with other pertinent 
material, will be transmitted to the hearing examiner for introduction 
as evidence at the hearing.
    (4) Manufacturers may be suspended for failure to return a loaned 
tool without referral to a hearing specified in paragraph (c)(1) of this 
section; however, the manufacturer will be advised, in writing, that 
tools are overdue and suspension will take effect if not returned within 
the specified time.
    (d) Notification to the manufacturer by examiner. Within a 7 day 
period following receipt by the examiner of the allegations and other 
pertinent material, the examiner will transmit a registered letter of 
notification to the manufacturer informing him or her of the following:
    (1) Specific allegations.
    (2) Directive of the Director requiring the holding of a public 
hearing on the allegations.
    (3) Examiner's decision to hold the public hearing at a specific 
time, date, and place that will be not earlier than 30 days from the 
date of the letter of notification.
    (4) Ultimate authority of the Director to suspend or revoke the 
certificate of authority should the record developed at the hearing so 
warrant.
    (5) Right to--
    (i) A full and fair public hearing.
    (ii) Be represented by counsel at the hearing.
    (iii) Request a change in the date, time, or place of the hearing 
for purposes of having reasonable time in which to prepare the case.
    (iv) Submit evidence and present witnesses in his or her own behalf.
    (v) Obtain, upon written request filed before the commencement of 
the hearing, at no cost, a verbatim transcript of the proceedings.
    (e) Public hearing by examiner. (1) At the time, date, and place 
designated in accordance with paragraph (d) (3) of

[[Page 67]]

this section, the examiner will conduct the public hearing.
    (i) A verbatim record of the proceeding will be maintained.
    (ii) All previous material received by the examiner will be 
introduced into evidence and made part of the record.
    (iii) The Government may be represented by counsel at the hearing.
    (2) Subsequent to the conclusion of the hearing, the examiner will 
make specific findings on the record before him or her concerning each 
allegation.
    (3) The complete record of the case will be forwarded to the 
Director.
    (f) Action by the Director. (1) The Director will review the record 
of the hearing and either approve or disapprove the findings.
    (2) Upon arrival of a finding of breach of quality control policies, 
the manufacturer will be so advised.
    (3) After review of the findings, the certificate of authority may 
be revoked or suspended. If the certificate of authority is revoked or 
suspended, the Director will--
    (i) Notify the manufacturer of the revocation or suspension.
    (ii) Remove the manufacturer from the list of certified 
manufacturers.
    (iii) Inform the Army and Air Force Exchange Service of the action.
    (g) Reinstatement of certificate of authority. The Director may, 
upon receipt of adequate assurance that the manufacturer will comply 
with quality control policies, reinstate a certificate of authority that 
has been suspended or revoked.



PART 508--COMPETITION WITH CIVILIAN BANDS--Table of Contents




    Authority: Secs. 3012, 3634, 70A Stat. 157, 207; 10 U.S.C. 3012, 
3634.



Sec. 508.1  Utilization of Army bands.

    (a) General. Participation of Army bandsmen in performances off 
military reservations will not interfere with the customary employment 
and regular engagement of local civilians in the respective arts, 
trades, or professions. Such participation will not directly or 
indirectly benefit or appear to benefit or favor any private individual, 
commercial venture, sect, or political or fraternal group, except as may 
be specifically authorized by the Secretary of Defense. The authority to 
determine whether the use of an Army band at a public gathering is 
prohibited by this section is delegated to major commanders.
    (b) Suitability. Commanders authorizing participation by Army bands 
(except the U.S. Army Band and the U.S. Army Field Band) in their 
official capacties and in the performance of official duties will be 
guided by the following conditions of suitability:
    (1) When participation is an appropriate part of official occasions 
attended by the senior officers of the Government or the Department of 
Defense in their official capacities and in the performance of official 
duties.
    (2) For parades and ceremonies which are incident to gatherings of 
personnel of the Armed Forces, veterans, and patriotic organizations.
    (3) At public rallies and parades intended to stimulate national 
interest in the Armed Forces and/or to further the community relation 
program.
    (4) For fund drives for officially recognized Armed Forces relief 
agencies or charitable organizations such as the Red Cross when the 
proceeds are donated to such agencies.
    (5) For athletic contests in which one or more Armed Forces teams 
are participating.
    (6) In connection with recruiting activities for the Armed Forces.
    (7) At official occasions and free social and entertainment 
activities held on or off Armed Forces installations, provided that such 
free social entertainment activities are conducted exclusively for the 
benefit of personnel of the Armed Forces and their guests.
[25 FR 10700, Nov. 9, 1960]



PART 510--CHAPLAINS--Table of Contents




    Authority: R.S. 1125; 10 U.S.C. 238.



Sec. 510.1  Private ministrations, sacraments, and ordinances.

    Chaplains will conduct or arrange for appropriate burial services at 
the interment of members of the military service, active and retired, 
and for members of their families upon request. A chaplain may perform 
the

[[Page 68]]

marriage rite, provided he complies with the civil law of the place 
where the marriage is to be solemnized and provided all parties 
concerned have complied with the requirements of the denomination the 
chaplain represents and with any directives which may have been issued 
by the military command or higher headquarters. The scope of the 
chaplains' work will include such ministrations as are held by some 
denominations or religious bodies as sacraments and by others as rites 
or ordinances. Chaplains will administer or arrange for rites and 
sacraments for military personnel and civilians under military 
jurisdiction according to the respective beliefs and conscientious 
practices of all concerned.
[16 FR 12931, Dec. 27, 1951]



PART 513--INDEBTEDNESS OF MILITARY PERSONNEL--Table of Contents




Sec.
513.1  General.
513.2  Administrative procedures for processing complaints.
513.3  Administrative and punitive actions.
513.4  Conditions creditors must meet before getting help in debt 
          processing.
513.5  Procedures governing nonactive duty or discharged personnel.


Appendix A to Part 513--References
Appendix B to Part 513--Standards of Fairness
Appendix C to Part 513--Glossary

    Authority: 10 U.S.C. 3012.

    Source: 51 FR 7268, Mar. 3, 1986, unless otherwise noted.



Sec. 513.1  General.

    (a) Purpose. This regulation prescribes Department of the Army (DA) 
policy, responsibilities, and procedures in handling debt claims against 
soldiers.
    (b) References. Required and related publications and prescribed and 
referenced forms are listed in appendix A.
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Deputy Chief of Staff for Personnel 
will set policy on processing debt claims against soldiers.
    (2) The Commanding General, U.S. Army Community and Family Support 
Center (CG, USACFSC) will--
    (i) Set procedures for processing debt claims against soldiers.
    (ii) Process debt claims received at USACFSC regarding soldiers.
    (iii) Carry out the objectives of this regulation to protect the 
rights of the soldier, his or her family members, and the interests of 
the Army.
    (iv) Advise and assist the directors of Headquarters, Department of 
the Army (HQDA) agencies, commanders of the major Army commands, and 
other commanders on matters pertaining to indebtedness of soldiers.
    (3) Officers having general court-martial jurisdiction will--
    (i) Ensure special emphasis on the indebtedness issue is given in 
command information programs. This includes soldiers being informed of 
their responsibility to manage their personal affairs satisfactorily and 
pay their debts promptly. Also, inform soldiers of the possible 
consequences of failure to pay their debts.
    (ii) Take action on requests to file unfavorable information in a 
soldier's official personnel file. (See Sec. 513.3.)
    (4) First level field grade commanders will monitor instances of 
soldiers' repeated failure to pay debts that are brought to their 
attention. These commanders will take action, when proper.
    (5) Immediate commanders will--
    (i) Ensure that soldiers are informed of the following:
    (A) DA policy on indebtedness.
    (B) The possible consequences of failure to pay their debts.
    (ii) Manage the processing of debt claims per the terms of this 
regulation.
    (iii) Answer all correspondence received from CG, USACFSC and other 
DA officials.
    (iv) Answer all correspondence received directly from claimants and 
third parties (for example, Members of Congress). The commander will not 
include unreleasable information without the soldier's written consent. 
This complies with the Privacy Act of 1974. (See AR 340-21.) Commanders 
should ask the Staff Judge Advocate (SJA) for guidance in unusual or 
difficult situations.

[[Page 69]]

    (v) Inform the first level field grade commander of instances of 
soldiers' repeated failure to pay their debts. Also, point out actions 
taken or contemplated to correct the situation.
    (vi) Refer correspondence or queries received from news media 
organizations to the unit, installation, or command public affairs 
officer for response.
    (6) The unit, installation, or command public affairs officer will--
    (i) Answer correspondence and queries received from news media 
organizations.
    (ii) Coordinate with the SJA before making any response.
    (e) Policy. (1) Soldiers are required to manage their personal 
affairs satisfactorily and pay their debts promptly. Failure to do so 
damages their credit reputation and affects the Army's public image. The 
Army, however, has no legal authority to force soldiers to pay their 
debts. Also, the Army cannot divert any part of a soldier's pay even 
though payment of the debt was decreed by a civil court. Only civil 
authorities can enforce payment of private debts.
    (2) Debt claims against corporations and organizations to which a 
soldier belongs, or of which a soldier is an officer, will not be 
processed under this regulation. In this situation, the matter should be 
pursued in civil court. If a judgment is received specifically against 
the soldier, then this regulation will apply.
    (3) Creditors who follow Sec. 513.4 will have their debt complaints 
processed.
    (4) Requests for help that do not follow Sec. 513.4 will be returned 
without action with an explanation as discussed in Sec. 513.4(d).
    (5) The Army will revoke debt processing privileges for creditors 
who--
    (i) Refuse to abide by this regulation.
    (ii) Try to use the Army as a debt collection agency. (See 
Sec. 513.4(e)).
    (6) The Army does not try to judge or settle disputed debts, or 
admit or deny whether claims are valid. The Army will not tell claimants 
whether any adverse action has been taken against a soldier as a result 
of the claim.
    (7) If a soldier is not trying to resolve unpaid debts promptly or 
complaints of repeated failure to pay debts are received, commanders 
will consider the actions shown below. (See Secs. 513.2(a)(3)(xv) and 
513.3.)
    (i) Making the failure a matter of permanent record.
    (ii) Denial of reenlistment (enlisted personnel).
    (iii) Administrative separation from the Service.
    (iv) Punishment under the Uniform Code of Military Justice (UCMJ). 
When proper, such misconduct may be charged under articles 92, 123, 133, 
or 134 of the UCMJ.
    (8) Checks that are dishonored for any reason remain proof of 
indebtedness until--
    (i) Made good.
    (ii) Proven to be the error of the financial institution on which 
drawn, or the error of any other person or institution; such action then 
absolves the soldier of fault. (See Sec. 513.2(c).)
    (9) When necessary, commanders and soldiers are urged to seek help 
from the SJA.
    (f) Banks and credit unions. (1) Banks and credit unions located on 
military bases must apply Department of Defense (DOD) Standards of 
Fairness (app B) before making loans or credit agreements. Banks and 
credit unions that do not meet this requirement will be denied help in 
processing debt complaints.
    (2) If soldiers are referred to off-base branches of an on-post bank 
or credit union, the branches also must comply with the Standards of 
Fairness before making loans or credit agreements.
    (3) Interest rates and service charges for loans made by oversea 
military banking facilities are set by DOD.
    (g) Fair Debt Collection Practices Act (section 1692, title 15, 
United States Code (15 U.S.C. 1692)). (1) A debt collector may not 
contact any person other than the soldier, his or her lawyer or legal 
counsel, or the creditor about any debt collection. The debt collector, 
however, may contact the employer if he or she has a written and signed 
consent from the soldier, or a court order permitting contact. The 
written consent must include the debt collector's name. It is illegal 
for debt collectors to use another name when collecting debts.
    (2) Debt collectors who have obtained the needed written consent or 
court

[[Page 70]]

order and who have followed Sec. 513.4 will have their debt complaints 
processed.
    (3) Creditors who collect only on their own behalf are exempt from 
the Act.
    (h) Individual repayment plan of the Bankruptcy Act. Chapter XIII of 
the Bankruptcy Act (11 U.S.C. 1301, et seq.) provides for the protection 
and relief of individuals with a regular income. It also sets rules for 
paying debts under the supervision of U.S. Federal District Courts. Care 
must be taken not to confuse ``bankruptcy'' and ``individual repayment 
plans'' in order not to infringe on the rights of the soldier.
    (i) Locator service. (1) Installations will honor requests for 
central locator service by a banking office (AR 210-135) or credit union 
(AR 210-24) located on a military installation. This service will be 
free when banking offices and credit unions cite AR 37-60. This service 
will be used to locate persons for settling accounts, checks that did 
not clear, and delinquent loans. The U.S. Army Finance and Accounting 
Center (USAFAC), Indianapolis, IN 46249-1016, will assist these banking 
offices and credit unions to locate soldiers who cannot be located 
locally.
    (2) Current military addresses for all soldiers may be obtained by 
writing the Commander, U.S. Army Enlisted Records and Evaluation Center, 
Fort Benjamin Harrison, IN 46249-5301. All requests must include the 
soldier's full name, rank, and social security number (SSN). They should 
include the date and place of birth if the SSN is not known. A check or 
money order for $3.50 payable to the Treasurer of the United States must 
be enclosed with each request. (See AR 37-60.)
    (3) A debt collector should not write to the U.S. Army Enlisted 
Records and Evaluation Center (USAEREC) if he or she knows the soldier 
is represented by a civilian lawyer or military legal counsel. However, 
the debt collector may write to USAEREC if he or she--
    (i) Does not know or cannot easily find out the name and address of 
the lawyer or legal counsel.
    (ii) Does not receive a response from the lawyer or legal counsel.
    (4) If a debt collector writes to USAEREC, a postcard cannot be 
used. Also, the request cannot state that the locator service is being 
sought in order to collect a debt. These actions would violate the Fair 
Debt Collection Practices Act (Sec. 513.1(g)).
[51 FR 7269, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986, as amended at 51 
FR 17961, May 16, 1986]



Sec. 513.2  Administrative procedures for processing complaints.

    (a) Commander's actions. Upon receipt of a debt complaint, the 
commander will--
    (1) Review the case to ensure that the terms of this regulation have 
been met.
    (2) Consult the SJA if needed.
    (3) Take the following actions:
    (i) If any of the terms of Sec. 513.4(c) have not been met by the 
creditor, return the complaint. Tell the writer that no action will be 
taken until those terms are met.
    (ii) Upon receipt of subsequent inquiries from USACFSC, Members of 
Congress, or any other source, inform the writer that--
    (A) The creditor has been told that his or her request lacked data 
or documentation.
    (B) The commander regrets that he or she cannot process the 
complaint until the creditor supplies the necessary data.
    (C) A reply previously has been made to the creditor. Enclose a copy 
of the reply.
    (iii) If the creditor refuses or repeatedly fails to comply with any 
of these requirements, refer the complete case through channels to the 
Commander, USACFSC, ATTN: DACF-IS-PA, ALEX VA 22231-0522. If it is 
believed the creditor's debt processing privileges should be revoked, 
include a recommendation stating the reasons.
    (iv) If the soldier was not given full disclosure information when 
the debt was incurred, refer him or her to the SJA office. The SJA 
office will advise if the soldier has a right to file suit against the 
creditor. The soldier may be entitled to twice the amount of the finance 
charge, for a minimum of $100 up to a maximum of $1,000, plus court 
costs and lawyer fees. This does not apply to debts incurred before 30 
June 1969.
    (v) If in doubt as to the legality of the contract, consult the SJA. 
This action is to ensure that the contract

[[Page 71]]

terms do not violate Federal and State laws.
    (vi) Accept as valid proof, claims based on court judgments, orders, 
or decrees.
    (vii) If the debt or the amount of the debt is disputed or denied by 
the soldier, reply directly to the creditor. Tell him or her that Army 
policy requires that disputed debts be settled by civil courts. Do not, 
in the reply, try to judge or settle any disputed debts, or admit or 
deny the validity of the claim.
    (viii) If the creditor has met all the requirements discussed in 
Sec. 513.4, interview the soldier.
    (A) Ensure that the soldier is properly advised of his or her rights 
under the Privacy Act of 1974. DA Form 4817-R (Consent/Nonconsent To 
Disclose Personal Information) will be completed.
    (B) Notify the soldier of the debt complaint.
    (C) Explain that the Army requires that soldiers pay their debts 
promptly. Failure to do so damages credit reputations and affects the 
Army's public image. Also, explain that the willful failure to resolve 
unpaid debts may result in administrative or punitive actions as 
described in Sec. 513.3.
    (D) Tell the soldier of his or her legal rights and duties. If 
appropriate, advise the soldier of his or her rights under article 31, 
UCMJ. Also, inform the soldier that counseling service is available 
under the Legal Assistance Program (AR 27-3).
    (E) Review all available facts including the soldier's defenses, 
rights, and counterclaims.
    (F) Urge the soldier to seek budget counseling and consumer 
protection advice, if proper. These services may be obtained from on-
post credit unions, Army Community Service Program Counselors (AR 608-
1), or through financial management seminars or workshops.
    (G) Help the soldier in settling or in liquidating the debt. Give 
the soldier a copy of DA Pam 360-520 if proper. Answer any questions 
that he or she might have.
    (H) Have the soldier sign a statement allowing or forbidding release 
of information to the claimant (DA Form 4817-R). AR 340-17 and AR 340-
21, paragraph 3-3 govern this.
    (I) Ask the soldier about his or her intentions. Give the soldier 
the chance to furnish a voluntarily signed statement admitting or 
denying the complaint or declining to do either.
    (ix) Advise the claimant promptly that the soldier has been told of 
the complaint.
    (x) Summarize the soldier's intentions if the soldier allows release 
of the information.
    (xi) If proper, advise the claimant that indebtedness disputes must 
be resolved in a civil court of competent jurisdiction.
    (xii) Ask the claimant to write, if necessary, directly to the 
soldier or his or her commander.
    (xiii) Retain the statement allowing or forbidding release of 
information to the claimant with the case file for future reference. 
(See Sec. 513.3)
    (xiv) Monitor actions closely to ensure promises made to claimants 
are being met.
    (xv) Consider administrative or punitive action, if proper (See 
Secs. 513.1(e)(7) and 513.3.)
    (xvi) Inform the first level field grade commander of instances of 
soldiers' repeated failure to pay their debts. Also, point out actions 
taken or contemplated to correct the situation.
    (b) Procedures for routing debt complaints. (1) Send debt complaints 
through proper channels to the soldier's commander for action.
    (2) If the soldier is a patient attached to a medical holding 
detachment (MHD), the complaint will be sent there for action. The 
commander of the MHD will take action per this regulation.
    (3) The command receiving the complaint will acknowledge the letter 
and tell the writer of the referral. DA Form 209 (Delay, Referral, or 
Follow-Up Notice) may be used for this purpose.
    (4) All correspondence to the President, received from outside of 
DOD, will be processed per AR 1-9.
    (5) Send complaints to the soldier's new duty station if the soldier 
has been reassigned. Advise the claimant of the soldier's reporting date 
and the unit address to which correspondence should be sent.

[[Page 72]]

    (6) See Sec. 513.5 for procedures governing processing of claims for 
nonactive duty or discharged personnel.
    (c) Processing debt complaints based on dishonored checks. (1) 
Writing checks against an account with no or not enough funds is a 
serious matter. It may be a misdemeanor or a felony. This depends on the 
amount of the check and the laws or statutes of the jurisdiction where 
the check is presented for payment. The soldier is responsible for 
making sure that money is in his or her bank account to cover checks 
written on that account. Writing bad checks may result in disciplinary 
or administrative action. Whether or not such action is taken, a 
dishonored check for not enough funds remains proof of an indebtedness 
except as provided in Sec. 513.1(e)(8).
    (2) Commanders must answer all check complaints, other than those 
discussed in Sec. 513.2(c)(3), even if such complaints concerns checks 
errors caused by oversight or negligence. (AR 210-60 outlines ways for 
handling dishonored checks written on Army installations and in Army 
facilities.)
    (3) Checks made good within 5 days of notice do not require any 
action if the complaint is based on--
    (i) Bank or Government error.
    (ii) Failure to date the check.
    (iii) Inconsistent or not legible amounts shown on the check.
    (iv) Lack of legible signature.
    (4) Bad checks written by family members are not processed under 
this regulation except in the following instance. The SJA finds that 
these checks stand for debts for which the soldier may be held 
personally liable under Federal or State laws (for example, checks 
written for necessities such as rent, utilities, or food).
    (d) Inquiries from USACFSC or DA officials. The commander must--
    (1) Give USACFSC or DA officials complete data on all inquiries.
    (2) Seek the advice of the SJA before replying to a court order if 
necessary.
    (3) State ``not applicable'' to items that do not apply.
    (4) If applicable, advise USACFSC or DA officials--
    (i) Whether the soldier acknowledges the debt.
    (ii) Of the corrective action taken (to include the amounts and 
dates payments will be made).
    (iii) Of the method of payment (for example, personal check).
    (iv) Whether the soldier allowed or forbade release of the 
information given. (See DA Form 4817-R.)
    (v) Whether the soldier is following the terms of a court order.
    (vi) Whether the soldier's actions follow Army policy as stated in 
this regulation.
    (vii) In the reply, include your name, unit address, and your 
automatic voice network (AUTOVON) number. If no AUTOVON Number is 
available, include a commercial or other number where the unit can be 
reached.
    (5) Return to USACFSC or DA officials inquiries received after the 
soldier has been transferred. Include a copy of his or her permanent 
change of station orders.
[51 FR 7270, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986]



Sec. 513.3  Administrative and punitive actions.

    (a) Considerations. Commanders will not tolerate irresponsibility, 
neglect, dishonesty, or evasiveness. Failure to pay debts promptly and 
honorably may require disciplinary or administrative action. If a 
soldier is not trying to resolve unpaid debts promptly or complaints of 
repeated failure to pay debts are received, commanders will consider--
    (1) Making it a matter of permanent record (Sec. 513.3(b)).
    (2) Denial of reenlistment (enlisted members) (AR 601-280).
    (3) Administrative separation from the Service (AR 635-100 or AR 
635-200).
    (4) Punishment under the UCMJ. (See Sec. 513.1(e)(7).)
    (b) Official personnel files. (1) The Army requires that all-
inclusive information of the qualifications of its soliders be on file. 
This prevents selection of soldiers for positions of leadership, trust, 
and responsibility whose qualifications are questionable.
    (2) Documents/records created or received in connection with debt 
complaints will be filed per AR 600-37 and the Army Functional Files 
System (AR 340-2 and AR 340-18).

[[Page 73]]

    (3) The soldier may show his or her negligence, disregard, or 
unwillingness to resolve the matter by repeatedly failing to pay his or 
her debts. In these cases, the commander will decide whether to place a 
letter of reprimand, admonition, or censure in the soldier's official 
personnel files. AR 600-37, chapter 2, governs action taken to file 
unfavorable information.
    (4) If information does not merit filing in the soldier's official 
personnel files, the commander will--
    (i) Continue to monitor the situation.
    (ii) Furnish further guidance and help.
    (iii) Consider later action (Sec. 513.3(b)(3)) if warranted by 
further evidence.



Sec. 513.4  Conditions creditors must meet before getting help in debt processing.

    (a) Statutory and other regulatory requirements. (1) The Truth-in-
Lending Act, Pub. L. 90-321 (15 U.S.C. 1601), lists the general 
disclosure rules that must be met by creditors. It does not cover 
private parties who extend credit only rarely to help a person. (See 
Sec. 513.4(f)(1)).
    (2) Federal Reserve Board Regulation Z (12 CFR part 226) lists 
specific disclosure rules for all credit transactions under the Truth-
in-Lending Act.
    (3) Certain States have rules that may apply to credit transactions 
in lieu of Federal Reserve Board Regulation Z. However, the Federal 
Reserve Board must first decide if the State sets largely the same rules 
and enforcement measures. States currently exempted from Regulation Z 
are Connecticut, Maine, Massachusetts, Oklahoma, and Wyoming.
    (4) DOD Standards of Fairness (app B) define fair and just dealings 
with soldiers. DA Pam 360-520, chapter 4, contains simplified 
explanations of these standards. Note that certain debt complaints are 
exempt (Sec. 513.4(f)).
    (5) Certificate of Compliance certifies the creditor has complied 
with the full disclosure requirements of Federal or State laws and 
regulations, State laws regarding contact with the employer of the 
debtor, and the application of the Standards of Fairness to the consumer 
credit transaction.
    (6) Full disclosure information shows what the soldier should know 
about contract terms.
    (7) The Fair Debt Collection Practices Act contains other conditions 
a creditor must meet. (See Sec. 513.1(g)).
    (b) State laws. Florida, Louisiana, Maryland, Massachusetts, New 
York, North Carolina, and Wisconsin have passed laws that forbid 
creditors from contacting employers. This includes commanders, unless 
certain conditions are met. These conditions are the reduction of a debt 
to court judgment or the written permission of a debtor. The judgment 
must conform to the Soldiers' and Sailors' Civil Relief Act of 1940, as 
amended (50 U.S.C. app, section 501 et seq., (1970)) if applicable. (See 
DA Pam 27-166.) Other States may enact similar laws; if they do, the 
same conditions will apply. Creditors wanting to make use of the debt 
processing privilege must first certify their compliance with the 
relevant State's law about contact with an employer. These laws, 
however, do not apply if the debtor is located in a State that has not 
passed such a law.
    (c) Debt processing. (1) Creditors, other than private parties 
described in 513.4(f)(1), must send--
    (i) A signed copy of the Certificate of Compliance with DOD 
Standards of Fairness (app B) showing compliance with one of the 
following:
    (A) The Truth-in-Lending Act.
    (B) Federal Reserve Board Regulation Z.
    (C) State regulations.
    (ii) A true copy of the signed contract.
    (iii) The general and specific disclosure information given the 
soldier before signing the contract.
    (iv) A copy of a judgment or written permission from the soldier 
allowing the creditor to contact his or her employer about the debt, if 
applicable. (See Sec. 513.4(b)).
    (v) Photocopies of actual correspondence or documentary proof 
showing that every effort has been made to get payment by direct contact 
with the soldier. The creditor must give the soldier a chance to answer 
each inquiry. (Forty-five days for those in the contiguous 48 States and 
the District of Columbia; 60 days for all others.)

[[Page 74]]

    (2) Foreign-owned companies having debt complaints must send--
    (i) A true copy of the terms of the debt.
    (ii) A certification that they have met the DOD Standards of 
Fairness.
    (iii) An English translation of the above (if not already in 
English).
    (iv) Documentation as in Secs. 513.4(c)(1) (iv) and (v).
    (3) Creditors not subject to Regulation Z, such as public utility 
companies, will send a certification with their request. It must state 
that no interest, finance charge, or other fee exceeds that permitted by 
the laws of the State in which the service was requested.
    (4) Creditors not subject to the Truth-in-Lending Act must send--
    (i) Legible copies of actual correspondence. (See 
Sec. 513.4(c)(1)(v)).
    (ii) Documentary proof showing that every effort has been made to 
get the payment by direct contact with the soldier.
    (5) Creditors who have followed these terms may contact the 
soldier's commander for help. If the commander is contacted, the 
creditor must give the commander a chance to answer the inquiry. (Forty-
five days for those in the contiguous 48 States and the District of 
Columbia; 60 days for all others.) If unsuccessful, after reasonable 
efforts to collect the debt, creditors may request help from USACFSC. In 
such cases, the information must be the same as that sent the commander. 
(See Sec. 513.4(c)(6)). The request should be sent to the Commander, 
USACFSC, ATTN: DACF-IS-PA, ALEX VA 22331-0522.
    (6) All requests for help must include--
    (i) The soldier's full name, rank, and SSN.
    (ii) Date and place of birth, if SSN is not known.
    (iii) The amount and date of the original debt.
    (iv) The terms of payment.
    (v) The balance due.
    (vi) Documents described in Sec. 513.4(c) (1) through (4) which 
apply.
    (7) Separate letters should be written on each account for prompt 
and efficient processing.
    (8) Letters lacking data will be returned for added documents.
    (d) Debt complaints returned to creditors without action. Requests 
for help in processing debt complaints will be returned without action 
with an explanation if--
    (1) Creditors did not enclose the following:
    (i) Documents showing compliance with the Truth-in-Lending Act, 
Federal Reserve Board Regulation Z, or State regulation.
    (ii) Signed copies of the Certificate of Compliance with DOD 
Standards of Fairness.
    (iii) A completed copy of form with the Full Disclosure Information. 
(See Sec. 513.4(a)(6).)
    (iv) Signed copies of the contract.
    (v) Legible copies of actual correspondence or documentary proof 
showing that every effort has been made to get the payment by direct 
contact with the soldier. (See Sec. 513.4(c)(1)(v).)
    (2) The soldier is located in a State whose laws forbid creditors 
from contacting employers.
    (3) The claim is obviously false or misleading.
    (4) The finance charge does not conform to the State law where the 
contract is signed.
    (5) A U.S. company operating overseas exceeds the lowest interest 
rate of the State or States where chartered or doing business in the 
United States.
    (6) The contract or loan agreement provides that the debtor must pay 
the creditor's attorney fees, unless the following limitations in 
Sec. 513.4(d)(6) (i) through (iii) are included. No attorney's fee may 
be charged for services done by a salaried employee of the creditor.
    (i) The fees will have to be paid only in the event of a default by 
the soldier.
    (ii) The fees will have to be paid only if a lawsuit is filed.
    (iii) The fees will not exceed 20 percent of the amount found due.
    (7) A penalty for prepayment has been charged.
    (8) A charge has been made for an insurance premium without 
satisfactory proof of--
    (i) A policy or insurance certificate having been issued.

[[Page 75]]

    (ii) Delivery of a policy or certificate to the soldier within 30 
days of issuance.
    (9) The late charge is in excess of 5 percent of the late payment, 
or $5, whichever is the lesser amount. Only one late charge may be made 
for any late installment. Late charges will not be made where an 
allotment has been timely filed, but payment has been delayed.
    (10) The creditor has not given the soldier a chance to answer a 
previous inquiry. (Forty-five days for those in the contiguous 48 States 
and the District of Columbia; 60 days for all others.)
    (11) The claimant is a debt collector without a court order or a 
signed letter of consent by the soldier. (See Sec. 513.1(g).)
    (12) The debt is covered by an order of a bankruptcy court.
    (e) Cancellation of debt processing privilege. (1) Creditors who 
refuse or fail repeatedly to follow these terms will be referred through 
channels to the Commander, USACFSC, Attn: DACF-IS-PA, Alex, Va 22331-
0522, by the commander.
    (2) The CG, USACFSC will--
    (i) Cancel debt processing privileges if the queries clearly show 
that the creditor is--
    (A) Not conforming with this regulation.
    (B) Trying to make unreasonable use of the debt processing 
privilege.
    (C) Trying to use the Army as a collection agency.
    (ii) Inform commanders worldwide by electrical message that the debt 
processing privilege of a specific creditor has been revoked.
    (iii) Inform the creditor that his or her debt processing privilege 
has been revoked and state the reasons for this action.
    (f) Exemptions from Full Disclosure and Standards of Fairness. The 
debt complaints discussed below are exempt from the Full Disclosure and 
Standards of Fairness. This does not prevent the debtor from questioning 
service charges and negotiating a fair and reasonable settlement.
    (1) Claims from private parties selling personal items (for example, 
car, furniture, appliances) on a one-time basis.
    (2) Claims from companies or individuals giving services in which 
credit is given only to help the soldier (for example, utilities, milk, 
laundry, medical, and related services).
    (3) Claims by endorsers, comakers, or lenders who intend only to 
help the soldier in getting credit. These claims, however, may not 
benefit the above through receipt of interest or otherwise.
    (4) Contract for the purchase, sale, or rental of real estate.
    (5) Claims in which the total unpaid amount does not exceed $50.
    (6) Claims based on a revolving or open-end credit account. The 
account must show--
    (i) The periodic interest rate and the equivalent annual rate.
    (ii) The balance to which the interest is applied to compute the 
charge.
    (7) Claims as security liens on real property (for example, a 
house). This does not include improvements or repairs.
    (8) Attorneys representing parties under Sec. 513.4(f) (1) through 
(7).



Sec. 513.5  Procedures governing nonactive duty or discharged personnel.

    (a) Procedures governing nonactive duty personnel. (1) Debt 
complaints against former soldiers or others not on active duty will be 
sent to the Commander, U.S. Army Reserve Personnel Center (ARPERCEN), 
ATTN: DARP-PSE-VS, 9700 Page Boulevard, St. Louis, MO 63132-5200.
    (2) After ARPERCEN verifies the status, the following officials will 
act as prescribed below.
    (i) Chief, National Guard Bureau, Wash DC 20310-2500, for soldiers 
of the Army National Guard.
    (ii) The area commander concerned for Ready Reservists assigned to 
troop program units under their control. (See AR 140-1, para 1-6.)
    (iii) ARPERCEN for nonunit soldiers assigned to Control Groups of 
the Ready Reserve, Standby Reserve, and Retired Reserve.
    (3) The officials cited in Sec. 513.5(a)(2) will ensure that debt 
complaints are delivered to the person concerned,

[[Page 76]]

using military channels. When the complaint cannot be delivered through 
military channels, it will be sent to the last known mailing address of 
the person by certified mail, using PS Form 3811 (Return Receipt, 
Registered, Insured, and Certified Mail). It should be marked Return 
Receipt Requested--Deliver to Addressee Only. This form is available at 
U.S. post offices.
    (4) After delivery of correspondence, the responsible official will 
advise the claimant--
    (i) Of the date and method of delivery.
    (ii) That the military department does not control the personal 
affairs of nonactive duty personnel. These personnel usually are in a 
civilian status and are not subject to military discipline. Therefore, 
the matter has been left to the person's discretion.
    (iii) Of the person's mailing address only if the conditions in 
Sec. 513.5(c) are met.
    (b) Procedures governing discharged personnel. (1) Debt complaints 
against persons who have been discharged from the service (that is, 
those now holding no military status) will be sent to ARPERCEN.
    (2) ARPERCEN will return the correspondence, and all accompanying 
documentation, and advise the claimaint--
    (i) That the person is no longer a member of the Army or the Reserve 
Components.
    (ii) Of the date of discharge.
    (iii) That the Army no longer has control or authority over the 
discharged personnel. Therefore, the Army can take no further action in 
this matter.
    (iv) Of the person's mailing address only if the conditions in 
Sec. 513.5(c) are met.
    (c) Conditions for disclosing mailing address. Nonactive duty and 
discharged personnel's mailing addresses will not be disclosed unless--
    (1) The person consents in writing to the release of his or her 
address.
    (2) The claimant sends a court order directing the release of the 
address.
    (3) Any other reason that does not constitute a violation of the 
Privacy Act of 1974.
    (d) Retired personnel. (1) The claimant may be advised that 
correspondence may be sent to the retired person as follows:
    (i) Place correspondence in a stamped envelope with the retired 
person's name typed or printed on the envelope.
    (ii) Place a stamped envelope in a second envelope and mail to 
Commander, ARPERCEN, Attn: DARP-PSE-VS, 9700 Page Boulevard, St. Louis, 
MO 63131-5200.
    (2) ARPERCEN will forward the correspondence to the retired person, 
but cannot release the address per provisions of the Privacy Act of 
1974.

                   Appendix A to Part 513--References

                                Section I

    Required Publications.

                                AR 340-2

    Maintenance and Dispostion of Records in TOE Units of the Active 
Army, the Army Reserve and the National Guard. (Cited in 
Sec. 513.3(b)(2)).

                                AR 340-17

    Release of Information and Records from Army Files. (Cited in 
Sec. 513.2(a)(3)(viii)(H)).

                                AR 340-18

    The Army Functional Files System. (Cited in Sec. 513.3(b)(2)).

                                AR 340-21

    The Army Privacy Program. (Cited in Secs. 513.1(d)(5)(iv) and 
513.2(a)(3)(viii)(H)).

                                AR 600-37

    Unfavorable Information. (Cited in Sec. 513.3(b) (2) and (3)).

                              DA Pam 27-166

    Soldiers' and Sailors' Civil Relief Act. (Cited in Sec. 513.4(b)).

                             DA Pam 360-520

    Credit: Master or Servant. (Cited in Secs. 513.2(a)(3)(viii)(G) and 
513.4(a)(4)).
    Uniform Code of Military Justice. (Cited in Secs. 513.1(e)(7)(iv), 
513.2(a)(3)(viii)(D) and 513.3(a)(4)).

                               Section II

    Related Publications.
    A related publication is merely a source of additional information. 
The user does not have to read it to understand this regulation.

[[Page 77]]

                                 AR 1-9

    White House Liaison, Communications, and Inspections.

                                 AR 11-2

    Internal Control Systems.

                                 AR 27-3

    Legal Assistance.

                                AR 37-60

    Pricing for Materiel and Services.

                                AR 140-1

    USAR--Mission, Organization, and Training.

                                AR 210-24

    Credit Unions.

                                AR 210-60

    Control and Prevention of Abuse of Check Cashing Privileges.

                               AR 210-135

    Banking Service on Army Installations.

                               AR 601-280

    Army Reenlistment Program.

                                AR 608-1

    Army Community Service Program.

                                AR 608-99

    Family Support, Child Custody, and Paternity.

                               AR 635-100

    Officer Personnel (Separations).

                               AR 635-200

    Enlisted Personnel (Separations).

                               DODD 1344.9

    Indebtedness of Military Personnel.
    Federal Reserve Board Regulation Z Truth in Lending.

                               Section III

    Prescribed Forms.

                             DA Form 4817-R

    Consent/Nonconsent to Disclose Personal Information. (Cited in 
Secs. 513.2(a)(3)(viii) (A) and (H), and 513.2(d)(4)(iv)).

                               Section IV

    Referenced Forms.

                               DA Form 209

    Delay, Referral, or Follow-Up Notice.

                              PS Form 3811

    Return Receipt, Registered, Insured, and Certified Mail.

              Appendix B to Part 513--Standards of Fairness

    B-1. No finance charge contracted for, made, or received under any 
contract shall be in excess of the charge which could be made for such 
contract under the law of the place in which the contract is signed in 
the United States by the military member.
    a. In the event a contract is signed with a U.S. company in a 
foreign country, the lowest interest rate of the State or States in 
which the company is chartered or does business shall apply.
    b. However, interest rates and service charges applicable to 
overseas military banking facilities will be established by the 
Department of Defense.
    B-2. No contract or loan agreement shall provide for an attorney's 
fee in the event of default unless suit is filed, in which event the fee 
provided in the contract shall not exceed 20 percent of the obligation 
found due. No attorney fees shall be authorized if the attorney is a 
salaried employee of the holder.
    B-3. In loan transactions, defenses which the debtor may have 
against the original lender or its agent shall be good against any 
subsequent holder of the obligation. In credit transactions, defenses 
against the seller or its agent shall be good against any subsequent 
holder of the obligation, provided that the holder had actual knowledge 
of the defense or under conditions where reasonable inquiry would have 
apprised the holder of this fact.
    B-4. The military member shall have the right to remove any security 
for the obligation beyond State or national boundaries if the military 
member or family moves beyond such boundaries under military orders and 
notifies the creditor, in advance of the removal, of the new address 
where the security will be located. Removal of the security shall not 
accelerate payment of the obligation.
    B-5. No late charge shall be made in excess of 5 percent of the late 
payment, or $5 whichever is the lesser amount, or as provided by law or 
applicable regulatory agency determination. Only one late charge may be 
made for any tardy installment. Late charges will not be levied where an 
allotment has been timely filed, but payment of the allotment has been 
delayed. Late charges by overseas banking facilities are a matter of 
contract with the Department of Defense. Late charges by Federal credit 
unions are set at 20 percent of the interest due with a minimum of not 
less than 5 cents.

[[Page 78]]

    B-6. The obligation may be paid in full at any time or through 
accelerated payments of any amount. There shall be no penalty for 
prepayment and in the event of prepayment that portion of the finance 
charges which has inured to the benefit of the seller of the creditor 
shall be prorated on the basis of the charges which would have been 
ratably payable had finance charges been calculated and payable as equal 
periodic payments over the terms of the contract and only the prorated 
amount to the date of prepayment shall be due. As an alternative the 
``Rule of 78'' may be applied.
    B-7. If a charge is made for loan insurance protection, it must be 
evidenced by delivery of a policy or certificate of insurance to the 
military member within 30 days.
    B-8. If the loan or contract agreement provides for payments in 
installments, each payment, other than the down payment, shall be in 
equal or substantially equal amounts, and installments shall be 
successive and of equal or substantially equal duration.
    B-9. If the security for the debt is repossessed and sold in order 
to satisfy or reduce the debt, the repossession and resale will be 
governed by the laws of the State in which the security is requested.
    B-10. A contract for personal goods and services may be terminated 
at any time before delivery of the goods or services without charge to 
the purchaser. However, if goods made to the special order of the 
purchaser result in preproduction costs, or require preparation for 
delivery, such additional costs will be listed in the order form or 
contract.
    a. No termination charge will be made in excess of this amount. 
Contracts for delivery at future intervals may be terminated as to the 
undelivered portion.
    b. The purchaser shall be chargeable only for that proportion of the 
total cost which the goods or services delivered bear to the total goods 
called for by the contract. (This is in addition to the right to rescind 
certain credit transactions involving a security interest in real estate 
provided by Pub. L. 90-321, ``Truth-in-Lending Act,'' section 125 (15 
U.S.C. 1601 (1976)) and the Federal Reserve Board Regulation Z (12 CFR 
part 226 and Secs. 226.3, 226.9 (1978)).

                    Appendix C to Part 513--Glossary

Section I--Abbreviations

ARNGUS: Army National Guard of the United States
ARPERCEN: U.S. Army Reserve Personnel Center
AUTOVON: automatic voice network
DA: Department of the Army
DOD: Department of Defense
HQDA: Headquarters, Department of the Army
MHD: medical holding detachment
SJA: staff judge advocate
SSN: social security number
UCMJ: Uniform Code of Military Justice
USACFSC: U.S. Army Community and Family Support Center
USAEREC: U.S. Army Enlisted Records and Evaluation Center
USAFAC: U.S. Army Finance and Accounting Center
USAR: U.S. Army Reserve
U.S.C. U.S. Code

Section II--Terms


Check: A written order, usually on a standard printed form, directing a 
bank or credit union to pay money.
Creditor: Any person or business that offers or extends credit, or to 
whom or to which a debt is owed. This term includes lending institutions 
(such as centralized charge systems) which, although not parties to the 
original transactions, seek help in collecting debts.
Debt: Any legal debt acknowledged by the soldier, or in which there is 
no reasonable dispute as to the facts or law, or which has been reduced 
to judgment.
Debt collector: Any person or business that solely collects debts owed 
to another person or business. (A debt collector is not a creditor.)
Disputed debt: Any debt, not reduced to a judgment, in which there is a 
genuine dispute between the parties as to the facts or law relating to 
the debt which would affect the obligation the soldier to pay.
Family member: As used in this regulation, an individual who qualifies 
for dependency benefits under certain conditions as set by Army 
regulations. (For example, spouse or unmarried child, to include 
stepchildren, and adopted or illegitimate children.)
Judgment: Any decision given by a court of justice or other competent 
tribunal as a result of proceedings instituted therein. As defined, a 
judgment includes any administrative enforcement order 
(Vollstreckungsanordnung) issued by the German federal post office 
(Deutsche Bundespost) regarding unpaid telephone bills. Such orders come 
within the coverage of this regulation regardless of where the soldier 
is stationed.
Soldier: Commissioned and warrant officers and enlisted personnel.
[51 FR 7275, Mar. 3, 1986; 51 FR 8824, Mar. 14, 1986]



PART 516--LITIGATION--Table of Contents




                           Subpart A--General

Sec.
516.1  Purpose.
516.2  References.

[[Page 79]]

516.3  Explanation of abbreviations and terms.
516.4  Responsibilities.
516.5  Restriction on contact with DOJ.
516.6  Appearance as counsel.
516.7  Mailing addresses.

                      Subpart B--Service of Process

516.8  General.
516.9  Service of criminal process within the United States.
516.10  Service of civil process within the United States.
516.11  Service of criminal process outside the United States.
516.12  Service of civil process outside the United States.
516.13  Assistance in serving process overseas.
516.14  Service of process on DA or Secretary of Army.

             Subpart C--Reporting Legal Proceedings to HQDA

516.15  General.
516.16  Individual and supervisory procedures upon commencement of legal 
          proceedings.
516.17  SJA or legal adviser procedures.
516.18  Litigation alleging individual liability.
516.19  Injunctive relief.
516.20  Habeas Corpus.
516.21  Litigation against government contractors.
516.22  Miscellaneous reporting requirements.
516.23  Litigation reports.
516.24  Preservation of evidence.
516.25  DA Form 4.
516.26  Unsworn declarations under penalty of perjury.

                     Subpart D--Individual Liability

516.27  Scope.
516.28  Policy.
516.29  Federal statutes and regulations.
516.30  Procedures for obtaining certification and DOJ representation.
516.31  Private counsel at government expense.
516.32  Requests for indemnification.

Subpart E--Legal Proceedings Initiated by the United States Medical Care 
                           and Property Claims

516.33  General.
516.34  Referral of medical care and property claims for litigation.
516.35  Preparation of claims for litigation.

                        Assertion of Other Claims

516.36  Referral to Litigation Division.
516.37  Proceedings to repossess government real property or quarters or 
          to collect delinquent rent.

                   Subpart F--Environmental Litigation

516.38  Scope.
516.39  Duties and procedures.

   Subpart G--Release of Information and Appearance of Witnesses Scope

516.40  General.
516.41  Policy.
516.42  Reference to HQDA.

            Release of Records in Connection with litigation

516.43  Release of Army and other agency records.
516.44  Determination of release authorization.
516.45  Records determined to be releasable.
516.46  Records determined not to be releasable.

             DA Personnel as Witnesses in Private Litigation

516.47  Response to subpoenas, orders, or requests for witnesses.
516.48  Official information.
516.49  Expert witnesses.
516.50  Interference with mission.

          Litigation in Which the United States Has an Interest

516.51  Response to subpoenas, orders, or requests for witnesses.
516.52  Expert witnesses.
516.53  News media and other inquiries.

                Status, Travel, and Expenses of Witnesses

516.54  Witnesses for the United States.
516.55  Witnesses for a State or private litigant.
516.56  Witnesses before foreign tribunals.

         Subpart H--Remedies in Procurement Fraud and Corruption

516.57  Purpose.
516.58  Policies.
516.59  Duties and procedures.
516.60  Procurement fraud and irregularities programs at MACOMs.
516.61  Reporting requirements.
516.62  PFD and HQ USACIDC coordination.
516.63  Coordination with DOJ.
516.64  Comprehensive remedies plan.
516.65  Litigation reports in civil recovery cases.
516.66  Administrative and contractual actions.
516.67  Overseas cases of fraud or corruption.
516.68  Program Fraud Civil Remedies Act (PFCRA).

[[Page 80]]

        Subpart I--Cooperation With the Office of Special Counsel

516.69  Introduction.
516.70  Policy.
516.71  Duties.
516.72  Procedures.
516.73  Assistance from HQDA.

     Subpart J--Soldiers Summoned to Serve on State and Local Juries

516.74  General.
516.75  Policy.
516.76  Exemption determination authority.
516.77  Procedures for exemption.
516.78  Status, fees, and expenses.


Appendix A to Part 516--References.
Appendix B to Part 516--Mailing Addresses.
Appendix C to Part 516--Department of Defense Directive 5405.2, Release 
          of Official Information in Litigation and Testimony by DOD 
          Personnel as Witnesses.
Appendix D to Part 516--Department of Defense Directive 7050.5, 
          Coordination of Remedies for Fraud and Corruption Related to 
          Procurement Activities.
Appendix E to Part 516--Department of Defense Directive 5505.5, 
          Implementation of the Program Fraud Civil Remedies Act.
Appendix F to Part 516--Glossary.
Appendix G to Part 516--Figures.

    Authority: 5 U.S.C. 552; 10 U.S.C. 218, 1037, 1089, 1552, 1553, 
2036; 18 U.S.C. 219, 3401; 28 U.S.C. 50, 513, 515, 543; 31 U.S.C. 3729 
and 41 U.S.C. 51; 42 U.S.C. 290, 2651; 43 U.S.C. 666

    Source: 59 FR 38236, July 27, 1994, unless otherwise noted.



                           Subpart A--General



Sec. 516.1  Purpose.

    (a) This part prescribes policies and procedures for the following:
    (1) Defensive and affirmative litigation in Federal and state 
civilian courts where the Army or DOD has an interest in the matter.
    (2) Proceedings before Federal or state administrative bodies, such 
as utility rate commissions.
    (3) Release of official information and testimony by DA personnel 
with regard to litigation.
    (4) Remedies for procurement fraud and corruption.
    (5) Environmental civil litigation and administrative proceedings.
    (6) Proceedings before the Office of Special Counsel.
    (b) This regulation does not apply to DA or DOD proceedings such as 
courts-martial or administrative boards.



Sec. 516.2  References.

    Applicable publications and forms are listed in appendix A to this 
part.



Sec. 516.3  Explanation of abbreviations and terms.

    (a) The Glossary contains explanations of abbreviations and terms.
    (b) The masculine gender has been used throughout this regulation 
for simplicity and consistency. Any reference to the masculine gender is 
intended to include women.



Sec. 516.4  Responsibilities.

    (a) United States Department of Justice (DOJ). DOJ will defend 
litigation in domestic and foreign courts, against the United States, 
its agencies and instrumentalities, and employees whose official conduct 
is involved. The various U.S. Attorney Offices, under the oversight of 
the Attorney General, will conduct much of the representation.
    (b) The Judge Advocate General (TJAG). Subject to the ultimate 
control of litigation by DOJ (including the various U.S. Attorney 
Offices), and to the general oversight of litigation by the Army General 
Counsel, TJAG is responsible for litigation in which the Army has an 
interest except with respect to proceedings addressed in paragraph (i) 
of this section, only TJAG (or Chief, Litigation Division) will 
communicate to DOJ the army's position with regard to settlement of a 
case.
    (c) Assistant Judge Advocate General For Civil Law and Litigation 
(AJAG-CL). Responsible to TJAG for litigation issues; supervises Chief, 
Litigation Division.
    (d) Chief, Litigation Division. Reports to AJAG-CL and is 
responsible for the following:
    (1) Supervising litigation in which the Army has an interest.
    (2) Acting for TJAG and Secretary of the Army on litigation issues, 
including the authority to settle or compromise cases, subject to the 
supervision of TJAG and AJAG-CL.
    (3) Delegating cases if appropriate.

[[Page 81]]

    (4) Serving as primary contact with DOJ on litigation.
    (5) Accepting service of process for DA and for the Secretary of the 
Army in his official capacity. See 32 CFR Sec. 257.5).
    (e) Special Assistant U.S. Attorneys (SAUSAs) and DOJ Special 
Attorneys. Army judge advocates and civilian attorneys, when appointed 
as SAUSAs under 28 U.S.C. 543, will represent the Army's interests in 
either criminal or civil matters in Federal court under the following 
circumstances:
    (1) Felony and misdemeanor prosecutions in Federal court. Army 
attorneys, at the installation level, after being duly appointed (See AR 
27-10), will prosecute cases, in which the Army has an interest, in 
Federal court. Army attorneys who prosecute criminal cases will not 
represent the United States in civil litigation without authorization 
from Chief, Litigation Division.
    (2) SAUSAs for civil litigation. By assignment of TJAG and upon the 
approval of the U.S. Attorney, Judge Advocates will serve within a U.S. 
Attorney's office to represent the government in litigation in which the 
Army or DOD has an interest. These Judge Advocates have the same general 
authority and responsibility as an Assistant U.S. Attorney.
    (3) Special Attorneys assigned to DOJ. By assignment of TJAG and 
with the concurrence of the appropriate DOJ official, Judge Advocates 
will work as Special Attorneys for DOJ. Special Attorneys are authorized 
to represent the United States in civil litigation in which the Army or 
DOD has an interest.
    (f) Attorneys at Army activities or commands. SJAs or legal 
advisers, or attorneys assigned to them, will represent the United 
States in litigation only if authorized by this regulation or delegated 
authority in individual cases by the Chief, Litigation Division.
    (g) Commander, U.S. Army Claims Service (USARCS). The Commander, 
USARCS, and USARCS attorneys, subject to AR 27-20, Chapter 4, will 
maintain direct liaison with DOJ in regard to administrative settlement 
of claims under the Federal Tort Claims Act.
    (h) Chief, Contract Law Division, OTJAG. The Chief, Contract Law 
Division, attorneys assigned to the Contract Law Division, and other 
attorneys designated by the Chief, Contract Law Division, in litigation 
involving taxation, will represent DA in negotiation, administrative 
proceedings, and litigation, and maintain liaison with DOJ and other 
governmental authorities.
    (i) Legal Representatives of the Chief of Engineers. The Office of 
Chief Counsel, attorneys assigned thereto, and other attorneys 
designated by the Chief Counsel will maintain direct liaison with DOJ 
and represent DA in litigation and administrative proceedings a rising 
from the navigation, civil works, Clean Water Act 404 permit authority, 
environmental response activities, and real property functions of the 
U.S. Army Corps of Engineers.
    (j) Chief Trial Attorney, Contract Appeals Division, USALSA. The 
Chief Trial Attorney, attorneys assigned to the Contract Appeals 
Division, and attorneys designated by the Chief Trial Attorney will 
represent the government before the Armed Services Board of Contract 
Appeals and the General Services Board of Contract Appeals. They will 
maintain direct liaison with DOJ concerning appeals from ASBCA and GSBCA 
decisions. The Chief Trial Attorney has designated COE attorneys to act 
as trial attorneys in connection with COE contract appeals.
    (k) Chief, Regulatory Law Office, USALSA. The Chief, Regulatory Law 
Office, attorneys assigned to the Regulatory Law Office, and other 
attorneys designated by the Chief, will represent DA consumer interests 
in regulatory matters before state and Federal administrative agencies 
and commissions, including but not limited to proceedings involving 
rates and conditions for the purchase of services for communications 
(except long-distance telephone), transportation, and utilities (gas, 
electric, water and sewer). They will maintain direct liaison with DOJ 
for communications, transportation, and utilities litigation.
    (l) Chief, Intellectual Property Law Division, USALSA. The Chief, 
Intellectual Property Law Division, and the

[[Page 82]]

attorneys assigned thereto will represent DA in matters pertaining to 
patents, copyrights, and trademarks. They will maintain direct liaison 
with DOJ concerning intellectual property issues.
    (m) Chief, Labor and Employment Law Office, OTJAG. The Chief, Labor 
and Employment Law Office, attorneys assigned thereto, and attorneys 
identified as labor counselors will represent DA in matters pertaining 
to labor relations, civilian personnel, and Federal labor standards 
enforcement before the following: Federal Labor Relations Authority; 
Merit Systems Protection Board; Equal Employment Opportunity Commission; 
Department of Labor; National Labor Relations Board; and, state 
workmen's compensation commissions. In the event any individual 
mentioned in this subparagraph intends to make a recommendation to DOJ 
concerning an appeal of any case to a U.S. Court of Appeals, such 
recommendation will first be coordinated with Litigation Division.
    (n) Chief, Procurement Fraud Division, USALSA. The Chief, 
Procurement Fraud Division, attorneys assigned thereto, and other 
attorneys designated by the Chief will represent DA in all procurement 
fraud and corruption matters before the Army suspension and debarment 
authority and before any civil fraud recovery administrative body. They 
will maintain liaison and coordinate remedies with DOJ and other 
agencies in matters of procurement fraud and corruption.
    (o) Chief, Environmental Law Division, USALSA. The Chief, 
Environmental Law Division, attorneys assigned thereto, and other 
attorneys designated by the Chief, ELD, will maintain direct liaison 
with DOJ and represent DA in all environmental and natural resources 
civil litigation and administrative proceedings involving missions and 
functions of DA, its major and subordinate commands, installations 
presently or previously managed by DA, and other sites or issues in 
which DA has a substantial interest, except as otherwise specifically 
provided in this part.
    (p) Chief, Criminal Law Division, OTJAG. The Chief, Criminal Law 
Division, will have general oversight of felony and magistrate court 
prosecutions conducted by Army lawyers acting as Special Assistant U.S. 
Attorneys. (See subpart G of this part). The Chief will coordinate with 
DOJ and other governmental agencies concerning the overall conduct of 
these prosecutions.
[59 FR 38236, July 27, 1994; 59 FR 45974, Sept. 6, 1994]



Sec. 516.5  Restriction on contact with DOJ.

    (a) General rule. Except as authorized by TJAG, the General Counsel, 
the Chief of Litigation Division, or this regulation, no Army personnel 
will confer or correspond with DOJ concerning legal proceedings in which 
the Army has an interest.
    (b) Exceptions. This prohibition does not preclude contact with DOJ 
required by the Memorandum of Understanding between DOJ and DOD relating 
to the investigation and prosecution of certain crimes. (See AR 27-10, 
para 2-7). In addition, an installation SJA or legal adviser is expected 
to maintain a working relationship with the U.S. Attorney in each 
district within his geographical area. An SJA or legal adviser should 
request the U.S. Attorney to advise him immediately when litigation 
involving DA or its personnel is served on the U.S. Attorney.
[59 FR 38236, July 27, 1994; 59 FR 45974, Sept. 6, 1994]



Sec. 516.6  Appearance as counsel.

    (a) General. Military personnel on active duty and DA civilian 
personnel will not appear as counsel before any civilian court or in any 
preliminary proceeding, for example, deposition, in litigation in which 
the Army has an interest without the prior written approval of TJAG, 
except under the following conditions:
    (1) The appearance is authorized by this regulation.
    (2) The individual is a party to the proceeding.
    (3) The appearance is authorized under an expanded legal assistance 
program (See AR 27-3).
    (4) The individual is a judge advocate assigned or detailed by TJAG 
to DOJ to represent the United States in civil

[[Page 83]]

or criminal cases, for example, a Special Assistant U.S. Attorney, or an 
attorney assigned to Litigation Division.
    (b) Procedure. All requests for appearance as counsel will be made 
through Litigation Division to the Personnel, Plans and Training Office, 
OTJAG. Requests for DA military or civilian attorneys to appear in any 
civilian court or proceeding on behalf of a soldier who is also facing 
UCMJ action will be delivered to the SJA, legal adviser, or Regional 
Defense Counsel, as appropriate. The SJA or legal adviser will forward 
the request to Litigation Division with an evaluation of the case and 
recommendation. Regional Defense Counsel should send requests for USATDS 
counsel to Chief, USATDS, who will forward the request to Litigation 
Division. Privileged or otherwise sensitive client information should 
only be submitted through USATDS channels.



Sec. 516.7  Mailing addresses.

    Mailing addresses for organizations referenced in this regulation 
are in appendix B to this part.



                      Subpart B--Service of Process



Sec. 516.8  General.

    (a) Defined. Process is a legal document that compels a defendant in 
an action to appear in court or to comply with the court's demands, for 
example, in a civil case a summons or subpoena, or in a criminal case, a 
warrant for arrest, indictment, contempt order, subpoena, or summons. 
Service of process is the delivery of the document to a defendant to 
notify him of a claim or charge against him.
    (b) Policy. DA personnel will follow the guidance of this chapter 
when civil officials attempt to serve civil or criminal process on 
individuals on Federal property.
    (c) Procedures. Provost marshals shall ensure that installation law 
enforcement personnel are adequately trained to respond to situations 
which arise with regard to service of civil and criminal process. SJAs 
or legal advisers shall provide guidance to law enforcement personnel in 
these matters.



Sec. 516.9  Service of criminal process within the United States.

    (a) Surrender of personnel. Guidance for surrender of military 
personnel to civilian law enforcement officials is in Chapter 7 of AR 
630-10 and AR l90-9. Army officials will cooperate with civilian law 
enforcement authorities who seek the surrender of a soldier in 
connection with criminal charges. Special rules apply when a bail 
bondsman or other surety seeks custody of a soldier.
    (b) Requests for witnesses or evidence in criminal proceedings. See 
subpart G to this part.
[59 FR 38236, July 27, 1994; 59 FR 45975, Sept. 6, 1994]



Sec. 516.10  Service of civil process within the United States.

    (a) Policy. DA officials will not prevent or evade the service or 
process in legal actions brought against the United States or against 
themselves in their official capacities. If acceptance of service of 
process would interfere with the performance of military duties, Army 
officials may designate a representative to accept service. DA personnel 
sued in their individual capacity should seek legal counsel concerning 
voluntary acceptance of process.
    (b) Request for witnesses or evidence in civil proceedings. See 
subpart G to this part.
    (c) Process of Federal courts. Subject to reasonable restrictions 
imposed by the commander, civil officials will be permitted to serve 
Federal process. (See Fed. R. Civ. P. 4, 45).
    (d) Process of state courts.
    (1) In areas of exclusive Federal jurisdiction that are not subject 
to the right to serve state process, the commander or supervisor will 
determine whether the individual to be served wishes to accept service 
voluntarily. A JA or other DA attorney will inform the individual of the 
legal effect of voluntary acceptance. If the individual does not desire 
to accept service, the party requesting service will be notified that 
the nature of the exclusive Federal jurisdiction precludes service by 
state authorities on the military installation.
    (2) On Federal property where the right to serve process is reserved 
by or

[[Page 84]]

granted to the state, in areas of concurrent jurisdiction, or where the 
United States has only a proprietary interest, Army officials asked to 
facilitate service of process will initially proceed as provided in the 
preceding subparagraph. If the individual declines to accept service, 
the requesting party will be allowed to serve the process in accordance 
with applicable state law, subject to reasonable restrictions imposed by 
the commander.
    (e) Process of foreign courts. A U.S. District Court may order 
service upon a person who resides in the judicial district of any 
document issued in connection with a proceeding in a foreign or 
international tribunal. (28 U.S.C. 1696). In addition, the U.S. State 
Department has the power to receive a letter rogatory issued by a 
foreign or international tribunal, to transmit it to a tribunal, officer 
or agency in the United States, and to return it after execution. (28 
U.S.C. 1781). Absent a treaty or agreement to the contrary, these 
provisions will govern.
    (f) Seizure of personal property. State and Federal courts issue 
orders (for example, writ of attachment) authorizing a levy (seizure) of 
property to secure satisfaction of a judgment. DA personnel will comply 
with valid state or Federal court orders commanding or authorizing the 
seizure of private property to the same extent that state or Federal 
process is served.
[59 FR 38236, July 27, 1994; 59 FR 45975, Sept. 6, 1994]



Sec. 516.11  Service of criminal process outside the United States.

    Army Regulation 630-10 and international treaties, such as status of 
forces agreements, govern the service of criminal process of foreign 
courts and the surrender of soldiers to foreign civilian law enforcement 
officials.



Sec. 516.12  Service of civil process outside the United States.

    (a) Process of foreign courts. In foreign countries service of 
process issued by foreign courts will be made under the law of the place 
of service, as modified by status of forces agreements, treaties or 
other agreements. In foreign areas under exclusive U.S. jurisdiction, 
service of process issued by foreign courts will be made under the law 
specified by appropriate U.S. authority.
    (b) Process of Federal courts. Service of process on U.S. citizens 
or residents may be accomplished under the following provisions: The 
Hague Convention, reprinted in 28 USCA Federal Rules of Civil Procedure, 
following Rule 4; Fed. R. Civ. P. 4(i); 28 USC 1781 and 1783; and, the 
rules of the Federal court concerned. If a DA official receives a 
request to serve Federal process on a person overseas, he will determine 
if the individual wishes to accept service voluntarily. Individuals will 
be permitted to seek counsel. If the person will not accept service 
voluntarily, the party requesting service will be notified and advised 
to follow procedures prescribed by the law of the foreign country 
concerned.
    (c) Process of state courts. If a DA official receives a request to 
serve state court process on a person overseas, he will determine if the 
individual wishes to accept service voluntarily. Individuals will be 
permitted to seek counsel. If the person will not accept service 
voluntarily, the party requesting service will be notified and advised 
to follow procedures prescribed by the law of the foreign country 
concerned. (See, for example, The Hague Convention, reprinted in 28 USCA 
Federal Rules of Civil Procedure, following Rule 4).
    (d) Suits against the United States. DA personnel served with 
foreign civil process will notify the appropriate SJA or legal adviser, 
who will return the document to the issuing authority explaining the 
lack of authority to accept service for the United States. Service on 
the United States must be made upon DOJ through established diplomatic 
channels.



Sec. 516.13  Assistance in serving process overseas.

    (a) Europe. For information and assistance concerning service of 
process of persons assigned to or accompanying U.S. Forces in Europe, 
contact the Foreign Law Branch, International Law Division, Office of 
The Judge Advocate, Headquarters U.S. Army, Europe, and Seventh Army, 
Unit 29351, (Heidelberg, Germany) APO AE 09014.

[[Page 85]]

    (b) Korea. For information and assistance concerning service of 
process of persons assigned to or accompanying U.S. Forces in Korea, 
contact Staff Judge Advocate, US Forces Korea (Seoul, Republic of 
Korea), APO AP 96205.
    (c) Panama, Central and South America. For information and 
assistance concerning service of process of persons assigned to or 
accompanying forces in the U.S. Army Southern Command, contact Staff 
Judge Advocate, HQ, US Army South, Fort Clayton, Panama, APO AA 34004-
5000.



Sec. 516.14  Service of process on DA or Secretary of Army.

    The Chief, Litigation Division, shall accept service of process for 
Department of the Army or for the Secretary of the Army in his official 
capacity.



             Subpart C--Reporting Legal Proceedings to HQDA



Sec. 516.15  General.

    (a) Legal proceedings requiring reporting. Actions must be taken 
upon commencement of litigation or administrative proceedings in which 
the United States has an interest. Typically, the Secretary of the Army, 
DA, the United States, or DA personnel are named as defendant in a 
lawsuit or as respondent in an administrative proceeding. A nonexclusive 
listing of cases in which the United States has an interest include the 
following:
    (1) Suits for damages, injunctive relief, or other action filed 
against the government or against DA personnel in their official 
capacity.
    (2) Suits alleging individual liability arising from performance of 
official duties by DA personnel.
    (3) Actions affecting DA operations or activities or which might 
require official action by DA personnel.
    (4) Actions arising out of DA contracts, subcontracts, or purchase 
orders wherein the government might be required to reimburse a 
contractor for litigation expenses.
    (5) Bankruptcy proceedings in which the United States or its 
instrumentalities may have an interest, including bankruptcies involving 
government contractors.
    (b) Command and agency responsibility. Commanders and supervisors of 
Army units, installations, or organizations will ensure reports required 
by this section are promptly submitted.
    (c) Reports to HQDA. Reports required by this regulation will be 
made telephonically or mailed to the responsible organization at DA. 
Appendix B to this part contains mailing addresses for these offices. 
Except in the situations described below, reports required by this 
chapter will be made to Litigation Division:
    (1) Actual or potential litigation (or administrative infringement 
claims) involving patents, copyrights, or trademarks will be made to 
Intellectual Property Law Division.
    (2) Reports of pending or prospective litigation involving taxation 
will be made to Contract Law Division.
    (3) Communications, transportation, and utility services reports 
will be made to Regulatory Law Office.
    (4) Reports involving environmental and natural resource litigation 
and administrative proceedings will be made to Environmental Law 
Division.
    (5) Potential civil recovery reports in cases of procurement fraud 
and corruption will be made to Procurement Fraud Division.
    (6) Reports involving the felony prosecution program and magistrate 
court prosecutions will be made to Criminal Law Division, OTJAG.
    (7) Cases before the Armed Services Board of Contract Appeals and 
the General Services Board of Contract Appeals will be made to Contract 
Appeals Division.
    (d) Classified information. Information required by this regulation 
will be submitted in an unclassified form if possible. If downgrading or 
declassification is not feasible, the classified material should be 
separated from the report and forwarded under separate cover.
    (e) Other reporting requirements. Reports required by this chapter 
are in addition to and do not satisfy any other reporting requirement, 
such as the following: notifying the FBI of offenses pursuant to AR 27-
10; submitting serious incident reports pursuant to AR 190-40; reporting 
procurement

[[Page 86]]

fraud or other irregularities per Defense Federal Acquisition Regulation 
Supplement, section 209.406-3 (48 CFR 209.406-3); reporting the exercise 
of criminal jurisdiction by foreign tribunals over U.S. personnel 
pursuant to AR 27-50; or, reporting bankruptcies per AR 37-103.
    (f) Reports control exemption. The reports required herein are 
exempt from reports control under AR 335-15, paragraphs 3-3a(5) and 5-
2e(4).



Sec. 516.16  Individual and supervisory procedures upon commencement of legal proceedings.

    (a) Individual procedures. DA personnel served with civil or 
criminal process concerning a proceeding in which the United States has 
an interest (Sec. 516.15) will immediately inform their supervisor and 
furnish copies of process and pleadings. There is no requirement to 
notify supervisors of purely private litigation.
    (b) Supervisory procedures. When supervisors learn that legal 
proceedings in which the United States has an interest have commenced, 
the supervisor will forward a copy of all process and pleadings, along 
with other readily available information, to the SJA or legal adviser. 
If no legal officer is available locally, the documents will be 
forwarded to the SJA or legal adviser of the next higher headquarters.



Sec. 516.17  SJA or legal adviser procedures.

    (a) Immediate notice to HQDA. When an SJA or legal adviser learns of 
litigation in which the United States has an interest, and it appears 
that HQDA is not aware of the action, the SJA or legal adviser will 
telephonically notify the responsible HQDA office. (See Sec. 516.15(c)). 
Immediate notice is particularly important when litigation involves one 
of the following: a lawsuit against an employee in his individual 
capacity; a motion for a temporary restraining order or preliminary 
injunction; a habeas corpus proceeding; a judicial or administrative 
proceeding involving less than 60 days to file an answer; and, actions 
with possible Congressional, Secretarial, or Army Staff interest. For 
legal proceedings instituted in foreign tribunals, the SJA or legal 
adviser will also notify the major overseas commander concerned and the 
appropriate U.S. Embassy or Legation. A telephonic report to HQDA should 
include the following:
    (1) Title or style of the proceeding.
    (2) Full names and addresses of the parties.
    (3) Tribunal in which the action is filed, date filed, docket 
number, when and on whom service of process was made, and date by which 
pleading or response is required.
    (4) Nature of the action, amount claimed or relief sought.
    (5) Reasons for immediate action.
    (b) Transmission of process, pleadings, and related papers. Unless 
instructed otherwise by HQDA, the SJA or legal adviser will FAX or mail 
HQDA a copy of all process, pleadings, and related papers. Use of 
express mail or overnight delivery service is authorized.
    (c) Notice to U.S. Attorney. If the legal proceeding is instituted 
in the United States, the SJA or legal adviser, unless instructed 
otherwise by HQDA, will notify the appropriate U.S. Attorney and render 
assistance as required.



Sec. 516.18  Litigation alleging individual liability.

    See subpart D for procedures to follow when DA personnel, as a 
result of performance of official duties, are either sued in their 
individual capacities or face criminal charges.



Sec. 516.19  Injunctive relief.

    (a) General. Plaintiffs may attempt to force government action or 
restraint in important operational matters or pending personnel actions 
through motions for temporary restraining orders (TRO) or preliminary 
injunctions (PI). Because these actions can quickly impede military 
functions, immediate and decisive action must be taken.
    (b) Notification to HQDA and U.S. Attorney. The SJA or legal adviser 
will immediately notify Litigation Division or other appropriate office 
at HQDA when a motion for TRO or PI has been, or is about to be, filed. 
The SJA or legal adviser will also notify the responsible U.S. Attorney.

[[Page 87]]

    (c) Actions by SJA or legal adviser. The SJA or legal adviser will 
assist the DOJ or DA attorney responsible for the litigation. 
Installation attorneys or support personnel should begin accumulating 
relevant documentary evidence and identifying witnesses. If requested, 
installation attorneys will prepare a legal memorandum concerning the 
motion, giving particular attention to the following issues relevant to 
a court granting injunctive relief:
    (1) Plaintiff's likelihood of success on the merits.
    (2) Whether plaintiff will be irreparably harmed if injunctive 
relief is not granted.
    (3) Harm to defendant and other parties if injunctive relief is 
granted.
    (4) The public interest.



Sec. 516.20  Habeas Corpus.

    (a) General. A soldier may file a writ of habeas corpus to challenge 
his continued custody (usually in a post court-martial situation) or 
retention in the Army. As is the case with injunctive relief in the 
preceding paragraph, installation SJAs and legal advisers must take 
immediate action.
    (b) Notification to Litigation Division and U.S. Attorney. The SJA 
or legal adviser will notify Litigation Division and the responsible 
U.S. Attorney's Office immediately upon learning that a petition for 
writ of habeas corpus has been filed. All relevant documentary evidence 
supporting the challenged action should be assembled immediately.
    (c) Procedures in habeas corpus. Upon the filing of a petition for a 
writ of habeas corpus, the court will dismiss the petition, issue the 
writ, or order the respondent to show cause why it should not be 
granted. If a writ or order to show cause is issued, the SJA or legal 
adviser should be prepared to assist the responsible Litigation Division 
or DOJ attorney in preparing a return and answer. If so directed, the 
SJA will also prepare a memorandum of points and authorities to 
accompany the return and answer. The government's response should cover 
the following: whether the Army has custody of petitioner; whether 
respondent and petitioner are within the judicial district; and, whether 
appellate or administrative remedies have been exhausted.
    (d) Writs or orders issued by state courts. No state court, after 
being judicially informed that a petitioner is in custody under the 
authority of the United States, should interfere with that custody or 
require that petitioner be brought before the state court. A deserter, 
apprehended by any civil officer having authority to apprehend offenders 
under the laws of the United States or of any state, district, 
territory, or possession of the United States, is in custody by 
authority of the United States. If a writ of habeas corpus is issued by 
a state court, the SJA or legal adviser will seek guidance from 
Litigation Division.
    (e) Foreign court orders. A foreign court should not inquire into 
the legality of restraint of a person held by U.S. military authority. 
If a foreign court issues any process in the nature of a writ of habeas 
corpus, the SJA or legal adviser will immediately report the matter to 
the appropriate U.S. forces commander and to Litigation Division.



Sec. 516.21  Litigation against government contractors.

    (a) General. A contract might require that the government reimburse 
a contractor (or subcontractor) for adverse judgments or litigation 
expenses. Unless a contractor or subcontractor facing a lawsuit requests 
representation by DOJ, the Army presumes the contractor will obtain 
private counsel to defend the case. If the contract so allows, however, 
the contractor may request and HQDA may recommend that DOJ represent the 
contractor if it is in the best interests of the United States.
    (b) Actions by SJA or legal adviser. If a contractor or 
subcontractor faces litigation and the underlying contract with the 
government requires reimbursement for adverse judgments or costs of the 
litigation, the SJA or legal adviser, through the contracting officer, 
should determine if the contractor desires representation by DOJ. If so, 
the contractor or authorized agent will sign a request for 
representation. (See figure D-3, appendix G, of this part.) The SJA or 
legal adviser will determine whether, in his opinion, representation by 
DOJ should be granted. He will prepare a memorandum to support

[[Page 88]]

his recommendation, especially concerning any issue regarding the 
government's obligation to reimburse the contractor under the contract. 
The SJA or legal adviser will forward his memorandum, along with the 
contractor's request, to Litigation Division.
    (c) Actions by Litigation Division. The Chief, Litigation Division, 
will evaluate the submission and decide if it is in the Army's best 
interest that the request be granted. He will prepare a memorandum 
supporting his decision and send the packet to DOJ. The Chief's decision 
constitutes the final DA position on the matter. If DOJ grants the 
contractor's request, the Chief, Litigation Division, will ensure that 
the contractor is notified through the SJA or legal adviser and the 
contracting officer.
    (d) Private Counsel. A contractor represented by DOJ may ask that 
private counsel assist the DOJ attorney in the litigation. The DOJ 
attorney will remain in control of the litigation, and the fees for 
private counsel will not be reimbursable except under unusual 
circumstances. The contractor must seek both DOJ and DA approval to 
employ private counsel when DOJ representation has been granted. Even if 
DOJ and DA grant authority to employ private counsel, the contracting 
officer will determine whether a contractor will be reimbursed under the 
contract for private counsel.
    (e) Settlement. The contractor, unless the contract specifies 
otherwise, will ultimately decide whether to compromise a suit. 
Reimbursement under the contract is determined by the contracting 
officer, with the advice of his attorney.



Sec. 516.22  Miscellaneous reporting requirements.

    SJAs or legal advisers will comply with the directives cited below 
concerning actual or prospective litigation involving the following 
types of cases:
    (a) Taxation.
    (1) Contractor transactions. (FAR and DFARS, 48 CFR parts 29 and 
229).
    (2) Army and Air Force Exchange Service (AAFES) activities. (AR 60-
20).
    (3) Purchase or sale of alcoholic beverages. (AR 215-2).
    (4) Nonappropriated fund and related activities. (AR 215-1).
    (b) Tort and contract claims, insurance and litigation involving 
nonappropriated fund activities. (AR 215-1).
    (c) Annexation of Army lands. (AR 405-25).
    (d) Communications, transportation, and utility services 
administrative proceedings. Any contracting officer or other Army 
official responsible for the acquisition of communications, 
transportation, utilities (gas, electric, water and sewer), or military 
mail services, who becomes aware of any action or proceeding of interest 
to the Army, will promptly refer the matter to the SJA or legal adviser, 
who will take the actions prescribed in Sec. 516.17 of this part. 
Examples of actions requiring referral follow: new or amended rates, 
regulations, or conditions of service; applications for authority to 
discontinue or initiate service; changes in electromagnetic patterns 
causing adverse communications interference; or, zoning proposals 
affecting historic or aesthetic preservation. In addition, the SJA or 
legal adviser will transmit the following to Regulatory Law Office:
    (1) The names and addresses of any parties intervening and the 
substance of their positions.
    (2) Names of government users affected by any change.
    (3) Copy of any proposed rates, rules, or regulations.
    (4) A recommendation whether the Army should intervene in the action 
or proceeding. If intervention is recommended, provide a memorandum to 
support the recommendation.
    (e) Legal proceedings overseas. Foreign communications, 
transportation, and utility service proceedings need not be reported. In 
other legal proceedings instituted in a foreign country, the SJA or 
legal adviser will take the actions prescribed in Sec. 516.17 of this 
part.
    (f) Maritime claims. Admiralty and maritime claims within the 
purview of Chapter 8, AR 27-20, which have been investigated and 
processed under AR 55-19 or other applicable regulations, will be 
referred to USARCS.

[[Page 89]]

    (g) Army and Air Force Exchange Service litigation. The SJA or legal 
adviser will send a copy of all documents relating to litigation against 
AAFES to General Counsel, AAFES, P.O. Box 660202, Dallas, TX 75266-0202.
    (h) Bankruptcy. Reports of bankruptcy or insolvency proceedings 
shall be made in accordance with this regulation and AR 37-103.



Sec. 516.23  Litigation reports.

    The SJA or legal adviser will prepare a litigation report when 
directed by HQDA. The report will contain the following sections: 
Statement of Facts; Setoff or Counterclaim; Responses to Pleadings; 
Memorandum of Law; Witness List; and, Exhibits.
    (a) Statement of Facts. Include a complete statement of the facts 
upon which the action and any defense thereto are based. Where possible, 
support facts by reference to documents or witness statements. Include 
details of previous administrative actions, such as the filing and 
results of an administrative claim. If the action is predicated on the 
Federal Tort Claims Act, include a description of the plaintiff's 
relationship to the United States, its instrumentalities, or its 
contractors. Also include a statement whether an insurance company or 
other third party has an interest in the plaintiff's claim by 
subrogation or otherwise and whether there are additional claims related 
to the same incident.
    (b) Setoff or Counterclaim. Discuss whether setoff or counterclaim 
exists. If so, highlight the supportive facts.
    (c) Responses to Pleadings. Prepare a draft answer or other 
appropriate response to the pleadings. (See figure C-1, to this part). 
Discuss whether allegations of fact are well-founded. Refer to evidence 
that refutes factual allegations.
    (d) Memorandum of Law. Include a brief statement of the applicable 
law with citations to legal authority. Discussions of local law, if 
applicable, should cover relevant issues such as measure of damages, 
scope of employment, effect of contributory negligence, or limitations 
upon death and survival actions. Do not unduly delay submission of a 
litigation report to prepare a comprehensive memorandum of law.
    (e) Potential witness information. List each person having 
information relevant to the case and provide an office address and 
telephone number. If there is no objection, provide the individual's 
social security account number, home address, and telephone number. This 
is ``core information'' required by Executive Order No. 12778 (Civil 
Justice Reform). Finally, summarize the information or potential 
testimony that each person listed could provide.
    (f) Exhibits.
    (1) Attach a copy of all relevant documents. This is ``core 
information'' required by Executive Order No. 12778 (Civil Justice 
Reform). Unless otherwise directed by HQDA, each exhibit should be 
tabbed and internally paginated. References to exhibits in the 
litigation report should be to page numbers of particular exhibits.
    (2) Copies of relevant reports of claims officers, investigating 
officers, boards or similar data should be attached, although such 
reports will not obviate the requirement for preparation of a complete 
litigation report.
    (3) Prepare an index of tabs and exhibits.
    (4) Where a relevant document has been released pursuant to a FOIA 
request, provide a copy of the response, or otherwise identify the 
requestor and the records released.
    (g) Distribution and number of copies. Unless HQDA directs 
otherwise, SJAs or legal advisers will mail (first class) an original 
and one copy of the litigation report to the responsible HQDA office 
(See Sec. 516.15 of this part) and one copy to the U.S. Attorney's 
Office handling the case. If possible, record the litigation report onto 
a magnetic diskette, using either WordPerfect, Enable, or ACSII, and 
send it to Litigation Division.



Sec. 516.24  Preservation of evidence.

    Because documents needed for litigation or administrative 
proceedings are subject to routine destruction, the SJA or legal adviser 
will ensure that all relevant documents are preserved.

[[Page 90]]



Sec. 516.25  DA Form 4.

    (a) General. The DA Form 4 (See figure C-2, appendix G, of this 
part) is used to authenticate Army records or documents. Documents 
attached to a properly prepared and sealed DA Form 4 are self-
authenticating. (See Fed. R. Evid. 902).
    (b) Preparation at the installation level. A DA Form 4 need not be 
prepared until the trial attorney presenting the government's case 
identifies documents maintained at the installation level which he will 
need at trial. Once documents are identified, the custodian of the 
documents will execute his portion of the DA Form 4. (See figure C-2, 
appendix G, of this part). The custodian certifies that the documents 
attached to the DA Form 4 are true copies of official documents. 
Documents attached to each form should be generally identified; each 
document need not be mentioned specifically. Only the upper portion of 
the form should be executed at the local level.
    (c) Actions at HQDA. Upon receipt of the DA Form 4 with documents 
attached thereto, HQDA will affix a ribbon and seal and deliver it to 
the Office of the Administrative Assistant to the Secretary of the Army. 
That office will place the official Army seal on the packet.



Sec. 516.26  Unsworn declarations under penalty of perjury.

    (a) General. Under the provisions of 28 U.S.C. l746, whenever any 
matter is required or permitted to be established or proven by a sworn 
statement, oath or affidavit, such matter may also be established or 
proven by an unsworn written declaration under penalty of perjury. 
Because such declaration does not require a notary or other official to 
administer oaths, individuals preparing statements for use in litigation 
should consider using this format. (See figure C-3, appendix G, of this 
part).
    (b) When executed within the United States. Place the following at 
the end of the witness statement:

    I declare under penalty of perjury that the foregoing is true and 
correct. (28 U.S.C. 1746).
Executed on
 _______________________________________________________________________
(Date)        (Signature)

    (c) When executed outside the United States. Place the following at 
the end of the witness statement:
    I declare under penalty of perjury under the laws of the United 
States of America that the foregoing is true and correct. (28 U.S.C. 
1746).
Executed on
 _______________________________________________________________________
(Date)        (Signature)



                     Subpart D--Individual Liability



Sec. 516.27  Scope.

    This subpart guidance when DA personnel, as a result of the 
performance of their official duties, are either sued in their personal 
capacity, or are charged in a criminal proceeding. Examples of civil 
actions alleging individual liability include the following: a medical 
malpractice lawsuit against health care providers; suits resulting from 
motor vehicle accidents; constitutional torts; or, common law torts such 
as assault, libel, or intentional infliction of emotional distress. 
Likewise, state or Federal criminal charges can arise from the 
performance of official duties, including environmental crimes or motor 
vehicle accidents.



Sec. 516.28  Policy.

    (a) General. Commanders, supervisors, and SJAs or legal advisers 
will give highest priority to compliance with the requirements of this 
chapter with regard to current or former DA personnel who face criminal 
charges or civil litigation in their individual capacity as a result of 
performance of their official duties.
    (b) DOJ policy on representation. If in the best interest of the 
United States, upon request of the individual concerned, and upon 
certification by his agency that he was acting within the scope of his 
employment, DOJ may represent present and former DA personnel sued 
individually as a result of actions taken within the scope of their 
employment. Representation can be declined for a variety of reasons, 
including but not limited to the following: the employee was not acting 
within the scope of his office; there is a conflict of interest; or, 
actions were not taken in a good faith effort to conform to law.

[[Page 91]]



Sec. 516.29  Federal statutes and regulations.

    (a) Federal Tort Claims Act (FTCA). (28 U.S.C. 1346(b), 2671-2680). 
A waiver of sovereign immunity which, with certain exceptions, makes the 
United States liable for tort claims in the same manner as a private 
individual.
    (b) Federal Employees Liability Reform and Tort Compensation Act of 
l988 (FELRTCA or the Westfall Act, Pub. L. No. 100-694, 102 Stat. 4563 
(1988) (codified at and amending 28 U.S.C. 2671, 2674, 2679). FELRTCA, 
by amending the Federal Tort Claims Act, makes the FTCA the exclusive 
remedy for common law tort claims arising from actions taken by Federal 
employees acting within the scope of employment. The law was passed to 
eliminate problems caused by Westfall v. Erwin, 484 U.S. 292 (1988).
    (c) 10 U.S.C. 1089 (Defense of certain suits arising out of medical 
malpractice). This provision, commonly referred to as the Gonzales Act, 
makes the FTCA the exclusive remedy for suits alleging medical 
malpractice against a military health care provider.
    (d) 28 CFR 50.15 (Representation of Federal officials and employees 
by Department of Justice attorneys [. . .] in civil, criminal, and 
congressional proceedings in which Federal employees are sued, 
subpoenaed, or charged in their individual capacities). These DOJ 
regulations set out the policy and procedures for requesting 
representation in individual liability cases. See also 28 CFR part 15 
(Defense of Certain Suits Against Federal Employees, etc.).
    (e) 28 CFR 50.16 (Representation of Federal employees by private 
counsel at Federal expense).



Sec. 516.30  Procedures for obtaining certification and DOJ representation.

    (a) SJA or legal adviser procedures. When an SJA or legal adviser 
learns of a criminal charge or of a lawsuit alleging individual 
liability against DA personnel as a result of performance of official 
duties, he will take the following actions:
    (1) Immediately notify Litigation Division and the appropriate U.S. 
Attorney and FAX or express deliver copies of process and pleadings to 
each office. Where time for response is limited, request that the U.S. 
Attorney either petition the court for an extension of time, or provide 
temporary counsel and representation pending formal approval.
    (2) Investigate whether the employee was acting within the scope of 
his office or employment. Obtain, if possible, statements from the 
defendant, supervisors, and witnesses.
    (3) Advise the individual defendant of the rights and conditions set 
out in 28 CFR 50.15, which include the following:
    (i) His right to request representation by a DOJ attorney and, in 
appropriate cases, certification that he was acting within the scope of 
employment. (See 28 U.S.C. 2679; 28 CFR 50.15).
    (ii) The right to request private counsel at government expense, 
subject to the availability of funds. (See 28 CFR 50.16).
    (iii) That the United States is not obligated to pay or indemnify 
defendant for any judgment rendered against him in his individual 
capacity.
    (4) If the defendant desires certification or DOJ representation, 
have him sign a request. (See figure D-1, appendix G, of this part). 
Obtain a signed scope of employment statement from the defendant's 
supervisor. (Figure D-2, appendix G, of this part).
    (5) Prepare a report with, at a minimum, the following information: 
facts surrounding the incident for which defendant is being sued and 
those relating to scope of employment; the SJA's or legal adviser's 
conclusions concerning scope of employment; and, a recommendation 
whether certification by the Attorney General or representation by a DOJ 
attorney should be granted.
    (6) In cases involving National Guard personnel, address also the 
following: whether defendant was acting in a state (Title 32 U.S.C.) or 
Federal (Title 10 U.S.C.) capacity during relevant periods (include 
orders); if defendant was acting under state authority, is it 
nevertheless in the interest of the United States to represent the 
individual; any impact on policies or practices of DA, the National 
Guard Bureau, or DOD; whether the relief requested can be granted only 
by a Federal officer or agency; and, whether Federal law or

[[Page 92]]

regulation required actions by state officials.
    (7) Send the report, request for representation, and scope of 
employment statements to Chief, Litigation Division.
    (b) Chief, Litigation Division, procedures. The Chief, Litigation 
Division, will review the report and evidence regarding representation 
and scope of employment and will determine whether certification and 
representation are appropriate. He will send his recommendation to the 
appropriate U.S. Attorney or office within DOJ. The Chief, Litigation 
Division, will notify the defendant of DOJ's decision.



Sec. 516.31  Private counsel at government expense.

    (a) General. DA personnel, sued in their individual capacity or 
facing criminal charges as a result of performance of official duties, 
have no right to employ a private sector counsel at government expense 
or to expect reimbursement for the same. For proceedings in the United 
States, a request for employment of counsel at government expense may be 
approved by DOJ, contingent among other things upon availability of 
funds and a determination that employment of private counsel at 
government expense is in the best interests of the United States. (See 
28 CFR 50.16). Special rules apply in overseas areas. (See paragraph (e) 
of this section).
    (b) Individual request procedures. The individual will prepare a 
request that private counsel be employed for him at government expense. 
The request must also contain the following statement: ``I understand 
that the United States is not required to employ private counsel on my 
behalf, and that I may be responsible for expenses incurred prior to 
proper authorization by the Department of the Army or the Department of 
Justice.''
    (c) Supervisory and legal adviser procedures. The request will be 
submitted through the individual's supervisors, who will make a 
recommendation and forward the packet to the local SJA or legal adviser. 
The SJA or legal adviser will prepare his own recommendation and forward 
the matter to Litigation Division.
    (d) Chief, Litigation Division, procedures. If the Chief, Litigation 
Division, determines that the request for private counsel is 
meritorious, he will prepare an appropriate recommendation and forward 
the packet to Civil Division, DOJ, for final approval.
    (e) Special actions in foreign countries. Employment of private 
counsel in foreign proceedings is governed by AR 27-50 (Status of Forces 
Policies, Procedures, and Information). Under the authority of 10 U.S.C. 
1037, soldiers, as well as employees or those accompanying the armed 
forces overseas, may be granted individual counsel in civil and criminal 
proceedings, under the criteria of AR 27-50.



Sec. 516.32  Requests for indemnification.

    (a) Policy. An individual liable for a judgment rendered against him 
in his individual capacity has no right to reimbursement from DA. DA 
will consider, however, a request for indemnification from DA personnel 
where conduct within the scope of official duties has resulted in 
personal liability and indemnification is in the best interests of the 
United States. Indemnification is strictly contingent upon an 
appropriation to pay the judgment, as well as availability of such 
funds.
    (b) Individual request procedures. An individual against whom an 
adverse judgment has been rendered may request indemnification. The 
request must include, at a minimum, the following: how the employee was 
acting within the scope of his employment; whether the requestor has 
insurance or any other source of indemnification; and, how reimbursement 
is in the best interests of the United States. The request must also 
contain the following statements: ``I understand that acceptance of this 
request for indemnification for processing by DA does not constitute an 
acceptance of any obligation to make such a payment. I also understand 
that payment is contingent on availability of funds and that it will 
only be made if such is determined to be in the best interests of the 
United States.'' The individual should attach a copy of relevant 
documents, for example, court's opinion, judgment, and other allied 
papers.

[[Page 93]]

    (c) Supervisory and SJA procedures. The request for indemnification 
will be submitted through supervisory channels to the local SJA or legal 
adviser. Each supervisor will make a recommendation on the propriety of 
reimbursement.
    (d) Chief, Litigation Division, procedures. Requests for 
indemnification will be forwarded to Chief, Litigation Division. The 
Chief, Litigation Division, will examine the submission and, after 
consultation with DOJ or other agencies, forward the packet with his 
recommendation to the Army General Counsel. The General Counsel will 
obtain a final decision by the Secretary of the Army or his designee on 
the matter. There is no administrative appeal of the Secretary's (or his 
designee's) decision.



Subpart E--Legal Proceedings Initiated by the United States Medical Care 
                           and Property Claims



Sec. 516.33  General.

    (a) Authorities.
    (1) Federal Medical Care Recovery Act (42 U.S.C. 2651). The act 
provides for the recovery of medical care expenses incurred because of a 
tortfeasor's actions.
    (2) Federal Claims Collection Act (31 U.S.C. 3711). The act provides 
for the collection of claims for money or property arising from the 
activities of Federal agencies.
    (3) Third-party Collection Program (10 U.S.C. 1095). The statute 
provides for collection of reasonable costs of health-care services, 
provided in facilities of the uniformed services to covered 
beneficiaries, from private insurers or third-party payers. In 
accordance with DOD Instruction 6010.15, ``Third Party Collection (TPC) 
Program,'' 7 March 1991, the authority to settle or waive a DOD claim 
under the act is delegated to TJAG or to his designee.
    (4) Executive Order No. 12778, (56 FR 55195; 3 CFR, 1991 Comp. p. 
359), Civil Justice Reform. This order establishes several requirements 
on Federal agencies involved in litigation or contemplating filing an 
action on behalf of the United States.
    (5) AR 27-20, Claims. Chapter l4 (Affirmative Claims) contains 
comprehensive guidance for Recovery Judge Advocates (RJAs) in the 
administrative determination, assertion, collection, settlement, and 
waiver of claims in favor of the U.S. for property damage and for 
medical care claims.
    (b) Duties and Procedures. In accordance with Chapter 14, AR 27-20, 
Commander, USARCS, has supervisory responsibility over the 
administrative processing of property and medical care claims by RJAs. 
The Commander, U.S. Army Health Services Command (HSC), has supervisory 
responsibility over the Third Party Collection Program (TPCP). The HSC 
TPCP Implementation Plan effects DOD Instruction 6010.15 and establishes 
procedures for processing TPC claims. Litigation Division, in 
conjunction with DOJ and U.S. Attorneys, is responsible for pursuing, 
through litigation, claims not resolved administratively. DOJ is 
ultimately responsible for initiating litigation for the United States. 
(28 U.S.C. 515).
    (c) Assertion of claims on behalf of the United States by private 
attorneys. The Army incurs potentially recoverable expenses when it 
provides medical care to soldiers or dependents injured by tortfeasors 
(for example, a soldier is hospitalized after an automobile accident). 
When injured personnel employ a private attorney to sue the tortfeasor, 
it may be in the Government's best interests to enter into an agreement 
with the private attorney to include the Army's medical care claim.
    (d) Statute of limitations. There is a three year statute of 
limitations for actions in favor of the U.S. for money damages founded 
upon tort. (28 U.S.C. 2415(b)). Limitations periods can vary, however, 
depending upon the theory of liability and the jurisdiction involved. 
RJAs must be alert to the applicable period of limitations. A case 
referred for litigation should arrive at Litigation Division at least 6 
months before the expiration of the limitations period.
    (e) Reporting of recoveries. Amounts recovered through litigation 
will be reported to USARCS by Tort Branch, Litigation Division, or, 
where referred

[[Page 94]]

directly to a U.S. Attorney or the Nationwide Central Intake Facility 
(NCIF), by the responsible RJA.



Sec. 516.34  Referral of medical care and property claims for litigation.

    (a) Criteria for referral. The RJA will forward the claims file and 
a litigation report (See Sec. 516.35 of this part) through USARCS to 
Litigation Division when the claim has not been resolved 
administratively and any of the following conditions exist:
    (1) The claim exceeds $5,000;
    (2) It involves collection from the injured party or his attorney;
    (3) The claim raises an important question of policy; or,
    (4) There is potential for a significant precedent.
    (b) Alternative methods. When none of the conditions cited in the 
preceding subparagraph are present, the RJA may refer the claim directly 
to the U.S. Attorney for the district in which the prospective defendant 
resides. Similar property claims may be referred through USARCS to DOJ's 
Nationwide Central Intake Facility (NCIF) rather than directly to the 
U.S. Attorney. Notice of all such referrals shall be provided through 
USARCS to Tort Branch, Litigation Division. The RJA should be ready to 
provide support to the U.S. Attorney if requested.
    (c) Closing Files. A file referred directly to the U.S. Attorney 
will be closed if the U.S. Attorney determines further action is 
unwarranted. If the RJA disagrees, the file should be forwarded with the 
RJA's recommendation through USARCS to Litigation Division.



Sec. 516.35  Preparation of claims for litigation.

    (a) General. In preparing a referral for litigation the RJA will 
ensure the file contains at least the following:
    (1) A litigation report (See Sec. 516.23 of this part) that 
demonstrates a factual basis for the claim and a theory of recovery 
under applicable state law. (See Fed. R. Civ. P. 11)
    (2) Copies of all medical records and bills reflecting the 
reasonable value of the medical care furnished to the injured party, 
including DA Form 2631-R (Medical Care-Third Party Liability 
Notification), and DA Form 3154 (MSA Invoice and Receipt). These 
documents should be authenticated as necessary on a DA Form 4.
    (3) Copies of all documents necessary to establish the value of lost 
or damaged property.
    (b) Transmittal letter. The letter of transmittal referring the 
claim for litigation should briefly summarize the facts giving rise to 
the claim and the collection actions previously taken by the Army and 
the injured party.

                        Assertion of Other Claims



Sec. 516.36  Referral to Litigation Division.

    (a) General. The majority of cases filed on behalf of the United 
States will fall under this subpart E. All other civil cases which 
cannot be resolved administratively or by direct referral to DOJ will be 
forwarded through channels to Litigation Division with a litigation 
report. (See Sec. 516.23 of this part).
    (b) Government contractors. It may be in the Government's best 
interest to authorize a Government contractor, whose contract provides 
for the reimbursement of necessary legal expenses, to employ private 
counsel to initiate legal proceedings against a third party. To obtain 
authorization to employ private counsel in such instances the contractor 
should follow the procedures in Sec. 516.21(c) of this part.



Sec. 516.37  Proceedings to repossess Government real property or quarters or to collect delinquent rent.

    (a) General. U.S. Attorneys are authorized to accept a Federal 
agency's request for the following purposes: to initiate an action to 
recover possession of real property from tenants, trespassers, and 
others; to enjoin trespasses on Federal property; and, to collect 
delinquent rentals or damages for use and occupancy of real property for 
amounts less than $200,000.
    (b) Procedures. When eviction or an action to collect delinquent 
rent is necessary, the SJA or legal adviser will notify General 
Litigation Branch, Litigation Division, of the situation. If approved by 
Litigation Division, the SJA

[[Page 95]]

or legal adviser may ask the U.S. Attorney to file suit. A copy of the 
complaint will be sent to Litigation Division. DOJ can take action to 
evict the occupants for violation of the terms of occupancy and collect 
delinquent rent or other charges. Once the matter has been referred to 
the U.S. Attorney, payments for rent should be sent to the U.S. 
Attorney. (See AR 210-50, chap 2.)



                   Subpart F--Environmental Litigation



Sec. 516.38  Scope.

    This subpart contains guidance, policies, and procedures applicable 
to all environmental and natural resources civil litigation and 
administrative proceedings involving missions and functions of DA, its 
major and subordinate commands, all installations presently or 
previously managed by DA, and all other sites or issues in which DA has 
a substantial interest. In this chapter, ``litigation'' includes civil 
administrative proceedings.



Sec. 516.39  Duties and procedures.

    (a) Water rights. Environmental Law Division will conduct direct 
liaison with DOJ and will represent DA in State and Federal litigation 
relating to availability and allocation of surface and ground water and 
the establishment and protection of water rights for Army military 
installations and activities. This will include litigation in State 
general adjudications of water rights under the McCarran Amendment, 43 
U.S.C. 666, for Army military installations and activities. Such 
litigation relating solely to COE civil works projects or activities 
will be handled by attorneys under the technical supervision of the 
Chief Counsel, COE. With respect to any general adjudication which could 
affect the civil works or real property functions of COE, The Judge 
Advocate General, acting through the Chief, Environmental Law Division, 
and Chief Counsel, COE, will jointly determine which office should 
maintain primary direct liaison with DOJ and will scope and execute 
appropriate coordination with each other and with the General Counsel 
with respect to that litigation.
    (b) Navigable waters. The Chief Counsel, COE, will conduct direct 
liaison with DOJ and represent DA in civil litigation involving 
activities in or across navigable waters of the United States or other 
activities regulated under the Rivers and Harbors Act of 1899, 33 U.S.C. 
401 et seq.
    (c) Waters of the United States. The Chief Counsel, COE, will 
conduct direct liaison with DOJ and represent DA in civil litigation 
involving The Clean Water Act section 404 (See 33 U.S.C. 1344) permit 
authority of COE over the discharge of dredged or fill material into 
waters of the United States.
    (d) Enforcement. Environmental Law Division will conduct direct 
liaison with DOJ and represent DA in all civil litigation involving 
citizen or State enforcement of applicable State, Federal and local 
requirements respecting the control or abatement of pollution and 
involving the management of hazardous wastes, with respect to the 
missions and functions of, and Federal facilities owned or controlled 
by, DA, except for civil works facilities.
    (e) Environmental response.
    (1) Except as provided in (a)(2) of this section. Environmental Law 
Division will conduct direct liaison with DOJ and represent DA in all 
civil litigation seeking declaratory or injunctive relief or involving 
claims of Army liability for the costs of response at Federal facilities 
currently owned or controlled by DA and at other sites where the Army is 
a potentially responsible party.
    (2) The Chief Counsel, COE, will conduct direct liaison with DOJ and 
represent DA in all civil litigation seeking declaratory or injunctive 
relief or involving claims of Army liability for the costs of response 
at civil works facilities, at former defense sites or at other sites 
where the Army is a potentially responsible party due to the response 
actions of the COE or its contractors.
    (f) Fish and Wildlife, and Plants. Environmental Law Division will 
conduct direct liaison with DOJ and represent DA in civil litigation 
involving citizen or State enforcement of applicable State, Federal, and 
local laws governing conservation of plant, fish, and wildlife resources 
at Federal facilities

[[Page 96]]

owned or controlled by DA, except that such litigation relating solely 
to the real estate, civil works, navigation and Clean Water Act section 
404 (See 33 U.S.C. 1344) permit functions and activities of the COE will 
be handled by attorneys under the technical supervision of the Chief 
Counsel, COE.
    (g) Toxic torts.
    (1) Except as otherwise provided in this part, Environmental Law 
Division will conduct direct liaison with DOJ and represent DA in all 
civil litigation involving claims of tort liability for exposure to 
environmental contamination emanating from Federal facilities owned or 
controlled by DA.
    (2) Litigation Division will conduct liaison with DOJ and represent 
DA in civil litigation involving claims of tort liability for singular 
and discrete incidents of exposure to environmental contamination 
emanating from any Federal facility owned or controlled by DA.
    (3) The Chief Counsel, COE, will conduct direct liaison with DOJ and 
will represent DA in civil litigation involving claims of tort liability 
for exposure to environmental contamination (including singular and 
discrete incidents) emanating from any civil works activities under the 
jurisdiction of the Secretary of the Army.
    (4) The Chief Counsel, COE, and Chief, Environmental Law Division, 
will confer and jointly determine which office will conduct direct 
liaison with DOJ and represent DA in civil litigation involving all 
other claims of toxic tort liability.



   Subpart G--Release of Information and Appearance of Witnesses Scope



Sec. 516.40  General.

    (a) Introduction. This subpart implements DOD Directive 5405.2 (See 
appendix C to this part and 32 CFR part 97). It governs the release of 
official information and the appearance of present and former DA 
personnel as witnesses in response to requests for interviews, notices 
of depositions, subpoenas, and other requests or orders related to 
judicial or quasi-judicial proceedings. Requests for records, if not in 
the nature of legal process, should be processed under AR 25-55 (The 
Department of the Army Freedom of Information Act Program) or AR 340-21 
(The Army Privacy Program). This subpart pertains to any request for 
witnesses, documents, or information for all types of litigation, 
including requests by private litigants, requests by State or U.S. 
attorneys, requests by foreign officials or tribunals, subpoenas for 
records or testimony, notices of depositions, interview requests, civil 
cases, criminal proceedings, private litigation, or litigation in which 
the United States has an interest.
    (b) Definitions. (See appendix F to this part).



Sec. 516.41  Policy.

    (a) General Rule. Except as authorized by this subpart, present or 
former DA personnel will not disclose official information (See appendix 
F--Glossary) in response to subpoenas, court orders, or requests.
    (b) Exception. Present or former DA personnel may disclose official 
information if they obtain the written approval of the appropriate SJA, 
legal adviser, or Litigation Division.
    (c) Referral to deciding official. If present or former DA personnel 
receive a subpoena, court order, request for attendance at a judicial or 
quasi-judicial proceeding, or request for an interview related to actual 
or potential litigation, and it appears the subpoena, order, or request 
seeks disclosures described in a above, the individual should 
immediately advise the appropriate SJA or legal adviser. If the SJA or 
legal adviser cannot informally satisfy the subpoena, order, or request 
in accordance with Secs. 516.43 through 516.50 of this subpart, he 
should consult with Litigation Division.
    (d) Requesters' responsibilities. Individuals seeking official 
information must submit, at least 14 days before the desired date of 
production, a specific written request setting forth the nature and 
relevance of the official information sought. (Requesters can be 
referred to this subpart G). Subject to Sec. 516.47(a), present and 
former DA personnel may only produce, disclose, release, comment upon, 
or testify concerning those matters specified in writing and properly 
approved by the SJA, legal adviser, or Litigation Division.

[[Page 97]]

(See United States ex. rel. Touhy v. Ragen, 340 U.S. 462 (1951)).
    (e) Litigation in which the United States has an interest. If a 
subpoena, order, or request relates to litigation in which the United 
States has an interest and for which litigation responsibility has not 
been delegated, the SJA or legal adviser will coordinate with Litigation 
Division under Sec. 516.42.
    (f) Motions to stay or quash subpoenas. A subpoena should never be 
ignored, and an SJA or legal adviser should seek assistance from 
Litigation Division or the U.S. Attorney's office whenever necessary. If 
a response to a subpoena or order is required before a release 
determination can be made or before Litigation Division or the U.S. 
Attorney can be contacted, the SJA or legal adviser will do the 
following:
    (1) Furnish the court or tribunal a copy of this regulation (32 CFR 
part 516, subpart G) and applicable case law (See United States ex. rel. 
Touhy v. Ragen, 340 U.S. 462 (1951));
    (2) Inform the court or tribunal that the requesting individual has 
not complied with this Chapter, as set out in 32 CFR 97 & 516, or that 
the subpoena or order is being reviewed;
    (3) Seek to stay the subpoena or order pending the requestor's 
compliance with this chapter or final determination by Litigation 
Division; and,
    (4) If the court or other tribunal declines to quash or stay the 
subpoena or order, inform Litigation Division immediately so a decision 
can be made whether to challenge the subpoena or order. If Litigation 
Division decides not to challenge the subpoena or order, the affected 
personnel will comply with the subpoena or order. If Litigation Division 
decides to challenge the subpoena or order, it will direct the affected 
personnel to respectfully decline to comply with the subpoena or order. 
(See United States ex. rel. Touhy v. Ragen, 340 U.S. 462 (1951)).
    (g) Classified or sensitive information. Only Litigation Division 
may authorize the release of official information or appearance of DA 
personnel as witnesses in litigation involving terrorism, espionage, 
nuclear weapons, or intelligence sources and methods.
    (h) Requests for Inspector General records or testimony. IG records, 
and information obtained through performance of IG duties, are official 
information under the exclusive control of the Secretary of the Army. 
(See AR 20-l, Chapter 3.) IG records frequently contain sensitive 
official information that may be classified or obtained under guarantees 
of confidentiality. When justification exists, DA attorneys will seek 
court protection from disclosure of IG records and information. No DA 
personnel will release IG records or disclose information obtained 
through performance of IG duties without the approval of The Secretary 
of the Army, The Inspector General, TIG Legal Advisor, or Chief, 
Litigation Division. When IG personnel receive a subpoena, court order, 
request for attendance at a judicial or quasi-judicial proceeding, or a 
request for an interview which the IG reasonably believes is related to 
actual or potential litigation concerning IG records or related 
information, they should immediately notify the Inspector General Legal 
Adviser or the Chief, Litigation Division. IG personnel will follow the 
guidance of this subpart concerning actions to be taken regarding 
disclosure and testimony.



Sec. 516.42  Reference to HQDA.

    (a) General. If the SJA or legal adviser is unable to resolve the 
matter, it will be referred for approval or action by Litigation 
Division under this chapter, by the most expeditious means, to General 
Litigation Branch, Litigation Division, with the following exceptions:
    (1) Those involving a case assigned to another branch of Litigation 
Division will be submitted to that branch (appendix B to this part).
    (2) Those involving affirmative litigation (for example, medical 
care recovery or Army property damage or loss cases) under subpart E 
will be submitted to Tort Branch.
    (3) Those involving patents, copyrights, privately developed 
technical information, or trademarks will be submitted to Intellectual 
Property Law Division.
    (4) Those involving taxation will be submitted to Contract Law 
Division.

[[Page 98]]

    (5) Those involving communication, transportation, or utility 
service proceedings will be submitted to the Regulatory Law Office.
    (6) Those involving environmental matters will be submitted to the 
Environmental Law Division.
    (7) Those involving contract appeals cases before the ASBCA will be 
submitted to the Contract Appeals Division.
    (8) Those involving procurement fraud, including Qui Tam cases, will 
be submitted to the Procurement Fraud Division.
    (b) Information to be submitted. When referring matters pursuant to 
paragraph (a) of this section, the following data should be provided:
    (1) Parties (named or prospective) to the proceeding, their 
attorneys, and case number, where appropriate.
    (2) Party making the request (if a subpoena, indicate moving party) 
and his attorney.
    (3) Name of tribunal in which the proceeding is pending.
    (4) Nature of the proceeding.
    (5) Date of receipt of request or date and place of service of 
subpoena.
    (6) Name, grade, position, and organization of person receiving 
request or served with subpoena.
    (7) Date, time, and place designated in request or subpoena for 
production of information or appearance of witness.
    (8) Nature of information sought or document requested, and place 
where document is maintained.
    (9) A copy of each document requested. Contact the appropriate 
office at HQDA if this would be burdensome and unnecessary to a decision 
whether to release, redact, or withhold a particular document.
    (10) Name of requested witness, expected testimony, requested 
appearance time and date, and whether witness is reasonably available.
    (11) Analysis of the problem with recommendations.

            Release of Records in Connection With Litigation



Sec. 516.43  Release of Army and other agency records.

    (a) Preservation of originals. To preserve the integrity of DA 
records, DA personnel will submit properly authenticated copies rather 
than originals of documents or records for use in legal proceedings, 
unless directed otherwise by Litigation Division. (See 28 U.S.C. 1733.)
    (b) Authentication of copies. Copies of DA records approved for 
release can be authenticated for introduction in evidence by use of DA 
Form 4. (See Sec. 516.25 for instructions.)
    (1) Records maintained in U.S. Army Engineer Districts and Divisions 
will be forwarded to HQDA(CECC-K), WASH DC 20314-1000.
    (2) All other records will be forwarded to the appropriate office at 
HQDA (See Sec. 516.42).
    (c) Fees and charges. AR 37-60 prescribes the schedule of fees and 
charges for searching, copying, and certifying Army records for release 
in response to litigation-related requests.
    (d) Release of records of other agencies. Normally an individual 
requesting records originating in agencies outside DA (that is, FBI 
reports, local police reports, civilian hospital records) that are also 
included in Army records should be advised to direct his inquiry to the 
originating agency.



Sec. 516.44  Determination of release authorization.

    (a) Policy. DA policy is to make official information reasonably 
available for use in Federal and state courts and by other governmental 
bodies unless the information is classified, privileged, or otherwise 
protected from public disclosure.
    (b) Releasability factors. In deciding whether to authorize release 
of official information, the deciding official should consider the 
following:
    (1) Has the requester complied with DA policy governing the release 
of official documents in Sec. 516.41(d) of this part.
    (2) Is the request unduly burdensome or otherwise inappropriate 
under the applicable court rules?
    (3) Is the disclosure appropriate under the rules of procedure 
governing the matter in which the request arose?
    (4) Would the disclosure violate a statute, executive order, 
regulation, or directive?

[[Page 99]]

    (5) Is the disclosure appropriate under the relevant substantive law 
concerning privilege?
    (6) Would the disclosure reveal information properly classified 
pursuant to the DOD Information Security Program under AR 380-5, 
unclassified technical data withheld from public release pursuant to 32 
CFR Sec. 250, or other matters exempt from unrestricted disclosure?
    (7) Would disclosure interfere with ongoing enforcement proceedings, 
compromise constitutional rights, reveal the identity of an intelligence 
source or confidential informant, disclose trade secrets or confidential 
commercial or financial information, or, otherwise be inappropriate 
under the circumstances?
    (8) Would the disclosure violate any person's expectation of 
confidentiality or privacy?



Sec. 516.45  Records determined to be releasable.

    If the deciding official, after considering the factors set forth in 
Sec. 536.44, determines that all or part of requested official records 
are releasable, copies of the records should be furnished to the 
requester.



Sec. 516.46  Records determined not to be releasable.

    (a) General. If the deciding official, after considering the factors 
in Sec. 516.44, determines that all or part of requested official 
records should not be released, he will promptly communicate directly 
with the attorney or individual who caused the issuance of the subpoena, 
order, or request and seek to resolve the matter informally. If the 
subpoena or order is invalid, he should explain the basis of the 
invalidity. The deciding official should also explain why the records 
requested are privileged from release. The deciding official should 
attempt to obtain the agreement of the requester to withdraw the 
subpoena, order, or request or to modify the subpoena, order, or request 
so that it pertains only to records which may be released. (See figure 
G-1, appendix G, of this part.)
    (b) Information protected by the Privacy Act.
    (1) A subpoena duces tecum or other legal process signed by an 
attorney or clerk of court for records protected by the Privacy Act, 5 
U.S.C. 552a, does not justify the release of the protected records. The 
deciding official should explain to the requester that the Privacy Act 
precludes disclosure of records in a system of records without the 
written consent of the subject of the records or ``pursuant to the order 
of a court of competent jurisdiction.'' (See 5 U.S.C. 552a(b)(11)). An 
``order of the court'' for the purpose of subsection 5 U.S.C. 
552a(b)(11) is an order or writ requiring the production of the records, 
signed by a judge or magistrate.
    (2) Unclassified records otherwise privileged from release under 5 
U.S.C. 552a may be released to the court under either of the following 
conditions:
    (i) The subpoena is accompanied by an order signed by a judge or 
magistrate, or such order is separately served, that orders the person 
to whom the records pertain to release the specific records, or that 
orders copies of the records be delivered to the clerk of court, and 
indicates that the court has determined the materiality of the records 
and the nonavailability of a claim of privilege.
    (ii) The clerk of the court is empowered by local statute or 
practice to receive the records under seal subject to request that they 
be withheld from the parties until the court determines whether the 
records are material to the issues and until any question of privilege 
is resolved.
    (iii) Subpoenas for alcohol abuse or drug abuse treatment records 
must be processed under 42 U.S.C. 290dd-3 and 290ee-3, and Public Health 
Service regulations published at 42 CFR 2.1--2.67.
    (iv) Upon request, SJAs and legal advisers may furnish to the 
attorney for the injured party or the tortfeasor's attorney or insurance 
company a copy of the narrative summary of medical care that relates to 
a claim under subpart E of this part. If additional medical records are 
requested, only those that directly pertain to the pending action will 
be furnished. If furnishing copies of medical records would prejudice 
the cause of action, the matter will be reported to Litigation Division.

[[Page 100]]

    (c) Referral to Litigation Division. If the SJA or legal adviser is 
not able to resolve a request for Army records informally, he should 
contact Litigation Division.
    (1) Litigation Division may respond to subpoenas or orders for 
records privileged from release by informing the local U.S. Attorney 
about the subpoena and requesting that office file a motion to quash the 
subpoena or a motion for a protective order. The records privileged from 
release should be retained by the custodian pending the court's ruling 
upon the government's motion.
    (2) When a motion to quash or for a protective order is not filed, 
or the motion is unsuccessful, and the appropriate DA official has 
determined that no further efforts will be made to protect the records, 
copies of the records (authenticated if necessary) will be submitted to 
the court (or to the clerk of court) in response to the subpoena or 
order.
    (d) Classified and privileged materials. Requests from DOJ, U.S. 
Attorneys, or attorneys for other governmental entities for records 
which are classified or otherwise privileged from release will be 
referred to Litigation Division. (See Sec. 516.41(g).

             DA Personnel as Witnesses in Private Litigation



Sec. 516.47  Response to subpoenas, orders, or requests for witnesses.

    (a) Policy. The involvement of present or former DA personnel in 
private litigation is solely a personal matter between the witness and 
the requesting party, unless one or more of the following conditions 
apply:
    (1) The testimony involves official information. (See appendix F--
Glossary to this part).
    (2) The witness is to testify as an expert.
    (3) The absence of the witness from duty will seriously interfere 
with the accomplishment of a military mission.
    (b) Former DA personnel. Former DA personnel may freely respond to 
requests for interviews and subpoenas except in instances involving 
official information (paragraph (a)(1) of this section) or concerning 
expert testimony prohibited by Sec. 516.49. In those instances, the 
subject of the request or subpoena should take the action specified in 
Secs. 516.41(c) and 516.42.
    (c) Present DA personnel. Present DA personnel will refer all 
requests for interviews and subpoenas for testimony in private 
litigation through their supervisor to the appropriate SJA or legal 
adviser.
    (d) Discretion to testify. Any individual not wishing to grant an 
interview or to testify concerning private litigation may seek the 
advice of an Army attorney concerning the consequences, if any, of 
refusal. Any individual not authorized to consult with Army counsel 
should consult with private counsel, at no expense to the government.



Sec. 516.48  Official information.

    (a) In instances involving Sec. 516.47(a)(1), the matter will be 
referred to the SJA or legal adviser serving the organization of the 
individual whose testimony is requested, or to HQDA pursuant to 
Sec. 516.47(a). The deciding official will determine whether to release 
the information sought under the principles established in Sec. 516.44. 
If funding by the United States is requested, see Sec. 516.55(d).
    (b) If the deciding official determines that the information may be 
released, the individual will be permitted to be interviewed, deposed, 
or to appear as a witness in court provided such interview or appearance 
is consistent with the requirements of Secs. 516.49 and 516.50. (See, 
for example, figure G-2, appendix G, to this part). A JA or DA civilian 
attorney should be present during any interview or testimony to act as 
legal representative of the Army. If a question seeks information not 
previously authorized for release, the legal representative will advise 
the witness not to answer. If necessary to avoid release of the 
information, the legal representative will advise the witness to 
terminate the interview or deposition, or in the case of testimony in 
court, advise the judge that DOD directives and Army regulations 
preclude the witness from answering without HQDA approval. Every effort 
should be made, however, to substitute releasable information and to 
continue the interview or testimony.

[[Page 101]]



Sec. 516.49  Expert witnesses.

    (a) General rule. Present DA personnel will not provide, with or 
without compensation, opinion or expert testimony either in private 
litigation or in litigation in which the United States has an interest 
for a party other than the United States. Former DA personnel will not 
provide, with or without compensation, opinion or expert testimony 
concerning official information, subjects, or activities either in 
private litigation or in litigation in which the United States has an 
interest for a party other than the United States. (See figure G-3, 
appendix G of this part). An SJA or legal adviser is authorized to deny 
a request for expert testimony, which decision may be appealed to 
Litigation Division.
    (b) Exception to the general prohibition. If a requester can show 
exceptional need or unique circumstances, and the anticipated testimony 
will not be adverse to the interests of the United States, Litigation 
Division may grant special written authorization for present or former 
DA personnel to testify as expert or opinion witnesses at no expense to 
the United States. In no event may present or former DA personnel 
furnish expert or opinion testimony in a case in which the United States 
has an interest for a party whose interests are adverse to the interests 
of the United States.
    (c) Exception for AMEDD personnel. Members of the Army medical 
department or other qualified specialists may testify in private 
litigation with the following limitations (See figure G-4, appendix G, 
of this part):
    (1) The litigation involves patients they have treated, 
investigations they have made, laboratory tests they have conducted, or 
other actions taken in the regular course of their duties.
    (2) They limit their testimony to factual matters such as the 
following: their observations of the patient or other operative facts; 
the treatment prescribed or corrective action taken; course of recovery 
or steps required for repair of damage suffered; and, contemplated 
future treatment.
    (3) Their testimony may not extend to expert or opinion testimony, 
to hypothetical questions, or to a prognosis.
    (d) Court-ordered expert or opinion testimony. If a court or other 
appropriate authority orders expert or opinion testimony, the witness 
will immediately notify Litigation Division. If Litigation Division 
determines it will not challenge the subpoena or order, the witness will 
comply with the subpoena or order. If directed by Litigation Division, 
however, the witness will respectfully decline to comply with the 
subpoena or order. (See United States ex. rel. Touhy v. Ragen, 340 U.S. 
462 (1951)).
    (e) Expert witness fees. All fees tendered to present DA personnel 
as an expert or opinion witness, to the extent they exceed actual 
travel, meals, and lodging expenses of the witness, will be remitted to 
the Treasurer of the United States.



Sec. 516.50  Interference with mission.

    If the absence of a witness from duty will seriously interfere with 
the accomplishment of a military mission, the SJA or legal adviser will 
advise the requesting party and attempt to make alternative 
arrangements. If these efforts fail, the SJA or legal adviser will refer 
the matter to Litigation Division.

          Litigation in Which the United States Has an Interest



Sec. 516.51  Response to subpoenas, orders, or requests for witnesses.

    (a) Referral to a deciding official. Requests, subpoenas, or orders 
for official information, interviews or testimony of present or former 
DA personnel in litigation or potential litigation in which the United 
States has an interest, including requests from DOJ, will be resolved by 
the SJA or legal adviser pursuant to the principles of this subpart. 
Litigation Division will be consulted on issues that cannot be resolved 
by the SJA or legal adviser.
    (b) Reassignment of witnesses. When requested by the U.S. Attorney, 
the SJA or legal adviser will ensure that no witnesses are reassigned 
from the judicial district without advising the DOJ attorney. If a 
witness is vital to the government's case and trial is imminent, the SJA 
or legal adviser should make informal arrangements to retain the witness 
in the command until trial. If this is not feasible, or if

[[Page 102]]

a satisfactory arrangement cannot be reached with the DOJ attorney, the 
SJA or legal adviser should notify Litigation Division.



Sec. 516.52  Expert witnesses.

    Requests for present or former DA personnel as expert or opinion 
witnesses from DOJ or other attorneys representing the United States 
will be referred to Litigation Division unless the request involves a 
matter that has been delegated by Litigation Division to an SJA or legal 
adviser. In no event, may present or former DA personnel furnish expert 
or opinion testimony in a case in which the United States has an 
interest for a party whose interests are adverse to the interests of the 
United States.



Sec. 516.53  News media and other inquiries.

    News media inquiries regarding litigation or potential litigation 
will be referred to the appropriate public affairs office. DA personnel 
will not comment on any matter presently or potentially in litigation 
without proper clearance. Local public affairs officers will refer press 
inquiries to HQDA (SAPA), WASH DC 20310-1500, with appropriate 
recommendations for review and approval by the Office of the Chief of 
Public Affairs. All releases of information regarding actual or 
potential litigation will be coordinated with Litigation Division prior 
to release.

                Status, Travel, and Expenses of Witnesses



Sec. 516.54  Witnesses for the United States.

    (a) Status of witness. A military member authorized to appear as a 
witness for the United States, including those authorized to appear 
under Sec. 516.55(d), will be placed on temporary duty. If USAR or NG 
personnel are requested as witnesses for the United States, and if their 
testimony arises from their active duty service, they should be placed 
on active duty to testify. The status of a civilian employee will be 
determined under Federal Personnel Manual 630, subchapter 10. DA 
personnel who appear as necessary witnesses for a party asserting the 
government's claim for medical care expenses are witnesses for the 
United States.
    (b) Travel arrangements. Travel arrangements for witnesses for the 
United States normally are made by DOJ through Litigation Division for 
other than local travel. Litigation Division will issue instructions for 
this travel, including fund citation, to the appropriate commander. A 
U.S. Attorney, or an attorney asserting the government's medical care 
claim under subpart E, may make arrangements for local travel through 
the SJA or legal adviser for attendance of a witness who is stationed at 
an installation within the same judicial district, or not more than 100 
miles from the place where testifying. Other requests, including those 
under Sec. 516.55(d), will be referred to Litigation Division. The 
instructions from Litigation Division, or the request from the U.S. 
Attorney or the attorney asserting the government's claim, will serve as 
a basis for the issuance of appropriate travel orders by the local 
commander.
    (c) Travel and per diem expenses. The witness' commander or 
supervisor should ensure the witness has sufficient funds to defray 
expenses. The SJA or legal adviser will provide assistance.
    (1) Where local travel is performed at the request of a U.S. 
Attorney and the testimony does not involve information acquired in the 
performance of duties, transportation arrangements and any per diem 
expenses are the responsibility of the U.S. Attorney.
    (2) An attorney asserting the government's medical care or property 
claim may be required to advance local travel expense money to the 
witness requested and to include these in recoverable costs where the 
government's claim is not large enough to justify expenditures of 
government travel funds.
    (3) Other local travel and per diem expense for cases involving Army 
activities or claims are proper expenses of the command issuing the 
orders.
    (4) Litigation Division will furnish travel expense and per diem 
funds for other than local travel and will receive reimbursement from 
DOJ or other government agencies as appropriate.

[[Page 103]]



Sec. 516.55  Witnesses for a State or private litigant.

    (a) Status of witness. If authorized to appear as a witness for a 
state or private litigant, and the testimony to be given relates to 
information obtained in the performance of official duties, a military 
member will attend in a permissive TDY status. If authorized to appear 
as a witness, but the testimony does not relate to information obtained 
in the performance of official duties, a military member may be granted 
a pass or permissive TDY under AR 630-5, or be required to take ordinary 
leave. The status of a civilian employee will be determined under 5 CFR 
Chapter I.
    (b) Travel arrangements. The requesting party or state agency will 
make all travel arrangements for attendance of DA personnel authorized 
to appear as witnesses for a state or private litigant. The local 
commander may issue appropriate orders when necessary.
    (c) Travel expenses. The United States may not pay travel, meals, 
and lodging expenses of the witness, other than normal allowances for 
subsistence pursuant to the DOD Military Pay and Allowances Entitlements 
Manual. These expenses are solely a matter between the witness and the 
party seeking his appearance. Witnesses ordinarily should be advised to 
require advance payment of such expenses. Military personnel authorized 
to appear in a pass or permissive TDY status are not entitled to receive 
witness attendance fees, but may accept travel, meals, and lodging 
expense money from the requesting litigant. All witness fees tendered 
the military member, to the extent they exceed such actual expenses of 
the member, will be remitted to the Treasurer of the United States. A 
civilian employee authorized to appear in his or her official capacity 
will accept the authorized witness fees, in addition to the allowance 
for travel and subsistence, and make disposition of the witness fees as 
instructed by his or her personnel office.
    (d) Funding by the United States. Requests for DA personnel to 
appear at government expense as witnesses in state or local proceedings 
for a party other than the United States, including cases involving 
domestic violence or child abuse, will be referred to Litigation 
Division. Litigation Division may authorize travel and per diem expenses 
under Sec. 516.54 when the case is one in which the United States has a 
significant interest.



Sec. 516.56  Witnesses before foreign tribunals.

    (a) Referral to the SJA. Requests or subpoenas from a foreign 
government or tribunal for present DA personnel stationed or employed 
within that country to be interviewed or to appear as witnesses will be 
forwarded to the SJA of the command exercising general court-martial 
jurisdiction over the unit to which the individual is assigned, 
attached, or employed. The SJA will determine the following:
    (1) Whether a consideration listed in Sec. 516.47(a)(1) through 
(a)(3) applies.
    (2) Whether the information requested is releasable under the 
principles established in Sec. 516.43 through Sec. 516.46.
    (3) Whether the approval of the American Embassy should be obtained 
because the person is attached to the Embassy staff or a question of 
diplomatic immunity may be involved.
    (b) United States has an interest in the litigation. If the SJA 
determines that the United States has an interest in the litigation, the 
commander may authorize the interview or order the individual's 
attendance in a temporary duty status. The United States will be deemed 
to have an interest in the litigation if it is bound by treaty or other 
international agreement to ensure the attendance of such personnel.
    (c) United States has no interest in the litigation. If the SJA 
determines that the United States does not have an interest in the 
litigation, the commander may authorize the interview or the appearance 
of the witness under the principles established in Sec. 516.47 through 
Sec. 516.50.
    (d) Witnesses located outside the requester's country. If the 
requested witness is stationed in a country other than the requester's, 
the matter will be referred to Litigation Division.

[[Page 104]]



         Subpart H--Remedies in Procurement Fraud and Corruption



Sec. 516.57  Purpose.

    This subpart delineates the policies, procedures, and 
responsibilities for reporting and resolving allegations of procurement 
fraud or irregularities (PFI) within DA. It implements DOD Directive 
7050.5. (See appendix D to this part.)



Sec. 516.58  Policies.

    (a) Procurement fraud and irregularities will be promptly and 
thoroughly addressed whenever encountered. Reports will be initiated in 
a timely manner and will be supplemented as appropriate.
    (b) Investigations will be monitored to see that interim corrective 
action is taken and that final action is taken as expeditiously as 
possible.
    (c) This regulation establishes the Procurement Fraud Division 
(PFD), U.S. Army Legal Services Agency, as the single centralized 
organization within the Army to coordinate and monitor criminal, civil, 
contractual, and administrative remedies in significant cases of fraud 
or corruption relating to Army procurement.
    (d) The key elements of the Army's procurement fraud program follow: 
centralized policy making and program direction; fraud remedies 
coordination; decentralized responsibility for operational matters, such 
as reporting and remedial action; continuous case monitorship by PFD 
from the initial report until final disposition; and, command-wide fraud 
awareness training.
    (e) Remedies for PFI will be pursued in a timely manner and properly 
coordinated with other agencies. Every effort will be made to support 
criminal investigation and prosecution of fraudulent activity.
    (f) A specific remedies plan will be formulated for each significant 
case of fraud or corruption involving procurement.
    (g) Coordination on the status and disposition of cases will be 
maintained between PFD, OTJAG, PFI Coordinators at MACOMs, and 
Procurement Fraud Advisers at subordinate commands. Coordination of 
procurement and personnel actions will be accomplished with 
investigative agencies as required by those agencies.
    (h) Training which relates to fraud and corruption in the 
procurement process is a significant element of this program.



Sec. 516.59  Duties and procedures.

    (a) TJAG has overall responsibility for the coordination of remedies 
in procurement fraud and corruption within the Army. This responsibility 
has been delegated to PFD. Functions of PFD will include the following:
    (1) Serving as the single centralized organization in the Army to 
monitor the status of, and ensure the coordination of, criminal, civil, 
contractual, and administrative remedies for each significant case of 
fraud or corruption.
    (2) Receiving reports of procurement fraud and corruption from any 
source including, but not limited to the following: DOD criminal 
investigative organizations; audit agencies; contracting officers; 
inspectors general of the executive branch; correspondence from the 
public; and, commanders. This provision does not repeal any other 
reporting requirement but establishes PFD as a recipient of PFI 
information at the earliest possible time.
    (3) Establishing a monitoring system within OTJAG for all cases of 
fraud and corruption that relate to Army procurement.
    (4) Discussing regularly with the U.S. Army Criminal Investigation 
Command (USACIDC) or the assigned DOD criminal investigative 
organization the current status of significant fraud or corruption cases 
and their coordination with prosecutive authorities.
    (5) Ensuring that all criminal, civil, contractual, and 
administrative remedies are considered in each significant fraud or 
corruption case and that timely and applicable remedies are undertaken 
by commanders, contracting officers, and suspension and debarment 
authorities. For example, consideration of suspension or debarment of a 
contractor or individual should normally be initiated within 30 days of 
indictment or conviction.
    (6) Coordinating, as appropriate, with other DOD components affected 
by a significant fraud or corruption case being monitored by the Army.

[[Page 105]]

    (7) Developing, with the responsible DOD investigative organization, 
Procurement Fraud Coordinators and Advisers, and other involved 
agencies, a specific comprehensive remedies plan for each significant 
fraud or corruption case.
    (8) Coordinating remedies with DOJ. In the case of ongoing criminal 
investigations, coordinate remedies through, or with the prior knowledge 
of, the DOD criminal investigative organization responsible for the 
case.
    (9) In significant fraud or corruption cases, identifying and 
documenting any known adverse impact on a DOD mission, and including the 
information in any remedies plan.
    (10) Providing the appropriate DOD criminal investigative 
organization with information concerning final remedies as a result of 
an investigation by that organization.
    (11) Receiving notifications from criminal investigative agencies 
concerning substituted, defective, and counterfeit hardware in which a 
serious hazard to health, safety or operational readiness is indicated; 
ensuring that appropriate safety, procurement and program officials are 
informed in accordance with enclosure 3 of DOD Directive 7050.5. PFD 
will specifically ensure that contract reviews (DD 350 reports) and 
adverse impact statements (See Sec. 516.64(c)(2) are prepared, and that 
such information is used to determine if further inquiry is warranted to 
prevent reoccurrence and to detect other possible fraud. Impact 
statements will not be released to prosecutive agencies until reviewed 
by PFD. When appropriate, PFD will coordinate with other DOD agencies to 
establish a lead agency for victim impact statements in multi-DOD agency 
cases.
    (b) The Commanding General, USACIDC, will take the following 
actions:
    (1) Notify PFD of any investigations involving fraud or corruption 
related to procurement activities.
    (2) Notify other DOD component criminal investigative organizations 
when investigations involving fraud or corruption affect that component. 
This includes evidence of fraud by a contractor, subcontractor, or 
employee of either, on current or past contracts with, or affecting, 
that component.
    (3) Notify the Defense Investigative Service of any investigations 
that develop evidence which affects DOD cleared industrial facilities or 
personnel.
    (4) Determine the effect on any ongoing investigations or 
prosecutions of any criminal, civil, contractual, or administrative 
actions being considered by a centralized organization and advise of any 
adverse impact.
    (5) Promptly provide commanders, contracting officers, Procurement 
Fraud Advisers, and suspension and debarment authorities, when needed to 
allow consideration of applicable remedies, any court records, 
documents, or other evidence of fraud or corruption from ongoing or 
completed criminal investigations. In cases of indictment or conviction 
of a contractor or individual, the information will be provided in time 
for initiation, if appropriate, of suspension or debarment action within 
30 days of the indictment or conviction.
    (6) Provide prosecutive authorities and centralized organizations 
with timely information on the adverse impact on a DOD mission of fraud 
or corruption that relates to DOD procurement activities. This 
information will be obtained from individuals such as the head of the 
contracting agency, appropriate commanders, and staff agencies. Some 
examples of adverse impact on a DOD mission are endangerment of 
personnel or property, monetary loss, compromise of the procurement 
process, or reduction or loss of mission readiness.
    (7) Discuss regularly with Procurement Fraud Advisers the status of 
significant investigations of fraud or corruption and their coordination 
with prosecutive authorities and provide documents and reports resulting 
from the investigations.
    (c) Commanders of service schools conducting procurement or 
procurement-related training (such as The Judge Advocate General's 
School, the U.S. Military Police School, and the U.S. Army Logistics 
Management Center) will ensure the following:
    (1) All procurement and procurement-related training includes a 
period

[[Page 106]]

of instruction on fraud and corruption in the procurement process. The 
length of the period of instruction will be appropriate to the duration 
and nature of the training.
    (2) Training materials are developed to support that training.
    (3) Training materials developed will be sent to MACOM PFI 
Coordinators.
    (d) MACOM commanders and heads of contracting activities will ensure 
the following:
    (1) Substantial indications of fraud or corruption relating to Army 
contracts or Army administered contracts are reported promptly to the 
supporting USACIDC element and the Procurement Fraud Division.
    (2) Information provided includes reports by contracting officers 
under DFARS 209.406-3.



Sec. 516.60  Procurement fraud and irregularities programs at MACOMs.

    (a) Command counsel and SJAs at MACOMs will develop a program and 
appoint an attorney as PFI Coordinator for their command. Chief counsel 
and SJAs at commands with procurement advisory responsibility will 
appoint an attorney as a Procurement Fraud Adviser (PFA) to manage the 
PFI program at their installations as well.
    (b) Provision may be made for activities not having sufficient 
attorney assets to obtain assistance from nearby installations that have 
a PFA.
    (c) Reports and recommendations will be transmitted through command 
channels to the PFI coordinator for the affected MACOM.
    (d) Command counsel, chief counsel, and SJAs will exercise 
supervisory authority to ensure effective operation of the fraud program 
and coordination of remedies within their organizations.
    (e) The MACOM PFI Coordinator will have overall responsibility for 
the design and implementation of the MACOM's procurement fraud program.
    (f) PFAs and PFI Coordinators will coordinate with the appropriate 
local CID or Defense Criminal Investigative Service (DCIS) activity to 
assure the prompt notification and coordination of all Procurement Fraud 
cases.



Sec. 516.61  Reporting requirements.

    (a) Typical fraud indicators during the procurement cycle are listed 
in figure D-1, appendix G, to this part. The mere presence of one or 
more of these indicators does not, by itself, require reporting under 
paragraph b of this section. Reports should be submitted if there is a 
reasonable suspicion of procurement fraud or irregularity or the 
procuring agency refers the matter for investigation.
    (b) ``Procurement Flash Reports'' will be transmitted by FAX 
directly to PFD whenever a PFI Coordinator or PFA receives notice of a 
PFI involving the Army. To facilitate filing, a separate sheet should be 
used for each case reported. These reports will provide a succinct 
summary of the following available information:
    (1) Name and address of contractor.
    (2) Known subsidiaries of parent firms.
    (3) Contracts involved in potential fraud.
    (4) Nature of potential fraud.
    (5) Summary of pertinent facts.
    (6) Possible damages.
    (7) Investigative agencies involved.
    (8) Local PFAs (name and phone numbers).

Any of the above categories that cannot be completed will be annotated 
as ``unknown at present.''
    (c) When a report is required by DFARS or is requested by PFD, the 
provisions of DFARS 209.406-3 (48 CFR 209.406-3) will be followed. That 
paragraph provides the basic content and format for PFI reports.
    (d) All personnel will cooperate to ensure that investigations and 
prosecutions of procurement fraud are completed in a timely and thorough 
manner. Requests for assistance from federal prosecutors should be 
processed through the local PFA whenever possible. Requests for federal 
investigators will be processed through the supporting USACIDC and the 
PFA will be notified. When the conduct of criminal investigations and 
prosecutions conflict with the progress of procurements, reasonable 
deference will be given to criminal investigators and prosecutors 
whenever possible. Any serious conflict that cannot be resolved at a 
local level

[[Page 107]]

will be immediately reported to the PFI Coordinator or PFD for action.
    (e) PFI Coordinators and PFAs may request access to information 
obtained during criminal investigations that is not protected by Fed. R. 
Crim. P. 6(e) and use this information to assist them in taking 
appropriate administrative, contractual, and civil remedies. Requests 
for this information should be made directly to the appropriate federal 
investigative agency. The investigative organization may withhold 
requested information if release would compromise an investigation. 
Difficulties in obtaining information which cannot be resolved locally 
will be referred to PFD for appropriate action.
    (f) USACIDC will notify, in writing, local PFAs as well as PFD 
within 30 days, of initiation of a significant investigation of fraud or 
corruption related to Army procurement activities. Such notification 
will include the following:
    (1) Case title.
    (2) USACIDC Report of Investigation number.
    (3) Responsible investigative agency or agencies.
    (4) Office of primary responsibility.
    (5) Date opened.
    (6) Summary of facts.
    (7) Suspected offense.
    (g) The transmission of the information in f above may be delayed if 
the Commanding General, USACIDC, or the head of another DOD criminal 
investigation organization determines the transmission would compromise 
the success of any case or its prosecution. The prosecutive authorities 
dealing with the case will be consulted, when appropriate, in making 
such determinations.
    (h) USACIDC will obtain the following information at the earliest 
possible point in an investigation of fraud or corruption that relates 
to DOD procurement activities, whenever possible without reliance on 
grand jury subpoenas:
    (1) The individuals suspected to be responsible.
    (2) The suspected firm's organizational structure.
    (3) The firm's financial and contract history.
    (4) The firm's organizational documents and records.
    (5) Statements of witnesses.
    (6) Monetary loss to the government.
    (7) Other relevant information.
    This information will be provided to PFD or other cognizant DOD 
centralized organization.
    (i) PFD will provide written notification to the Defense 
Investigative Service of all suspension or debarment actions taken by 
the Army.



Sec. 516.62  PFD and HQ USACIDC coordination.

    PFD and HQ USACIDC will coordinate as follows:
    (a) Discuss the status of significant procurement fraud or 
corruption investigations being conducted by USACIDC and possible 
remedies. These discussions should take place on a regular basis.
    (b) Discuss the coordination of possible criminal, civil, 
contractual, or administrative remedies with prosecutive authorities.
    (c) PFD will maintain liaison with other DOD centralized 
organizations and will coordinate remedies with those centralized 
organizations affected by a significant investigation of fraud or 
corruption that relates to DOD procurement activities.
    (d) Ascertain the effect on any ongoing investigation of the 
initiation of civil, contractual, or administrative remedies as follows:
    (1) PFD will maintain liaison with USACIDC and other DOD criminal 
investigative organizations in order to determine the advisability of 
initiating any civil, contractual, or administrative actions.
    (2) USACIDC will advise PFD of any adverse effect on an 
investigation or prosecution by the initiation of civil, contractual, or 
administrative actions.



Sec. 516.63  Coordination with DOJ.

    (a) PFD will establish and maintain liaison with DOJ and the Defense 
Procurement Fraud Unit on significant fraud and corruption cases to 
accomplish the following:
    (1) Monitor criminal prosecutions.
    (2) Initiate litigation for civil recovery.

[[Page 108]]

    (3) Coordinate administrative or contractual actions while criminal 
or civil proceedings are pending.
    (4) Coordinate settlement agreements or proposed settlements of 
criminal, civil, and administrative actions.
    (5) Respond to DOJ requests for information and assistance.
    (b) In cases where there is an ongoing criminal investigation, 
coordination with DOJ by any member of the Army normally will be 
accomplished by or through USACIDC or the cognizant DOD criminal 
investigative organization, or with the investigative organization's 
advance knowledge. This does not apply to the routine exchange of 
information between government attorneys in the course of civil 
litigation or the routine referral of cases to DOJ for civil recovery.
    (c) Initial contact by any attorney associated with the U.S. Army 
with a U.S. Attorney's office or DOJ, whether initiated by the Army 
attorney or not, will be reported to PFD. Activity after the initial 
contact will only be reported to PFD when the Army attorney feels there 
has been a significant event in the case. If the Army attorney is not a 
PFI Coordinator or a PFA, the matter should be referred to one of these 
two attorneys as soon as possible. Routine exchanges between Army 
attorneys and U.S. Attorney's offices or DOJ do not need to be brought 
to the attention of PFD.



Sec. 516.64  Comprehensive remedies plan.

    (a) A specific, comprehensive remedies plan will be developed in 
each significant investigation involving fraud or corruption that 
relates to Army procurement activities. When possible, these plans 
should be forwarded with the DFARS 209.406-3 reports. In no case, 
however, should the report be delayed an appreciable time pending 
completion of the plan. The format for a remedies plan is at figure H-2, 
appendix G, to this part.
    (b) The plan will be developed initially by the PFA with the 
participation of the appropriate criminal investigators and other 
relevant personnel such as the contracting officer. In significant cases 
the PFA should also coordinate a remedies plan early with PFD. Defective 
product/product substitution remedies plans must comply with the 
requirements of appendix D to this part.
    (c) A comprehensive remedies plan will include at a minimum the 
following information and considerations:
    (1) Summary of allegations and investigative results.
    (2) Statement of any adverse impact on a DOD mission. DOD 
investigative organizations, commanders, or procurement officials will 
also provide this information to prosecutive authorities to enhance 
prosecution of offenses or to prepare a victim impact statement pursuant 
to Fed. R. Crim. P. 32(c)(2).
    (3) The impact upon combat readiness and safety.
    (4) Consideration of each criminal, civil, contractual, and 
administrative remedy available, and documentation of those remedies, 
either planned, in progress, or completed.
    (5) Restrictions on the pursuit of any remedies such as grand jury 
information or possible compromise of the investigation.
    (d) When remedies plans are received by PFD they will be coordinated 
with the headquarters of the appropriate DOD criminal investigative 
organization involved.
    (e) Testing necessary to support the investigation and remedies plan 
should comply with figure H-3, appendix G, to this part.



Sec. 516.65  Litigation reports in civil recovery cases.

    (a) All substantiated PFI cases will be evaluated by PFAs to 
determine whether it is appropriate to recommend civil recovery 
proceedings.
    (b) Recovery should be considered under both statutory and common 
law theories, including but not limited to the following:
    (1) False Claims Act, 31 USC 3729.
    (2) Anti-Kickback Act, 41 USC 51.
    (3) Sherman Act, 15 USC 1-7.
    (4) Racketeer Influenced and Corrupt Organizations Act, 18 USC 1961-
1968.
    (5) Common law fraud.
    (6) Unjust enrichment.
    (7) Constructive trust.
    (8) Cases where contracts have been procured in violation of the 
conflict of interest statute, 18 USC 218. See K&R

[[Page 109]]

Engineering Co. v. United States, 616 F.2d 469 (Ct. Cl., 1980).
    (c) When civil recovery appears possible, PFD should be consulted to 
determine if a litigation report is necessary. If requested by PFD, the 
report should summarize the available evidence and applicable theories 
of recovery and be prepared under Sec. 516.23 of this part. To avoid 
unnecessary duplication of effort, recovery reports may include and make 
liberal references to other reports previously prepared on a given case 
such as the DFARS 209.406-3 (48 CFR 209.406-3) report.
    (d) The MACOM PFI coordinator and PFA will monitor all civil fraud 
recovery efforts throughout the command and will provide training and 
technical assistance as required. Status reports of all civil fraud 
recovery efforts will be provided through channels as required by PFD.



Sec. 516.66  Administrative and contractual actions.

    (a) The following remedial options should be considered in response 
to confirmed fraudulent activity:
    (1) Contractual.
    (i) Termination of contract for default.
    (ii) Nonaward of contract based upon a finding of contractor 
nonresponsibility. (If this appears to be a valid option, a DFARS 
209.406-3 (48 CFR 209.406-3) report must be prepared where contractor 
nonresponsibility is based on lack of integrity).
    (iii) Rescission of contract.
    (iv) Revocation of acceptance.
    (v) Use of contract warranties.
    (vi) Withholding of payments to contractor. In the case of 
withholding pursuant to DFARS 2032.173, the Chief, PFD, is the Army 
Remedy Coordinating Official.
    (vii) Offset of payments due to contractor from other contracts.
    (viii) Revocation of facility security clearances.
    (ix) Increased level of quality assurance.
    (x) Refusal to accept nonconforming goods.
    (xi) Denial of claims submitted by contractors.
    (xii) Removal of contract from automated solicitation or payment 
system.
    (2) Administrative.
    (i) Change in contracting forms and procedures.
    (ii) Removal or reassignment of government personnel.
    (iii) Review of contract administration and payment controls.
    (iv) Revocation of warrant of contracting officer.
    (v) Suspension of contractor.
    (vi) Debarment of contractor.
    (b) In cases which are pending review or action by DOJ, PFAs should 
coordinate with the DOJ attorney handling the case prior to initiating 
any contractual or administrative remedy. In the case of ongoing 
criminal investigations, this coordination will be accomplished through 
the appropriate DOD criminal investigation organization.



Sec. 516.67  Overseas cases of fraud or corruption.

    (a) Commanders of overseas major commands will establish procedures, 
similar to this regulation and consistent with the DFARS, and 
regulations and directives of their respective unified commands, for 
reporting and coordination of available remedies in overseas procurement 
fraud and corruption cases involving foreign firms and individuals. 
Overseas major commands will also maintain liaison with PFD and provide 
periodic reports of remedies coordination results.
    (b) Overseas suspension and debarment actions are governed by DFARS 
209.403 (48 CFR 209.403). The names of all firms and individuals 
suspended or debarred will be expeditiously forwarded to PFD for 
inclusion on the List of Parties Excluded From Federal Procurement or 
NonProcurement Programs.
    (c) Overseas cases of fraud or corruption related to the procurement 
process that involve U.S. firms or U.S. citizens may be referred to PFD 
for coordination of remedies under this regulation.



Sec. 516.68  Program Fraud Civil Remedies Act (PFCRA).

    (a) PFCRA was enacted on 21 October 1986 (Public Law 99-509) and 
implemented by DOD on 30 August 1988 (DOD Directive 5505.5). (See 
appendix E to this part.)

[[Page 110]]

    (b) PFCRA expands the capability of the government to deter and 
recover losses from false, fictitious or fraudulent claims and 
statements. It is also applicable to program fraud and provides an 
administrative remedy in addition to those otherwise available to the 
Army in procurement fraud or pay and entitlements fraud cases.
    (c) As part of the Army implementation, the Secretary of the Army's 
duties and responsibilities under PFCRA as Authority Head are delegated 
to the Army General Counsel. The Chief, Intellectual Property Law 
Division, is the Army's Reviewing Official within the meaning of PFCRA. 
Army implementation also requires DA to follow the policies and 
procedures prescribed in enclosure 2 of DOD Directive 5505.5. (See 
appendix E to this part.)
    (d) The DOD Inspector General (IG) is the Investigating Official 
within DOD. The duties of this position will be performed by the 
Assistant IG For Investigations. This individual is vested with the 
authority to investigate all allegations of liability under PFCRA. That 
authority includes the power to task subordinate investigative agencies 
to review and report on allegations that are subject to PFCRA. If the 
Investigative Official concludes that an action under PFCRA is warranted 
in an Army case, the official will submit a report containing the 
findings and conclusions of such investigation through PFD to the Army 
Reviewing Official.
    (e) Pursuant to DOD IG guidance, USACIDC will forward appropriate 
cases that appear to qualify for resolution under PFCRA to the 
Investigating Official in a timely manner. Additionally, USACIDC will 
forward current information regarding the status of remedies pending or 
concluded. USACIDC may obtain remedies information by coordinating with 
PFD and the cognizant command.
    (f) In pay and entitlement or transportation operation fraud cases, 
USACIDC will coordinate with the Office of the Secretary of the Army, 
Financial Management, Review and Oversight Directorate (SAFM-RO), to 
determine the status of any pending or proposed action under the Debt 
Collection Act. This information, in addition to information obtained 
under Sec. 517.68(e), will be forwarded with appropriate cases to the 
Investigating Official.
    (g) In those cases where the Investigating Official has submitted a 
report to the Army Reviewing Official for action under PFCRA, PFD will, 
at the direction of the Reviewing Official, prepare all legal memoranda 
as necessary to transmit the Reviewing Official's intention to issue a 
complaint. As part of this responsibility PFD will do the following: 
coordinate with the affected command or agency to ensure that all 
appropriate remedies have been considered; evaluate the overall 
potential benefits to the Army; and, ensure that action under PFCRA is 
not duplicative of other remedies already taken. In order to fully 
supplement the Reviewing Official's file, PFD may request a litigation 
report.
    (h) PFD will coordinate all cases involving transportation 
operations emanating from Military Traffic Management Command (MTMC) 
activity, under the military transportation exception to the FAR, and 
all cases involving pay and entitlements fraud with SAFM-RO, for 
comments and recommendations. These matters will be forwarded with the 
case file to the Reviewing Official.
    (i) If the Attorney General approves the issuance of a complaint, 
PFD, at the direction of the Army Reviewing Official, shall prepare the 
complaint and all necessary memoranda as required. PFD shall also 
designate attorneys to represent the Authority in hearings under PFCRA.



        Subpart I--Cooperation With the Office of Special Counsel



Sec. 516.69  Introduction.

    This subpart prescribes procedures for cooperation with the Office 
of Special Counsel (OSC) when OSC is investigating alleged prohibited 
personnel practices or other allegations of improper or illegal conduct 
within DA activities.



Sec. 516.70  Policy.

    (a) DA policy follows:
    (1) Civilian personnel actions taken by management officials, 
civilian and military, will conform to laws and regulations implementing 
established

[[Page 111]]

merit system principles and will be free of any prohibited personnel 
practices.
    (2) Management officials will take vigorous corrective action when 
prohibited personnel practices occur. Disciplinary measures under AR 
690-700, Chapter 751, may be initiated after consultation and 
coordination with appropriate civilian personnel office and labor 
counselor.
    (b) DA activities will cooperate with OSC in the following ways:
    (1) Promoting merit system principles in civilian employment 
programs within DA.
    (2) Investigating and reporting allegations of improper or illegal 
conduct forwarded to the activity by HQDA.
    (3) Facilitating orderly investigations by the OSC of alleged 
prohibited personnel practices and other matters assigned for 
investigation to the OSC, such as violations of the Whistleblower 
Protection Act of 1989, the Freedom of Information Act, or the Hatch 
Act.



Sec. 516.71  Duties.

    (a) DA General Counsel. The DA General Counsel is responsible for 
the following:
    (1) Provide overall guidance on all issues concerning cooperation 
with OSC, including the investigation of alleged prohibited personnel 
practices and allegations of improper or illegal conduct.
    (2) Review for adequacy and legal sufficiency each OSC report of 
investigation that must be personally reviewed by the Secretary of the 
Army.
    (3) Ensure compliance with the Civil Service Reform Act of 1978 by 
obtaining a suitable investigation of allegations of improper or illegal 
conduct received from OSC. This includes compliance with time limits for 
reporting results of the investigation and personal review of the report 
by the Secretary of the Army when required.
    (4) Forward to the DOD Inspector General (DODIG) copies of each 
allegation of improper or illegal conduct referred to DA by OSC.
    (5) Delegate to The Judge Advocate General the authority to act on 
behalf of the DA General Counsel in all OSC investigations of prohibited 
personnel practices.
    (6) Act upon requests for counsel from ``accused'' or ``suspected'' 
employees.
    (b) Chief, Labor and Employment Law Office. The Chief, Labor and 
Employment Law Office, OTJAG (DAJA-LE) is responsible for the following:
    (1) Act for TJAG as the Senior Management Official in cooperating 
with OSC. As Senior Management Official, the Chief, DAJA-LE, through 
TJAG, will be responsible to the DA General Counsel for administration 
of the policies and procedures contained in this chapter.
    (2) Promptly inform the DA General Counsel of any OSC investigation 
and consult with the DA General Counsel on any legal or policy issue 
arising from an OSC investigation.
    (3) Serve as the HQDA point of contact in providing assistance to 
OSC.
    (4) Act as DA attorney-of-record in administrative matters initiated 
by OSC before the MSPB which arise from an OSC investigation. As DA 
attorney-of-record, the Chief, DAJA-LE, will file necessary pleadings 
and make necessary appearances before the MSPB to represent DA 
interests.
    (5) Monitor ongoing OSC investigations within DA.
    (6) Ensure that appropriate DA personnel are fully apprised of their 
rights, duties and the nature and basis for an OSC investigation.
    (7) Review and prepare recommendations to the General Counsel 
concerning any OSC recommended corrective action referred to DA. Such 
review and recommendations will address whether disciplinary action 
should be taken against DA civilian employees or military members, and 
whether the information warrants referral to appropriate authorities for 
corrective and disciplinary action.
    (8) Seek OSC approval of DA proposed disciplinary action against an 
employee for an alleged prohibited personnel practice or other 
misconduct which is the subject of or related to any OSC investigation.
    (9) Review and prepare recommendations for DA General Counsel 
concerning requests for counsel, to include identifying available DA 
attorneys to act as individual representatives. Upon

[[Page 112]]

approval of DA General Counsel, appoint DA civilian and military 
attorneys, to include attorneys from the U.S. Army Materiel Command and 
the Corps of Engineers, to represent individual military members or 
employees.
    (10) Determine, to the extent practicable, whether an investigation 
is being or has been conducted which duplicates, in whole or in part, a 
proposed or incomplete OSC investigation, and convey that information to 
the OSC whenever it might avoid redundant investigative efforts.
    (11) Provide guidance and assistance to activity Labor Counselors in 
fulfilling their duties as Liaison Officers.
    (c) Activity Labor Counselor. The activity Labor Counselor will do 
the following:
    (1) Act as Liaison Officer for OSC investigations arising within the 
command, activity or installation serviced by the Labor Counselor's 
client Employment Office.
    (2) Promptly inform the MACOM labor counselor and the Chief, DAJA-
LE, of any OSC inquiry or investigation.
    (3) Act as the legal representative of the command, activity, or 
installation.
    (4) Assist the OSC investigator with administrative matters related 
to the investigation, such as requests for witnesses and documents.
    (5) Process all OSC requests for documents.
    (6) Make appropriate arrangements for OSC requests to interview 
civilian employees and military members.
    (7) Ensure that personnel involved are advised of the nature and 
basis for an OSC investigation, the authority of the OSC, and their 
rights and duties.
    (8) Consult with the Chief, DAJA-LE, on policy and legal issues 
arising from the OSC investigation.
    (9) Keep the Chief, DAJA-LE, informed of the status of the OSC 
investigation.
    (l0) Act as agency representative before the MSPB in actions 
initiated by employees (individual right of action appeals).



Sec. 516.72  Procedures.

    (a) Witnesses and counsel for consultation.
    (1) DA military and civilian managers, supervisors, and employees 
who are requested by OSC for an interview will be made available in 
accordance with arrangements the Labor Counselor will establish. 
Requests for the testimony of IGs will be coordinated with the Inspector 
General Legal Office, SAIG-ZXL, DSN 227-9734 or Commercial (703) 697-
9734.
    (2) The Labor Counselor will ensure that witnesses are aware of 
their obligation to answer OSC questions, their potential to be 
considered ``suspects'' in OSC investigations, and their right to the 
assistance of counsel during interviews with OSC representatives. If the 
requested witness is not an ``accused'' or ``suspected'' individual and 
the witness asks for assistance of counsel, a DA attorney will be made 
available for the limited purpose of consultation regarding the witness' 
rights and obligations. An attorney-client relationship will not be 
established. (See appendix F to this part).
    (3) The Labor Counselor will arrange for individual counsel for 
consultation from local assets. If local assets are not sufficient, 
assistance may be requested from other DOD activities in the area or 
from HQDA, DAJA-LE. DA attorneys tasked to consult with one or more 
witnesses individually will not be tasked to represent the DA activity 
concerned.
    (4) The Labor Counselor, as the legal representative of the 
activity, is precluded from assisting or representing individual 
witnesses during OSC interviews.
    (b) ``Accused'' or ``suspected'' DA personnel and counsel for 
representation.
    (1) If the OSC identifies a DA civilian employee or a military 
member as an ``accused'' or ``suspected'' individual, or if the Labor 
Counselor concludes that an individual is a ``suspect,'' the Labor 
Counselor will inform the individual. The Labor Counselor also will 
advise the individual of the availability of counsel for representation 
upon approval by DA General Counsel. (See Glossary, Counsel for 
Representation).
    (2) If the ``suspected'' individual desires legal representation by 
DA, the individual must request counsel by submitting a written request 
through

[[Page 113]]

DAJA-LE to DA General Counsel. (See figure I-1, appendix G, to this 
part).
    (3) During the investigation but prior to DA General Counsel 
approval of the request for counsel, an ``accused'' or ``suspected'' 
individual will be provided the assistance of counsel for consultation 
in the same manner as any other OSC requested witness. ``Accused'' or 
``suspected'' individuals who do not request counsel for representation 
will be provided counsel for consultation in the same manner as any 
other OSC requested witness.
    (4) If the DA General Counsel approves the request for counsel, the 
Chief, DAJA-LE, will appoint a DA attorney to represent the individual. 
This appointment may be made telephonically but will be confirmed in 
writing. The Chief, DAJA-LE, will make appropriate coordination with 
MACOM SJAs and command counsel to confirm availability of the attorney.
    (5) An attorney appointed by DA may represent a civilian employee in 
any proceeding initiated by OSC before the MSPB. However, counsel 
provided by DA may not represent the employee in any proceeding 
initiated by DA, in any appeal from a final decision by the MSPB, or in 
any collateral proceeding before any forum other than the MSPB.
    (6) OSC may not bring a disciplinary action before the MSPB against 
a military member. Accordingly, DA counsel will not be required to 
represent the military member in any MSPB disciplinary proceeding. 
However, counsel may represent the member during the OSC investigation 
with the understanding that the evidence obtained by OSC may be referred 
to the member's command for possible disciplinary action under the UCMJ 
or appropriate regulations. If DA initiates action against the military 
member for misconduct disclosed in the OSC investigation, the member 
will obtain counsel as provided under the UCMJ or relevant regulations.
    (c) Records.
    (1) OSC requests for records must be in writing. The Labor Counselor 
will assist OSC representatives in identifying the custodian of specific 
records sought during the inquiry.
    (2) Generally, requested records should be furnished to OSC 
representatives if such records would be released under AR 25-55 or AR 
340-21 to other government agencies in the normal course of official 
business. Records constituting attorney work product should not be 
released without approval of the Chief, DAJA-LE. IG records will not be 
released without the approval of the Inspector General. (AR 20-1). The 
Labor Counselor should seek guidance from the Chief, DAJA-LE, if there 
is any doubt concerning the release of records.
    (3) If, after completion of the OSC investigation, the OSC files a 
complaint against DA or a DA employee, release of records and other 
information will be accomplished pursuant to MSPB rules of discovery (5 
CFR part 1201, subpart B).
    (d) Funding. The command, activity, or installation within which the 
allegations of misconduct arose will provide funding for travel, per 
diem and other necessary expenses related to the OSC investigation. 
These expenses may include appropriate funding for witnesses, counsel 
for consultation and DA General Counsel approved counsel for 
representation.



Sec. 516.73  Assistance from HQDA.

    Labor Counselors may seek guidance on questions arising from 
implementation of this chapter by calling the Chief, DAJA-LE, DSN 225-
9476/9481 or Commercial (703) 695-9476/9481.



     Subpart J--Soldiers Summoned to Serve on State and Local Juries



Sec. 516.74  General.

    (a) This subpart implements 10 U.S.C. Sec. 982 and DOD Directive 
5525.8. It establishes Army policy concerning soldiers on active duty 
who are summoned to serve on state and local juries.
    (b) This subpart does not apply to Army National Guard soldiers in 
an annual training or full-time AGR (Active Guard Reserve) status under 
Title 32, U.S. Code. Soldiers in a Title 32 status must refer to their 
respective state law for relief from state or local jury duty.



Sec. 516.75  Policy.

    (a) Active duty soldiers should fulfill their civic responsibility 
by serving on

[[Page 114]]

state and local juries, so long as it does not interfere with military 
duties.
    (b) The following active duty soldiers are exempt from complying 
with summons to serve on state and local juries:
    (1) General officers.
    (2) Commanders.
    (3) Active duty soldiers stationed outside the United States, Puerto 
Rico, Guam, the Northern Mariana Islands, American Samoa, and the Virgin 
Islands.
    (4) Active duty soldiers in a training status.
    (5) Active duty soldiers assigned to forces engaged in operations.
    (c) Other active duty soldiers may be exempted from serving on local 
juries if compliance with such summons would have either of the 
following effects:
    (1) It would unreasonably interfere with performance of the 
soldier's military duties; or,
    (2) It would adversely affect the readiness of a summoned soldier's 
unit, command, or activity.



Sec. 516.76  Exemption determination authority.

    (a) The commander exercising special court-martial convening 
authority (SPCMCA) over a unit has the authority to determine whether a 
soldier of that unit, who has been served with a summons, is exempt from 
serving on a state or local jury unless that authority has been limited 
or withheld in accordance with paragraph (b) or (c) of this section. 
This authority may not be delegated to a subordinate commander who does 
not exercise SPCMCA.
    (b) A commander superior to the SPCMCA, who also exercises SPCMCA or 
general court-martial convening authority (GCMCA) over a unit, may limit 
or withhold the exemption determination authority of subordinate 
commanders.
    (c) A GCMCA, who orders a unit or soldier assigned to one command to 
be attached or detailed to another command for disciplinary purposes 
(for example, ``for administration'' or ``for administration of military 
justice''), may reserve exemption determination authority to the 
commander exercising SPCMCA in the chain of command to which the unit or 
soldier is assigned rather than the chain of command to which the unit 
or soldier is attached or detailed.



Sec. 516.77  Procedures for exemption.

    (a) Active duty soldiers served with a summons to serve on a state 
or local jury will promptly advise their commander and provide copies of 
pertinent documents.
    (b) Unit commanders will evaluate the summons considering both the 
individual soldier's duties and the unit mission. Coordination with the 
servicing judge advocate or legal adviser and with the appropriate state 
or local official may be necessary to determine any impact on the 
soldier's duties or on unit readiness.
    (1) If the soldier is not exempt under Sec. 516.75 (b) or (c), the 
commander will process the soldier for permissive TDY in accordance with 
AR 630-5, Leaves and Passes.
    (2) If the soldier is exempt under Sec. 516.75 (b) or (c), the 
commander will forward the summons and any related documentation, with 
recommendations, through the chain of command to the commander with 
exemption determination authority over the soldier concerned.
    (c) The commander with exemption determination authority over the 
soldier concerned will determine whether the soldier is exempt. His 
determination is final.
    (d) The exemption determination authority will notify responsible 
state or local officials whenever a soldier summoned for jury duty is 
exempt. The notification will cite 10 U.S.C. 982 as authority.



Sec. 516.78  Status, fees, and expenses.

    (a) Soldiers who are required to comply with summons to serve on 
state or local juries will be placed on permissive TDY under the 
provisions of AR 630-5.
    (b) Jury fees accruing to soldiers for complying with the summons to 
serve on state and local juries must be turned over to the appropriate 
finance office for deposit into the U.S. Treasury. Commands will 
establish procedures with local authorities and their servicing finance 
and accounting activity to ensure that such jury fees are so

[[Page 115]]

deposited. Soldiers, however, may keep any reimbursement from state or 
local authority for expenses incurred in the performance of jury duty, 
including transportation, meals, and parking.

                   Appendix A to Part 516--References

    Publications referenced in this part can be obtained at the National 
Technical Information Services, U.S. Department of Commerce, 5285 Port 
Royal Road, Springfield, VA 22161.

                          Required Publications

AR 25-55, The Department of the Army Freedom of Information Act Program. 
          (Cited in Secs. 516.40, 516.72)
AR 27-10, Military Justice. (Cited in Sec. 516.4)
AR 27-20, Claims. (Cited in Secs. 516.4, 516.33, 516.22)
AR 27-60, Patents, Inventions, and Copyrights.
AR 37-60, Pricing for Material and Services. (Cited in Sec. 516.43.)
AR 37-103, Finance and Accounting for Installations: Disbursing 
          Operations. (Cited in Sec. 516.22.)
AR 60-20, Operating Policies. (Cited in Sec. 516.22.)
AR 190-9, Absentee Deserter Apprehension Program and Surrender of 
          Military Personnel to Civilian Law Enforcement Agencies. 
          (Cited in Sec. 516.9)
AR 210-47, State and Local Taxation of Lessee's Interest in Wherry Act 
          Housing (Title VIII of the National Housing Act).
AR 215-1, Administration of Army Morale, Welfare, and Recreation 
          Activities and Nonappropriated Fund Instrumentalities. (Cited 
          in Sec. 516.22.)
AR 215-2, The Management and Operation of Army Morale, Welfare, and 
          Recreation Activities and Nonappropriated Fund 
          Instrumentalities. (Cited in Sec. 516.22.)
AR 310-1, Publications, Blank Forms, and Printing Management.
AR 340-21, The Army Privacy Program. (Cited in Secs. 516.40, 516.72.)
AR 380-5, Department of the Army Information Security Program.
AR 405-25, Annexation. (Cited in Sec. 516.22.)
AR 630-5, Leaves and Passes. (Cited in Secs. 516.55, 516.77, 516.78.)
AR 630-10, Absence Without Leave, Desertion, and Administration of 
          Personnel Involved in Civilian Court Proceedings. (Cited in 
          Sec. 516.9)

                          Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand the regulation.
AR 20-1, Inspector General Activities and Procedures. (Cited in 
          Secs. 516.41, 516.72.)
AR 27-1, Judge Advocate Legal Service.
AR 27-3, Legal Assistance. (Cited in Sec. 516.6.)
AR 27-10, Military Justice. (Cited in Secs. 516.4, 516.5, 516.15.)
AR 27-50, Status of Forces Policies, Procedures, and Information. (Cited 
          in Sec. 516.15.)
AR 37-104-3, Military Pay and Allowances Procedures.
AR 37-105, Finance and Accounting for Installations: Civilian Pay 
          Procedures.
AR 55-19, Marine Casualties. (Cited in Sec. 516.22.)
AR 190-29, Misdemeanors and Uniform Violation Notices Referred to U.S. 
          Magistrates or District Courts.
AR 190-40, Serious Incident Report. (Cited in Sec. 516.15.)
AR 210-50, Family Housing Management. (Cited in Sec. 516.37.)
AR 335-15, Management Information Control System. (Cited in 
          Sec. 516.15.)
AR 600-40, Apprehension, Restraint, and Release to Civil Authorities.
AR 600-50, Standards of Conduct for Department of the Army Personnel.
AR 690-700, Personnel Relations and Services. (Cited in Sec. 516.70.)

                             Prescribed Form

DA Form 4, Department of the Army Certification for Authentication of 
          Records. (Prescribed in Sec. 516.25, 516.35.)

                            Referenced Forms

DA Form 2631-R, Medical Care-Third Party Liability Notification.
DA Form 3154, MSA Invoice and Receipt.

                Appendix B to Part 516--Mailing Addresses

    The following is a list of frequently referred to Department of the 
Army Services/Divisions/Offices and their mailing addresses:

COMMANDER (JACS-Z), U.S. ARMY CLAIMS SERVICE, OTJAG, BUILDING 4411, ROOM 
          206, LLEWELLYN AVENUE, FORT GEORGE G. MEADE, MD 20755-5360
    (1) PERSONNEL CLAIMS AND RECOVERY DIVISION (JACS-PC), U.S. ARMY 
CLAIMS SERVICE, OTJAG, BUILDING 4411, ROOM 206, LLEWELLYN AVENUE, FORT 
GEORGE G. MEADE, MD 20755-5360
    (2) TORT CLAIMS DIVISION (JACS-TC), U.S. ARMY CLAIMS SERVICE, OTJAG, 
BUILDING 4411, ROOM 206, LLEWELLYN AVENUE, FORT GEORGE G. MEADE, MD 
20755-5360
CONTRACT APPEALS DIVISION, HQDA(DAJA-CA), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
CONTRACT LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY

[[Page 116]]

          PENTAGON, WASHINGTON, DC 20310-2200
CRIMINAL LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY PENTAGON, 
          WASHINGTON, DC 20310-2200
ENVIRONMENTAL LAW DIVISION, HQDA(DAJA-EL), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
LABOR AND EMPLOYMENT LAW DIVISION, THE JUDGE ADVOCATE GENERAL, 2200 ARMY 
          PENTAGON, WASHINGTON, DC 20310-2200,
LITIGATION DIVISION, HQDA(DAJA-LT), 901 NORTH STUART STREET, ARLINGTON, 
          VA 22203-1837
    (1) CIVILIAN PERSONNEL BRANCH, HQDA(DAJA-LTC), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (2) GENERAL LITIGATION BRANCH, HQDA(DAJA-LTG), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (3) MILITARY PERSONNEL BRANCH, HQDA(DAJA-LTM), 901 NORTH STUART 
STREET, ARLINGTON, VA 22203-1837
    (4) TORT BRANCH, HQDA(DAJA-LTT), 901 NORTH STUART STREET, ARLINGTON, 
VA 22203-1837
PERSONNEL, PLANS, AND TRAINING OFFICE, THE JUDGE ADVOCATE GENERAL, 2200 
          ARMY PENTAGON, WASHINGTON, DC 20310-2200
PROCUREMENT FRAUD DIVISION, HQDA(DAJA-PF), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
INTELLECTUAL PROPERTY DIVISION, HQDA(JALS-IP), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
REGULATORY LAW OFFICE, HQDA(JALS-RL), 901 NORTH STUART STREET, 
          ARLINGTON, VA 22203-1837
THE JUDGE ADVOCATE GENERAL, 2200 ARMY PENTAGON, WASHINGTON, DC 20310-
          2200
THE AJAG FOR CIVIL LAW & LITIGATION, THE JUDGE ADVOCATE GENERAL, 2200 
          ARMY PENTAGON, WASHINGTON, DC 20310-2200
U.S. ARMY TRIAL DEFENSE SERVICE, HQDA(JALS-TD), NASSIF BUILDING, FALLS 
          CHURCH, VA 22041-5013

Appendix C to Part 516--Department of Defense Directive 5405.2, Release 
of Official Information in Litigation and Testimony by DoD Personnel as 
                                Witnesses

                     Department of Defense Directive

                  July 23, 1985, Number 5405.2, GC, DOD

Subject: Release of Official Information in Litigation and Testimony by 
          DoD Personnel as Witnesses
References:
(a) Title 5, United States Code, Sections 301, 552, and 552a
(b) Title 10, United States Code, Section 133
(c) DoD Directive 5220.6, ``Industrial Personnel Security Clearance 
          Program,'' December 20, 1976
(d) DoD Directive 5200.1-R, ``Information Security Program Regulation,'' 
          August 1982, authorized by DoD Directive 5200.1, June 7, 1982
(e) DoD Directive 5230.25, ``Withholding of Unclassified Technical Data 
          from Public Disclosure,'' November 6, 1984
(f) DoD Instruction 7230.7, ``User Charges,'' January 29, 1985
(g) DoD Directive 5400.7-R, ``DoD Freedom of Information Act Program,'' 
          December 1980, authorized by DoD Directive 5400.7, March 24, 
          1980

                               A. Purpose

    Under Section 301 reference (a) and reference (b), this Directive 
establishes policy, assigns responsibilities, and prescribes procedures 
for the release of official DoD information in litigation and for 
testimony by DoD personnel as witnesses during litigation.

                       B. Applicability and Scope

    1. This Directive applies to the Office of the Secretary of Defense 
(OSD), the Military Departments, the Organization of the Joint Chiefs of 
Staff (OJCS), the Unified and Specified Commands, and the Defense 
Agencies (hereafter referred to as ``DoD Components''), and to all 
personnel of such DoD Components.
    2. This Directive does not apply to the release of official 
information or testimony by DoD personnel in the following situations:
    a. Before courts-martial convened by the authority of the Military 
Departments or in administrative proceedings conducted by or on behalf 
of a DoD Component;
    b. Pursuant to administrative proceedings conducted by or on behalf 
of the Equal Employment Opportunity Commission (EEOC) or the Merit 
Systems Protection Board (MSPB), or pursuant to a negotiated grievance 
procedure under a collective bargaining agreement to which the 
Government is a party;
    c. In response to requests by Federal Government counsel in 
litigation conducted on behalf of the United States;
    d. As part of the assistance required in accordance with the Defense 
Industrial Personnel Security Clearance Program under DoD Directive 
5220.6 (reference (c)); or
    e. Pursuant to disclosure of information to Federal, State, and 
local prosecuting and law enforcement authorities, in conjunction with 
an investigation conducted by a DoD criminal investigative organization.

[[Page 117]]

    3. This Directive does not supersede or modify existing laws or DoD 
programs governing the testimony of DoD personnel or the release of 
official DoD information during grand jury proceedings, the release of 
official information not involved in litigation, or the release of 
official information pursuant to the Freedom of Information Act, 5 
U.S.C. Section 552 (reference (a)) or the Privacy Act, 5 U.S.C. Section 
552a (reference (a)), nor does this Directive preclude treating any 
written request for agency records that is not in the nature of legal 
process as a request under the Freedom of Information or Privacy Acts.
    4. This Directive is not intended to infringe upon or displace the 
responsibilities committed to the Department of Justice in conducting 
litigation on behalf of the United States in appropriate cases.
    5. This Directive does not preclude official comment on matters in 
litigation in appropriate cases.
    6. This Directive is intended only to provide guidance for the 
internal operation of the Department of Defense and is not intended to, 
does not, and may not be relied upon to create any right or benefit, 
substantive or procedural, enforceable at law against the United States 
or the Department of Defense.

                             C. Definitions

    1. Demand. Subpoena, order, or other demand of a court of competent 
jurisdiction, or other specific authority for the production, 
disclosure, or release of official DoD information or for the appearance 
and testimony of DoD personnel as witnesses.
    2. DoD Personnel. Present and former U.S. military personnel; 
Service Academy cadets and midshipmen; and present and former civilian 
employees of any Component of the Department of Defense, including 
nonappropriated fund activity employees; non-U.S. nationals who perform 
services overseas, under the provisions of status of forces agreements, 
for the United States Armed Forces; and other specific individuals hired 
through contractual agreements by or on behalf of the Department of 
Defense.
    3. Litigation. All pretrial, trial, and post-trial stages of all 
existing or reasonably anticipated judicial or administrative actions, 
hearings, investigations, or similar proceedings before civilian courts, 
commissions, boards (including the Armed Services Board of Contract 
Appeals), or other tribunals, foreign and domestic. This term includes 
responses to discovery requests, depositions, and other pretrial 
proceedings, as well as responses to formal or informal requests by 
attorneys or others in situations involving litigation.
    4. Official Information. All information of any kind, however 
stored, that is in the custody and control of the Department of Defense, 
relates to information in the custody and control of the Department, or 
was acquired by DoD personnel as part of their official duties or 
because of their official status within the Department while such 
personnel were employed by or on behalf of the Department or on active 
duty with the United States Armed Forces.

                                D. Policy

    It is DoD policy that official information should generally be made 
reasonably available for use in Federal and state courts and by other 
governmental bodies unless the information is classified, privileged, or 
otherwise protected from public disclosure.

                           E. Responsibilities

    1. The General Counsel, Department of Defense (GC, DoD), shall 
provide general policy and procedural guidance by the issuance of 
supplemental instructions or specific orders concerning the release of 
official DoD information in litigation and the testimony of DoD 
personnel as witnesses during litigation.
    2. The Heads of DoD Components shall issue appropriate regulations 
to implement this Directive and to identify official information that is 
involved in litigation.

                              F. Procedures

                           1. Authority to Act

    a. In response to a litigation request or demand for official DoD 
information or the testimony of DoD personnel as witnesses, the General 
Counsels of DoD, Navy, and the Defense Agencies; the Judge Advocates 
General of the Military Departments; and the Chief Legal Advisors to the 
JCS and the Unified and Specified Commands, with regard to their 
respective Components, are authorized--after consulting and coordinating 
with the appropriate Department of Justice litigation attorneys, as 
required--to determine whether official information originated by the 
Component may be released in litigation; whether DoD personnel assigned 
to or affiliated with the Component may be interviewed, contacted, or 
used as witnesses concerning official DoD information or as expert 
witnesses; and what, if any, conditions will be imposed upon such 
release, interview, contact, or testimony. Delegation of this authority, 
to include the authority to invoke appropriate claims of privilege 
before any tribunal, is permitted.
    b. In the event that a DoD Component receives a litigation request 
or demand for official information originated by another Component, the 
receiving Component shall forward the appropriate portions of the 
request or demand to the originating Component for action in accordance 
with this Directive. The receiving Component shall also

[[Page 118]]

notify the requestor, court, or other authority of its transfer of the 
request or demand.
    c. Notwithstanding the provisions of paragraphs F.1.a. and b., the 
GC, DoD, in litigation involving terrorism, espionage, nuclear weapons, 
intelligence means or sources, or otherwise as deemed necessary, may 
notify Components that GC, DoD, will assume primary responsibility for 
coordinating all litigation requests and demands for official DoD 
information or the testimony of DoD personnel, or both; consulting with 
the Department of Justice, as required; and taking final action on such 
requests and demands.

                         2. Factors to Consider

    In deciding whether to authorize the release of official DoD 
information or the testimony of DoD personnel concerning official 
information (hereinafter referred to as ``the disclosure'') pursuant to 
paragraph F.1., DoD officials should consider the following types of 
factors:
    a. Whether the request or demand is unduly burdensome or otherwise 
inappropriate under the applicable court rules;
    b. Whether the disclosure, including release in camera, is 
appropriate under the rules of procedure governing the case or matter in 
which the request or demand arose;
    c. Whether the disclosure would violate a statute, executive order, 
regulation, or directive;
    d. Whether the disclosure, including release in camera, is 
appropriate or necessary under the relevant substantive law concerning 
privilege;
    e. Whether the disclosure, except when in camera and necessary to 
assert a claim of privilege, would reveal information properly 
classified pursuant to the DoD Information Security Program under DoD 
5200.1-R (reference (d)), unclassified technical data withheld from 
public release pursuant to DoD Directive 5230.25 (reference (e)), or 
other matters exempt from unrestricted disclosure; and
    f. Whether disclosure would interfere with ongoing enforcement 
proceedings, compromise constitutional rights, reveal the identity of an 
intelligence source or confidential informant, disclose trade secrets or 
similarly confidential commercial or financial information, or otherwise 
be inappropriate under the circumstances.

             3. Decisions on Litigation Requests and Demands

    a. Subject to paragraph F.3.e., DoD personnel shall not, in response 
to a litigation request or demand, produce, disclose, release, comment 
upon, or testify concerning any official DoD information without the 
prior written approval of the appropriate DoD official designated in 
paragraph F.1. Oral approval may be granted, but a record of such 
approval shall be made and retained in accordance with the applicable 
implementing regulations.
    b. If official DoD information is sought, through testimony or 
otherwise, by a litigation request or demand, the individual seeking 
such release or testimony must set forth, in writing and with as much 
specificity as possible, the nature and relevance of the official 
information sought. Subject to paragraph F.3.e., DoD personnel may only 
produce, disclose, release, comment upon, or testify concerning those 
matters that were specified in writing and properly approved by the 
appropriate DoD official designated in paragraph F.1. See United States 
ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).
    c. Whenever a litigation request or demand is made upon DoD 
personnel for official DoD information or for testimony concerning such 
information, the personnel upon whom the request or demand was made 
shall immediately notify the DoD official designated in paragraph F.1. 
for the Component to which the individual contacted is or, for former 
personnel, was last assigned. In appropriate cases, the responsible DoD 
official shall thereupon notify the Department of Justice of the request 
or demands. After due consultation and coordination with the Department 
of Justice, as required, the DoD official shall determine whether the 
individual is required to comply with the request or demand and shall 
notify the requestor or the court or other authority of the 
determination reached.
    d. If, after DoD personnel have received a litigation request or 
demand and have in turn notified the appropriate DoD official in 
accordance with paragraph F.3.c., a response to the request or demand is 
required before instructions from the responsible official are received, 
the responsible official designated in paragraph F.1. shall furnish the 
requestor or the court or other authority with a copy of this Directive 
and applicable implementing regulations, inform the requestor or the 
court or other authority that the request or demand is being reviewed, 
and seek a stay of the request or demand pending a final determination 
by the Component concerned.
    e. If a court of competent jurisdiction or other appropriate 
authority declines to stay the effect of the request or demand in 
response to action taken pursuant to paragraph F.3.d., or if such court 
or other authority orders that the request or demand must be complied 
with notwithstanding the final decision of the appropriate DoD official, 
the DoD personnel upon whom the request or demand was made shall notify 
the responsible DoD official of such ruling or order. If the DoD 
official determines that no further legal review of or challenge to the 
court's ruling

[[Page 119]]

or order will be sought, the affected DoD personnel shall comply with 
the request, demand, or order. If directed by the appropriate DoD 
official, however, the affected DoD personnel shall respectfully decline 
to comply with the demand. See United States ex rel. Touhy v. Ragen, 340 
U.S. 462 (1951).

                                 4. Fees

    Consistent with the guidelines in DoD Instruction 7230.7 (reference 
(f)), the appropriate officials designated in paragraph F.1. are 
authorized to charge reasonable fees, as established by regulation and 
to the extent not prohibited by law, to parties seeking, by request or 
demand, official DoD information not otherwise available under the DoD 
Freedom of Information Act Program (reference (g)). Such fees, in 
amounts calculated to reimburse the Government for the expense of 
providing such information, may include the costs of time expended by 
DoD employees to process and respond to the request or demand; attorney 
time for reviewing the request or demand and any information located in 
response thereto and for related legal work in connection with the 
request or demand; and expenses generated by materials and equipment 
used to search for, produce, and copy the responsive information. See 
Oppenheimer Fund, Inc. v. Sanders, 437 U.S. 340 (1978).

                     5. Expert or Opinion Testimony

    DoD personnel shall not provide, with or without compensation, 
opinion or expert testimony concerning official DoD information, 
subjects, or activities, except on behalf of the United States or a 
party represented by the Department of Justice. Upon a showing by the 
requestor of exceptional need or unique circumstances and that the 
anticipated testimony will not be adverse to the interests of the 
Department of Defense or the United States, the appropriate DoD official 
designated in paragraph F.1. may, in writing, grant special 
authorization for DoD personnel to appear and testify at no expense to 
the United States. If, despite the final determination of the 
responsible DoD official, a court of competent jurisdiction, or other 
appropriate authority, orders the appearance and expert or opinion 
testimony of DoD personnel, the personnel shall notify the responsible 
DoD official of such order. If the DoD official determines that no 
further legal review of or challenge to the court's order will be 
sought, the affected DoD personnel shall comply with the order. If 
directed by the appropriate DoD official, however, the affected DoD 
personnel shall respectfully decline to comply with the demand. See 
United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951).

                  G. Effective Date and Implementation

    This Directive is effective immediately. Forward two copies of 
implementing documents to the General Counsel, DoD, within 120 days.

Signed by William H. Taft, IV
    Deputy Secretary of Defense.

    Appendix D to Part 516--Department of Defense Directive 7050.5, 
Coordination of Remedies for Fraud and Corruption Related to Procurement 
                               Activities

                     Department of Defense Directive

                  June 7, 1989, Number 7050.5, IG, DOD

Subject: Coordination of Remedies for Fraud and Corruption Related to 
          Procurement Activities
References:
(a) DoD Directive 7050.5, subject as above, June 28, 1985 (hereby 
          canceled)
(b) Public Law 97-291, ``The Victim and Witness Protection Act of 
          1982,'' October 12, 1982
(c) Defense FAR Supplement (DFARS), Subpart 4.6, ``Contract Reporting''
(d) DoD Instruction 4105.61, ``DoD Procurement Coding Manual,'' May 4, 
          1973
(e) DoD 4105.61-M, ``Procurement Coding Manual'' (Volume I), October 
          1988, authorized by DoD Instruction 4105.61 May 4, 1973

                        A. Reissuance and Purpose

    This Directive reissues reference (a) to update policies, 
procedures, and responsibilities for the coordination of criminal, 
civil, administrative, and contractual remedies stemming from 
investigation of fraud or corruption related to procurement activities. 
More effective and timely communication of information developed during 
such investigations will enable the Department of Defense to take the 
most appropriate of the available measures.

                            B. Applicability

    This Directive applies to the Office of the Secretary of Defense 
(OSD); the Inspector General, Department of Defense (IG, DoD); the 
Military Departments; the Defense Agencies; and the DoD Field Activities 
(hereafter referred to collectively as ``DoD Components'').

                             C. Definitions

    1. DoD Criminal Investigative Organizations. Refers to the U.S. Army 
Criminal Investigation Command; the Naval Investigative Service Command; 
the U.S. Air Force Office of Special Investigations; and the Defense 
Criminal Investigative Service, Office of the IG, DoD (OIG, DoD).

[[Page 120]]

    2. Significant. Refers to all fraud cases involving an alleged loss 
of $100,000, or more; all corruption cases related to procurement that 
involved bribery, gratuities, or conflicts of interest; and any 
investigation into defective products or product substitution in which a 
SERIOUS HAZARD to health, safety, or operational readiness is indicated, 
regardless of loss value.

                                D. Policy

    It is DoD policy that:
    1. Each of the DoD Components shall monitor, from its inception, all 
significant investigations of fraud or corruption related to procurement 
activities affecting its organizations, for the purpose of ensuring that 
all possible criminal, civil, administrative, and contractual remedies 
in such cases are identified to cognizant procurement and command 
officials and that appropriate remedies are pursued expeditiously. This 
process shall include appropriate coordination with all other affected 
DoD Components.
    2. All investigations of fraud or corruption related to procurement 
activities shall be reviewed to determine and implement the appropriate 
contractual and administrative actions that are necessary to recover 
funds lost through fraud or corruption and to ensure the integrity of 
DoD programs and operations.
    3. Appropriate civil, contractual, and administrative actions, 
including those set forth in enclosure 1, shall be taken expeditiously. 
During an investigation and before prosecution or litigation, and when 
based in whole or in part on evidence developed during an investigation, 
such actions shall be taken with the advance knowledge of the 
responsible DoD criminal investigative organization and, when necessary, 
the appropriate legal counsel in the Department of Defense and the 
Department of Justice (DoJ). When appropriate, such actions shall be 
taken before final resolution of the criminal or civil case.

                           E. Responsibilities

    1. The Heads of DoD Components shall:
    a. Establish a centralized organization (hereafter referred to as 
``the centralized organization'') to monitor and ensure the coordination 
of criminal, civil, administrative, and contractual remedies for each 
significant investigation of fraud or corruption related to procurement 
activities affecting the DoD Component.
    b. Establish procedures requiring the centralized organization to 
discuss regularly with the assigned DoD criminal investigative 
organization(s) such issues as the current status of significant 
investigations and their coordination with prosecutive authorities.
    c. Establish procedures requiring that all coordination involving 
the DoJ, during the pendency of a criminal investigation, is 
accomplished by or with the advance knowledge of the appropriate DoD 
criminal investigative organization(s).
    d. Establish procedures to ensure appropriate coordination of 
actions between the centralized organizations of any DoD Components 
affected by a significant investigation of fraud or corruption related 
to procurement activities.
    e. Establish procedures to ensure that all proper and effective 
civil, administrative, and contractual remedies available to the 
Department of Defense are, when found applicable and appropriate, 
considered and undertaken promptly by the necessary DoD officials (e.g., 
commanders, programs officials, and contracting officers). This includes 
initiation of any suspension and debarment action within 30 days of an 
indictment or conviction. The centralized organization shall ensure that 
all proposed actions are coordinated with appropriate investigative 
organization.
    f. Establish procedures to ensure that a specific comprehensive 
remedies plan is developed for each significant investigation involving 
fraud or corruption related to procurement activities. These procedures 
shall include the participation of the appropriate DoD criminal 
investigative organization in the development of the plan.
    g. Establish procedures to ensure that in those significant 
investigations of fraud or corruption related to procurement activities 
when adverse impact on a DoD mission can be determined, such adverse 
impact is identified and documented by the centralized organization. 
This information is to be used by the centralized organization of the 
DoD Component concerned in development of the remedies plan required in 
paragraph E.1.f., above, and shall be furnished to prosecutors as stated 
in paragraph E.2.e., below. The information shall also be used by the 
centralized organizations in development and preparation of ``Victim 
Impact Statements'' for use in sentencing proceedings, as provided for 
P.L. 97-291 (reference (b)). Some examples of adverse impact on a DoD 
mission are as follows:
    (1) Endangerment of personnel or property.
    (2) Monetary loss.
    (3) Denigration of program or personnel integrity.
    (4) Compromise of the procurement process.
    (5) Reduction or loss of mission readiness.
    h. Ensure training materials are developed on fraud and corruption 
in the procurement process, and that all procurement and procurement-
related training includes a period of such instruction appropriate to 
the duration and nature of the training.
    i. Establish procedures enabling the centralized organization to 
ensure that safety

[[Page 121]]

and readiness issues are examined and appropriately dealt with for all 
cases in which a notice is required under paragraph E.2.i., below. The 
minimum procedures to be followed by the centralized organization are in 
enclosure 3.
    j. Ensure that appropriate command, procurement, and investigative 
organizations are provided sufficient information to determine if 
further inquiry is warranted on their part to prevent reoccurrence and 
detect other possible fraud within their activity.
    2. The Secretaries of the Military Departments and the Inspector 
General, Department of Defense (IG, DoD), or their designees, shall 
establish procedures that ensure that their respective criminal 
investigative organizations will:
    a. Notify, in writing, the centralized organization for the affected 
DoD Component of the start of all significant investigations involving 
fraud or corruption that are related to procurement activities. Initial 
notification shall include the following elements:
    (1) Case title.
    (2) Case control number.
    (3) Investigative agency and office of primary responsibility.
    (4) Date opened.
    (5) Predication.
    (6) Suspected offense(s).
    b. Notify expeditiously the Defense Investigative Service (DIS) of 
any investigations that develop evidence that would impact on DoD-
cleared industrial facilities or personnel.
    c. Discuss regularly with the centralized organization such issues 
as the current status of significant investigations and their 
coordination with prosecutive authorities. If the DoD criminal 
investigative organization has prepared any documents summarizing the 
current status of the investigation, such documents shall be provided to 
the centralized organization. Completed reports of significant 
investigations also should be provided to the centralized organization.
    d. Provide to the appropriate procurement officials, commanders, and 
suspension and debarment authorities, when needed to allow consideration 
of applicable remedies, any court records, documents, or other evidence 
of fraud or corruption related to procurement activities. Such 
information shall be provided in a timely manner to enable the 
suspension and debarment authority to initiate suspension and debarment 
action within 30 days of an indictment or conviction.
    e. Provide expeditiously to prosecutive authorities the information 
regarding any adverse impact on a DoD mission, that is gathered under 
paragraph E.1.g., above, for the purpose of enhancing the 
prosecutability of a case. Such information also should be used in 
preparing a victim impact statement for use in sentencing proceedings as 
provided for in Public Law 97-291.
    f. Gather, at the earliest practical point in the investigation, 
without reliance on grand jury subpoenas whenever possible, relevant 
information concerning responsible individuals, the organizational 
structure, finances, and contract history of DoD contractors under 
investigation for fraud or corruption related to procurement activities, 
to facilitate the criminal investigation as well as any civil, 
administrative, or contractual actions or remedies that may be taken. 
Some available sources of such information are listed in enclosure 2.
    g. Provide timely notice to other cognizant DoD criminal 
investigative organizations of evidence of fraud by a contractor, 
subcontractor, or employees of either, on current or past contracts 
with, or affecting, other DoD Components.
    h. Ascertain the impact upon any ongoing investigation or 
prosecution of civil, contractual, and administrative actions being 
considered and advise the appropriate centralized organization of any 
adverse impact.
    i. Obtain a DD 350 report in every investigation into defective 
products or product substitution in which a SERIOUS HAZARD to health, 
safety, or operational readiness is indicated. Timely notification shall 
be made to the centralized organization of each DoD Component that is 
identified as having contract actions with the subject of the 
investigation.
    j. Obtain a DD 350 report in all significant fraud investigations, 
as defined in subsection C.2. above, whether or not the case involved 
defective products or product substitution. Timely notification shall be 
made to the centralized organization of each DoD Component that is 
identified as having contract actions with the subject of the 
investigation.
    3. The Inspector General, Department of Defense (IG, DoD), shall:
    a. Develop training materials relating to fraud and corruption in 
procurement related activities which shall be utilized in all 
procurement related training in conjunction with training materials 
developed by the DoD Components. (See paragraph E.1.h., above.)
    b. Establish procedures for providing to the DoD criminal 
investigative organizations, through the Office of the Assistant 
Inspector General for Auditing (OAIG-AUD), reports of data contained in 
the Individual Procurement Action Report (DD Form 350) System.

                              F. Procedures

    Transmissions of information by DoD criminal investigative 
organizations required by subsection E.2., above, shall be made as 
expeditiously as possible, consistent with efforts not to compromise any 
ongoing criminal investigation. The transmission of the information may 
be delayed when, in the judgment of the head of the DoD criminal 
investigative organization, failure to delay

[[Page 122]]

would compromise the success of any investigation or prosecution. The 
prosecutive authorities dealing with the investigation shall be 
consulted, when appropriate, in making such determinations.

                  G. Effective Date and Implementation

    This Directive is effective immediately. Forward two copies of 
implementing documents to the Inspector General, Department of Defense, 
within 120 days.

Donald J. Atwood,
    Deputy Secretary of Defense.

                              Enclosures--3

    1. Civil Contractual and Administrative Actions That Can Be Taken in 
Response to Evidence of Procurement Fraud
    2. Sources of Information Relating to Government Contractors
    3. Actions to be Taken in Product Substitution Investigations

  Civil, Contractual, and Administrative Actions That Can Be Taken in 
                Response to Evidence of Procurement Fraud

                                A. Civil

                              1. Statutory

    a. False Claims Act (31 USC 3729 et seq.).
    b. Anti-Kickback Act (41 USC 51 et seq.).
    c. Voiding Contracts (18 USC 218).
    d. Truth in Negotiations Act (10 USC 2306(f)).
    e. Fraudulent Claims-Contract Disputes Act (41 USC 604)

                             2. Nonstatutory

    a. Breach of contract.
    b. Breach of warranty.
    c. Money paid under mistake of fact.
    d. Unjust enrichment.
    e. Fraud and/or Deceit.
    f. Conversion.
    g. Recision and/or Cancellation.
    h. Reformation.
    i. Enforcement of performance bond/guarantee agreement.

                             3. Contractual

    a. Termination of contract for default.
    b. Termination of contract for convenience of Government.
    c. Termination for default and exemplary damages under the 
gratuities clause.
    d. Recision of contract.
    e. Contract warranties.
    f. Withholding of payments to contractor.
    g. Offset of payments due to contractor from other contracts.
    h. Price reduction.
    i. Correction of defects (or cost of correction).
    j. Refusal to accept nonconforming goods.
    k. Revocation of acceptance.
    l. Denial of claims submitted by contractors.
    m. Disallowance of contract costs.
    n. Removal of the contractor from automated solicitation or payment 
system.

                            4. Administrative

    a. Change in contracting forms and procedures.
    b. Removal or reassignment of Government personnel.
    c. Review of contract administration and payment controls.
    d. Revocation of warrant contracting officer.
    e. Suspension of contractor and contractor employees.
    f. Debarment of contractor and contractor employees.
    g. Revocation of facility security clearances.
    h. Nonaward of contract based upon a finding of contractor 
nonresponsibility.
    i. Voluntary refunds.

        Sources of Information Relating to Government Contractors       
------------------------------------------------------------------------
          Type of information                    Possible source        
------------------------------------------------------------------------
Location, dollar value, type, and        a. DD Form 350 Report.\1\      
 number of current contracts with the    b. Defense Logistics Agency's  
 Department of Defense.                   (DLA) ``Contract              
                                          Administration Defense        
                                          Logistics Agency's (DLA)      
                                          Contract Administration Report
                                          (CAR Report) on contracts DLA 
                                          administers.                  
2. Financial status of corporation,      a. Dunn and Bradstreet Reports.
 history of corporation, owners, and     b. Corporate filings with local
 officers.                                secretaries of the State, or  
                                          corporate recorders.          
                                         c. Securities and Exchange     
                                          Commission (public            
                                          corporations).                
                                         d. Small Business              
                                          Administration (SBA) (small   
                                          businesses).                  
                                         e. General Accounting Office   
                                          (bid protests, and contractors
                                          indebted to the Government).  
                                         f. Armed Services Board of     
                                          Contract Appeals (ASBCA) or   
                                          court litigation.             
                                         g. List of Contractors Indebted
                                          to the United States          
                                          (maintained, published and    
                                          distributed by the U.S. Army  
                                          Finance and Accounting Center,
                                          Indianapolis, Indiana 46249). 
3. Security clearance background         a. Defense Investigative       
 information on facility and officers.    Service.                      
4. Performance history of contractor...  a. Local contracting officers. 

[[Page 123]]

                                                                        
                                         b. Defense Contract            
                                          Administration Service        
                                          preaward surveys.             
                                         c. SBA Certificate of          
                                          Competency records.           
5. Name, location, offense alleged, and  DLA Automated Criminal Case    
 previous investigative efforts           Management System. (Available 
 involving DLA-awarded or DLA-            through field offices of the  
 administered contracts.                  DLA Counsel's office.)        
6. Bid protests, litigation, and         Field offices of the DLA       
 bankruptcy involving DLA-awarded or      Counsel's office.             
 DLA-administered contracts.                                            
------------------------------------------------------------------------
\1\ A determination as to the contract history of any DoD contractor    
  with contracts in excess of $25,000 annually can be made through a    
  review of the ``Individual Procurement Action Report'' (DD Form 350)  
  system, as prescribed by Subpart 4.6 of the DoD FAR Supplement, DoD   
  Instruction 4105.61, and DoD 4105.61-M (references (c), (d), and (e)).

       Actions to be Taken in Product Substitution Investigations

    A. The centralized organization, in all cases involving allegations 
of product substitution in which a SERIOUS HAZARD to health, safety, or 
operational readiness is indicated shall:
    1. Review the notice of the case immediately after receiving it from 
the Defense criminal investigative organization. Review the notice to 
determine any potential safety or readiness issues indicated by the 
suspected fraud.
    2. Notify all appropriate safety, procurement, and program officials 
of the existence of the case.
    3. Obtain a complete assessment from safety, procurement, and 
program officials of the adverse impact of the fraud on DoD programs and 
operations.
    4. Ensure that the DoD Component provides the Defense criminal 
investigative organization with full testing support to completely 
identify the defective nature of the substituted products. Costs 
associated with the testing shall be assumed by the appropriate 
procurement program.
    5. Prepare a comprehensive impact statement describing the adverse 
impact of the fraud on DoD programs for use in any criminal, civil, or 
contractual action related to the case.
    B. In all cases involving allegations of product substitution that 
affect more than one DoD Component, that centralized organizations of 
the affected DoD Components shall identify a lead Agency. The lead 
centralized organization shall ensure that information on the fraud is 
provided to the centralized organization of all other affected DoD 
Components. The lead centralized organization shall ensure compliance 
with the requirements of section A., above. The lead centralized 
organization shall then be responsible for preparing a comprehensive 
``Victim Impact Statement'' as required by paragraph E.1.g. of this 
Directive.
    C. In all cases involving allegations of product substitution, the 
Defense Criminal Investigative Organization shall:
    1. Immediately notify the appropriate centralized organization of 
the beginning of the case.
    2. Continue to provide to the centralized organization any 
information developed during the course of the investigation that 
indicates substituted products have been, or might be, provided to the 
Department of Defense.
    3. Ensure that any request for testing of substituted products is 
provided to the centralized organization.

    Appendix E to Part 516--Department of Defense Directive 5505.5, 
         Implementation of the Program Fraud Civil Remedies Act

    DOD Directive 5505.5 is contained in 32 CFR part 277.

                    Appendix F to Part 516--Glossary

                              Abbreviations

AAFES: Army and Air Force Exchange Service
AMEDD: Army Medical Department
AFARS: Army Federal Acquisition Regulation Supplement
ASBCA: Armed Services Board of Contract Appeals
AUSA: Assistant United States Attorney
CFR: Code of Federal Regulations
COE: United States Army Corps of Engineers
DA: Department of the Army
DFARS: Defense Federal Acquisition Regulation Supplement
DOD: Department of Defense
DOJ: Department of Justice. In this regulation, reference to DOJ means 
          either United States Attorneys' Offices or The (main) 
          Department of Justice in Washington, DC
DCIS: Defense Criminal Investigative Service
e.g.: An abbreviation for exempli gratia, meaning ``for example''
et seq.: An abbreviation for et sequentes, meaning ``and the following''
FAR: Federal Acquisition Regulation
FAX: Facsimile Transmission
FBI: Federal Bureau of Investigation

[[Page 124]]

Fed. R. Civ. P.: Federal Rules of Civil Procedure
Fed. R. Crim. P.: Federal Rules of Criminal Procedure
FOIA: Freedom of Information Act
GAO: General Accounting Office
HQDA: Headquarters, Department of the Army
i.e.: An abbreviation for id est, meaning ``that is''
IG: Inspector General
JA: Judge Advocate
MACOM: Major Command
MSPB: Merit Systems Protection Board
NAF: Nonappropriated Fund
OTJAG: Office of The Judge Advocate General
OSC: Office of Special Counsel
PFA: Procurement Fraud Advisor
PFCRA: Program Fraud Civil Remedies Act
PFD: Procurement Fraud Division
PFI: Procurement Fraud or Irregularities
RJA: Recovery Judge Advocate
SAUSA: Special Assistant U.S. Attorney
SJA: Staff Judge Advocate
TDY: temporary Duty
TJAG: The Judge Advocate General
UCMJ: Uniform Code of Military Justice
USACIDC: U.S. Army Criminal Investigation Command
USALSA: U.S. Army Legal Services Agency
USARCS: U.S. Army Claims Service
USATDS: U.S. Army Trial Defense Service
USMA: United States Military Academy
U.S.C.: United States Code

                                  Terms

                               Active Duty

    Full-time duty in the active military service of the United States. 
Includes: full-time training duty; annual training duty; active duty for 
training; attendance, while in the active military service, at a school 
designated as a Service School by law or by the Secretary of the 
military department concerned; and, attendance, while in the active 
military service, at advanced civil schooling and training with 
industry. It does not include full-time National Guard duty under Title 
32, United States Code.

                             Army Activities

    Activities of or under the control of the Army, one of its 
instrumentalities, or the Army National Guard, including activities for 
which the Army has been designated the administrative agency, and those 
designated activities located in an area in which the Army has been 
assigned single service claims responsibility by DOD directive.

                              Army Property

    Real or personal property of the United States or its 
instrumentalities and, if the United States is responsible therefore, 
real or personal property of a foreign government which is in the 
possession or control of the Army, one of its instrumentalities, or the 
Army National Guard, including property of an activity for which the 
Army has been designated the administrative agency, and property located 
in an area in which the Army has been assigned single service claims 
responsibility.

                        Centralized Organization

    That organization of a DOD component responsible for coordinating 
and monitoring of criminal, civil, contractual, and administrative 
remedies relating to contract fraud. For DOD components other than the 
Army, the Centralized organizations are as follows: the Office of 
General Counsel, Department of the Air Force; the Office of the 
Inspector General, Department of the Navy; and the Office of General 
Counsel, Defense Logistics Agency.

                                  Claim

    The Government's right to recover money or property from any 
individual, partnership, association, corporation, governmental body, or 
other legal entity (foreign and domestic) except an instrumentality of 
the United States. A claim against several joint debtors or tortfeasors 
arising from a single transaction or incident will be considered one 
claim.

                             Claims Officer

    A commissioned officer, warrant officer, or qualified civilian 
employee designated by the responsible commander and trained or 
experienced in the conduct of investigations and the processing of 
claims.

                               Corruption

    Practices that include, but are not limited to, solicitation, offer, 
payment, or acceptance of bribes or gratuities; kickbacks; conflicts of 
interest; or unauthorized disclosure of official information related to 
procurement matters.

                        Counsel for Consultation

    An attorney, provided by DA at no expense to the military member or 
civilian employee, who will provide legal advice to the witness 
concerning the authority of OSC, the nature of an OSC interview and 
their individual rights and obligations. The counsel may accompany the 
witness to the interview and advise the witness during the interview. No 
attorney-client relationship is established in this procedure.

[[Page 125]]

                       Counsel for Representation

    An attorney, provided by DA at no expense to the military member or 
civilian employee, who will act as the individual's lawyer in all 
contacts with the MSPB and the OSC during the pendancy of the OSC 
investigation and any subsequent OSC initiated action before the MSPB. 
An attorney-client relationship will be established between the 
individual and counsel for representation.

                              DA Personnel

    DA personnel includes the following:
    a. Military and civilian personnel of the Active Army and The U.S. 
Army Reserve.
    b. Soldiers of the Army National Guard of the United States (Title 
10, U.S.C.) and, when specified by statute or where a Federal interest 
is involved, soldiers in the Army National Guard (Title 32, U.S.C.). It 
also includes technicians under 32 U.S.C. 709(a)(d).
    c. USMA cadets.
    d. Nonappropriated fund employees.
    e. Foreign nationals who perform services for DA overseas.
    f. Other individuals hired by or for the Army.

                                Debarment

    Administrative action taken by a debarring authority to exclude a 
contractor from Government contracting and Government-approved 
subcontracting for a specified period.

                      Deciding Official (Chapter 7)

    SJA, legal adviser, or Litigation Division attorney who makes the 
final determination concerning release of official information.

                DOD Criminal Investigation Organizations

    Refers to the USACIDC; the Naval Investigative Service; the U.S. Air 
Force Office of Special Investigations; and the Defense Criminal 
Investigative Service, Office of the Inspector General, DOD.

                                  Fraud

    Any intentional deception of DOD (including attempts and 
conspiracies to effect such deception) for the purpose of inducing DOD 
action or reliance on that deception. Such practices include, but are 
not limited to, the following: bid-rigging; making or submitting false 
statements; submission of false claims; use of false weights or 
measures; submission of false testing certificates; adulterating or 
substituting materials; or conspiring to use any of these devices.

                       Improper or Illegal Conduct

    a. A violation of any law, rule, or regulation in connection with 
Government misconduct; or
    b. Mismanagement, a gross waste of funds, an abuse of authority, or 
a substantial and specific danger to public health or safety.

              Information Exempt From Release To The Public

    Those categories of information which may be withheld from the 
public under one or more provisions of law.

                             Judge Advocate

    An officer so designated (AR 27-1).

                              Legal Adviser

    A civilian attorney who is the principal legal adviser to the 
commander or operating head of any Army command or agency.

                               Litigation

    Legal action or process involving civil proceedings, i.e., 
noncriminal.

          Litigation in Which The United States Has an Interest

    a. A suit in which the United States or one of its agencies or 
instrumentalities has been, or probably will be, named as a party.
    b. A suit against DA personnel and arises out of the individual's 
performance of official duties.
    c. A suit concerning an Army contract, subcontract, or purchase 
order under the terms of which the United States may be required to 
reimburse the contractor for recoveries, fees, or costs of the 
litigation.
    d. A suit involving administrative proceedings before Federal, 
state, municipal, or foreign tribunals or regulatory bodies that may 
have a financial impact upon the Army.
    e. A suit affecting Army operations or which might require, limit, 
or interfere with official action.
    f. A suit in which the United States has a financial interest in the 
plaintiff's recovery.
    g. Foreign litigation in which the United States is bound by treaty 
or agreement to ensure attendance by military personnel or civilian 
employees.

                              Medical Care

    Includes hospitalization, outpatient treatment, dental care, nursing 
service, drugs, and other adjuncts such as prostheses and medical 
appliances furnished by or at the expense of the United States.

                               Misdemeanor

    An offense for which the maximum penalty does not exceed 
imprisonment for 1 year. Misdemeanors include those offenses categorized 
as petty offenses (18 USC Sec. 3559).

                          Official Information

    All information of any kind, however stored, that is in the custody 
and control of

[[Page 126]]

the Department of Defense, relates to information in the custody and 
control of the Department, or was acquired by DoD personnel as part of 
their official duties or because of their official status within the 
Department while such personnel were employed by or on behalf of the 
Department or on active duty with the United States Armed Forces.

                            Operating Forces

    Those forces whose primary missions are to participate in combat and 
the integral supporting elements thereof. Within DA, the operating 
forces consist of tactical units organized to conform to tables of 
organization and equipment (TOE).

                            Personnel Action

    These include--
    a. Appointment.
    b. Promotion.
    c. Adverse action under 5 U.S.C. 7501 et seq. or other disciplinary 
or corrective action.
    d. Detail, transfer, or reassignment.
    e. Reinstatement.
    f. Restoration.
    g. Reemployment.
    h. Performance evaluation under 5 U.S.C. 4301 et seq.
    i. Decision concerning pay, benefits, or awards, or concerning 
education or training if the education or training may reasonably be 
expected to lead to an appointment, promotion, performance evaluation, 
or other personnel action.
    j. Any other significant change in duties or responsibilities that 
is inconsistent with the employee's salary or grade level.

                           Private Litigation

    Litigation other than that in which the United States has an 
interest.

                                 Process

    The legal document that compels a defendant in an action to appear 
in court; e.g., in a civil case a summons or subpoena, or in a criminal 
case, a warrant for arrest, subpoena or summons.

                      Prohibited Personnel Practice

    Action taken, or the failure to take action, by a person who has 
authority to take, direct others to take, recommend, or approve any 
personnel action--
    a. That discriminates for or against any employee or applicant for 
employment on the basis of race, color, religion, sex, national origin, 
age, handicapping condition, marital status, or political affiliation, 
as prohibited by certain specified laws.
    b. To solicit or consider any recommendation or statement, oral or 
written, with respect to any individual who requests, or is under 
consideration for, any personnel action, unless the recommendation or 
statement is based on the personal knowledge or records of the person 
furnishing it, and consists of an evaluation of the work performance, 
ability, aptitude, or general qualifications of the individual, or an 
evaluation of the character, loyalty, or suitability of such individual.
    c. To coerce the political activity of any person (including the 
providing of any political contribution or service), or take any action 
against any employee or applicant for employment as a reprisal for the 
refusal of any person to engage in such political activity.
    d. To deceive or willfully obstruct any person with respect to such 
person's right to compete for employment.
    e. To influence any person to withdraw from competition for any 
position for the purpose of improving or injuring the prospects of any 
other person for employment.
    f. To grant any preference or advantage not authorized by law, rule, 
or regulation to any employee or applicant for employment (including 
defining the scope or manner of competition or the requirements for any 
position) for the purpose of improving or injuring the prospects of any 
particular person for employment.
    g. To appoint, employ, promote, advance, or advocate for 
appointment, employment, promotion, or advancement, in or to a civilian 
position any individual who is a relative (as defined in 5 U.S.C. 3110) 
of the employee, if the position is in the agency in which the employee 
is serving as a public official or over which the employee exercises 
jurisdiction or control as an official.
    h. To take or fail to take a personnel action with respect to any 
employee or applicant for employment as a reprisal for being a 
whistleblower, as defined below.
    i. To take or fail to take a personnel action against an employee or 
applicant for employment as a reprisal for the exercise of any appeal 
right granted by law, rule, or regulation.
    j. To discriminate for or against any employee or applicant for 
employment on the basis of conduct that does not adversely affect the 
performance of the employee or applicant or the performance of others.
    k. To take or fail to take any other personnel action if the taking 
of, or failure to take, such action violates any law, rule, or 
regulation implementing, or directly concerning, the merit system 
principles contained in 5 U.S.C. 2301.

                         Prosecutive Authorities

    These include--
    a. A U.S. Attorney;
    b. A prosecuting attorney of a State or other political subdivision 
when the U.S. Attorney has declined to exercise jurisdiction over a 
particular case or class of cases; and

[[Page 127]]

    c. An SJA of a general court-martial convening authority considering 
taking action against a person subject to the UCMJ.

                               Recovery JA

    A JA or legal adviser responsible for assertion and collection of 
claims in favor of the United States for property claims and medical 
expenses.

                Significant Case of Fraud and Corruption

    A procurement fraud case involving an alleged loss of $100,000 or 
more; all corruption cases related to procurement that involve bribery, 
gratuities, or conflicts of interest; any defective products or product 
substitution in which a serious hazard to health, safety or operational 
readiness is indicated, regardless of loss value; and, any procurement 
fraud case that has received or is expected to receive significant media 
coverage.

                          Staff Judge Advocate

    An officer so designated (AR 27-1). The SJA of an installation, a 
command or agency reporting directly to HQDA, or of a major subordinate 
command of the U.S. Army Materiel Command, and the senior Army JA 
assigned to a joint or unified command.

                                Subpoena

    A process to cause a witness to appear and give testimony, e.g., at 
a trial, hearing, or deposition.

                               Suspension

    Administrative action taken by a suspending authority to temporarily 
exclude a contractor from Government contracting and Government-approved 
subcontracting.

                  Suspension and Debarment Authorities

    Officials designated in DFARS, section 9.403, as the authorized 
representative of the Secretary concerned.

                               Tortfeasor

    A wrongdoer; one who commits a tort.

                     Appendix G to Part 516--Figures

    This appendix contains figures cited or quoted throughout the text 
of this part.

     Figure C-1. Sample Answer to Judicial Complaint, With Attached 
                         Certificate of Service

    In the United States District Court for the Southern District of 
Texas Corpus Christi Division, No. C-90-100

John Doe, Plaintiff v. Togo D. West, Jr., Secretary of the Army, 
          Department of the Army, Defendant.

                        First Affirmative Defense

    The Complaint is barred by laches.
    Figure C-3. Sample Answer to Judicial Complaint, with attached 
Certificate of Service. This is intended to be used as a guide in 
preparing a draft Answer as part of a Litigation Report.

                                 Answer

    For its answer to the complaint, defendant admits, denies and 
alleges as follows:
    1. Admits.
    2. Denies.
    3. Denies.
    4. The allegations contained in paragraph 4 are conclusions of law 
to which no response is required; to the extent they may be deemed 
allegations of fact, they are denied.
    5. Denies the allegations contained in the first sentence of 
paragraph 5; admits the allegations contained in the second sentence of 
paragraph 5; denies the remainder of the allegations in paragraph 5.
    6. Denies the allegations in paragraph 6 for lack of knowledge or 
information sufficient to form a belief as to their truth.
    7. Denies each allegation in the complaint not specifically admitted 
or otherwise qualified.

                            Prayer for Relief

    The remainder of plaintiff's Complaint contains his prayer for 
relief, to which no answer is required. Insofar as an answer is 
required, denies that plaintiff is entitled to any relief whatsoever.
    Defendant respectfully prays that the Court dismiss plaintiff's 
Complaint and award to defendant costs and such further relief as the 
Court deems proper.
    Respectfully submitted,
Ronald M. Ford,
United States Attorney.
Roy A. Andersen,
Assistant United States Attorney, 606 N. Carancua, Corpus Christi, Texas 
          78476, (512) 884-3454.
Captain Christopher N. Jones,
Department of the Army, Office of the Judge, Advocate General, 901 N. 
          Stuart St., Suite 400, Arlington, Virginia 22203-1837, (703) 
          696-1666.

                         Certificate of Service

    I hereby certify that a true and correct copy of Defendant's Answer 
has been placed in the mail, postage prepaid, this ____ day of 
__________, 1991, addressed to plaintiff's counsel as follows: Mr. 
Eugene Henderson, 777 Fourth Street, Corpus Christi, TX 78888.
Roy A. Andersen,
Assistant United States Attorney.

[[Page 128]]

                            Sample DA Form 4

Figure C-3. Unsworn Declaration Under Penalty of Perjury Executed Within 
                            the United States

                  Declaration Under Penalty of Perjury

    I am Private Paul Jones, currently assigned to Company B, 4th 
Battalion, 325th Parachute Infantry Regiment, Fort Bragg, North 
Carolina. I have personal knowledge of the following matters.
    On the evening of 3 June 1970, I was present at the company party at 
Lake Popolopen when the accident occurred. I saw a bright, full moon 
that evening.
    I declare under penalty of perjury that the foregoing is true and 
correct. (28 U.S.C. Sec. 1746).
    Executed on: __________
Paul Jones,
Private, U.S. Army.

 Figure D-1. Format for a Request for a Representation Using an Unsworn 
 Declaration Under Penalty of Perjury Executed Within the United States

                       Request for Representation

    I request that the Attorney General of the United States, or his 
agent, designate counsel to defend me in my official and individual 
capacities in the case of John Doe v. Private Paul Jones, now pending in 
the U.S. District Court for the Eastern District of North Carolina. I 
have read the complaint filed in this case and I declare that all my 
actions were performed in my official capacity, within the scope of my 
official duties, and in a good faith belief that my actions conformed to 
the law. I am not aware of any pending related criminal investigation.
    I understand the following: if my request for representation is 
approved, I will be represented by a U.S. Department of Justice 
attorney; that the United States is not required to pay any final 
adverse money judgment rendered against me personally, although I can 
request indemnification; that I am entitled to retain private counsel at 
my own expense; and, that the Army expresses no opinion whether I should 
or should not retain private counsel.
    I declare under penalty of perjury that the foregoing is true and 
correct. (28 U.S.C. Sec. 1746).
    Executed on: __________
Paul Jones,
Private, U.S. Army.

 Figure D-2. Format for Scope of Employment Statement Using an Unsworn 
 Declaration Under Penalty of Perjury Executed Outside the United States

                               Declaration

    I am currently the Commander of HHC, 6th Armored Division, Bad 
Vilbel, Germany. I have read the allegations concerning Private Paul 
Jones in the complaint of John Doe v. Private Paul Jones, now pending in 
the U.S. District Court for the Eastern District of North Carolina.
    At all times relevant to the complaint, I was Private Jones' company 
commander. His actions relevant to this case were performed within the 
scope of his official duties as Assistant Charge of Quarters, Company B, 
4th Battalion, 325th Parachute Infantry Regiment, Fort Bragg, North 
Carolina.
    I declare under penalty of perjury under the laws of the United 
States of America that the foregoing is true and correct. (28 U.S.C. 
Sec. 1746).
    Executed on: __________
John Smith,
Captain, Infantry.

      Figure D-3. Format for Contractor Request for Representantion

                       Request for Representation

    I am the President of the XYZ Corporation. I request the Attorney 
General of the United States designate counsel to defend me and my 
company in Doe v. XYZ, Inc., now pending in the U.S. District Court for 
the Eastern District of North Carolina.
    I understand that the assumption by the Attorney General of the 
defense of this case does not alter or increase the obligations of the 
United States under United States Contract No. WP-70-660415.
    I further agree that such representation will not be construed as 
waiver or estoppel to assert any rights which any interested party may 
have under said contract.
    Executed on: __________
D.D. Tango,
President, XYZ, Inc.

             Figure G-1. Sample ``Touhy'' Compliance Letter

Department of the Army, Office of the Staff Judge Advocate, Fort Smith, 
                    North Dakota 84165, 15 April 1993

Mr. T. Hudson Taylor,
Attorney At Law, 105 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: We have learned that you subpoenaed Captain Roberta 
Selby to testify at a deposition in the case Kramer v. Kramer, currently 
filed in state court, and that you

[[Page 129]]

directed her to bring her legal assistance file concerning her client, 
SSG Kramer.
    Under 32 CFR Secs. 97.6(c), 516.35, and 516.40, the Army must 
authorize the appearance of its personnel or the production of official 
documents in private litigation. In this case, the Army cannot authorize 
Captain Selby to appear or produce the requested file absent the 
following:
    You must request in writing her appearance and the production of the 
file in accordance with Department of Defense directives, 32 CFR 
Sec. 97.6(c), and Army regulations, 32 CFR Secs. 516-34--516.40. The 
request must include the nature of the proceeding, 32 CFR 
Sec. 516.34(b), and the nature and relevance of the official information 
sought. Id. Sec. 516.35(d). We cannot act on your request until we 
receive the required information. See, for example, United States ex 
rel. Touhy v. Ragen, 340 U.S. 462 (1951); Boron Oil Co. v. Downie, 873 
F.2d 67 (4th Cir. 1989); United States v. Bizzard, 674 F.2d 1382 (11th 
Cir. 1982); United States v. Marino, 658 F.2d 1120 (6th Cir. 1981); 
United States v. Allen, 554 F.2d 398 (10th Cir. 1977).
    To overcome Federal statutory restrictions on the disclosure of the 
requested file imposed by the Privacy Act, 5 U.S.C. Sec. 552a, you must 
provide either a written release authorization signed by the individual 
to whom the file pertains (that is, SSG Kramer) or a court ordered 
release signed by a judge of a court of competent jurisdiction. A 
subpoena signed by a clerk of court, notary, or other official is 
insufficient. See, for example, Doe v. DiGenova, 779 F.2d 74 (DC Cir. 
1985).
    In this case, because of the attorney-client relationship between 
Captain Selby and SSG Kramer, you must produce a written waiver of the 
attorney-client privilege from SSG Kramer. Because the privilege may 
protect both documents and testimony, Captain Selby may not divulge such 
information without SSG Kramer's consent. See, for example, Rule of 
Professional Conduct for Army Lawyers 1.6(a).
    In addition to the above requirements, Captain Selby's supervisor 
must approve her absence from duty. See 32 CFR Sec. 516.43. In this 
regard, we suggest you take the deposition at Fort Smith. In any event, 
however, you or your client must pay all travel expenses, as this is 
purely private litigation and witness' appearance must be at no expense 
to the United States. See id. Sec. 516.48(c).
    Finally, if Captain Selby does appear as a witness, she may only 
give factual testimony. She may not testify as an opinion or expert 
witness. This limitation is based on Department of Defense and Army 
policy that generally prohibits Government employees from appearing as 
expert witnesses in private litigation. See id. Secs. 97.6(e), 516.42.
    Our sole concern in this matter is to protect the interests of the 
United States Army; the Army will not block access to witnesses or 
documents to which you are lawfully entitled. So that the Army can 
adequately protect its interests in this matter, I request that you 
respond to this letter by 27 April 1993. If you have any questions, 
please call CPT Taylor at 919-882-4500.

        Sincerely,
Robert V. Jackansi,
Major, JA, Chief, Administrative Law.

             Figure G-2. Sample Fact Witness Approval Letter

Department of the Army, Office of the Staff Judge Advocate, Fort Smith, 
                    North Dakota 84165, 15 April 1993

Mr. T. Hudson Taylor,
Attorney At Law, l05 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: This letter responds to your request to interview 
and depose Captain Buzz Sawyer as a witness in Morgan v. Jones. Subject 
to the following conditions, your request is approved.
    This grant of authority is limited to factual testimony only. 
Captain Sawyer may not testify as an expert witness. This limitation is 
based on Army policy prohibiting Government employees from appearing as 
expert witnesses in private litigation. See 32 CFR Sec. 516.42. Captain 
Sawyer may not provide official information that is classified, 
privileged, or otherwise protected from public disclosure.
    The decision whether to testify in private litigation is within the 
discretion of the prospective witness. This authorization is also 
subject to the approval of the witness' supervisors to be absent during 
the period involved. Finally, because this is private litigation, the 
witness' participation must be at no expense to the United States. See 
32 CFR Sec. 516.48.
    If you have any questions, please call CPT Taylor at 919-882-4500.
        Sincerely,
Robert V. Jackansi,
Major, JA, Chief, Administrative Law

             Figure G-3. Sample Expert Witness Denial Letter

Department of the Army, Office of the Staff Judge Advocate, Fort Smith, 
                    North Dakota 84165, 15 April 1993

Mr. T. Hudson Taylor,
Attorney At Law, l05 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: This responds to your request for Mr. Charles 
Montrose to appear as an expert witness in private litigation: Smithers 
v. ABC Video. For the following reasons, the request is denied.
    Army Regulation 27-40 forbids Army personnel from providing expert 
testimony in private litigation, with or without compensation, except 
under the most extraordinary circumstances. See 32 CFR Secs. 97.6(e),

[[Page 130]]

516.42. Several reasons support the exercise of strict control over such 
witness appearances.
    The Army policy is one of strict impartiality in litigation in which 
the Army is not a named party, a real party in interest, or in which the 
Army does not have a significant interest. When a witness with an 
official connection with the Army testifies, a natural tendency exists 
to assume that the testimony represents the official view of the Army, 
despite express disclaimers to the contrary.
    The Army is also interested in preventing the unnecessary loss of 
the services of its personnel in connection with matters unrelated to 
their official responsibilities. If Army personnel testify as expert 
witnesses in private litigation, their official duties are invariably 
disrupted, often at the expense of the Army's mission and the Federal 
taxpayer.
    Finally, the Army is concerned about the potential for conflict of 
interest inherent in the unrestricted appearance of its personnel as 
expert witnesses on behalf of parties other than the United States. Even 
the appearance of such conflicts of interest seriously undermines the 
public trust and confidence in the integrity of our Government.
    This case does not present the extraordinary circumstances necessary 
to justify the requested witness' expert testimony. You have 
demonstrated no exceptional need or unique circumstances that would 
warrant (his or her) appearance. The expert testimony desired can be 
secured from non-Army sources. Consequently, we are unable to grant you 
an exception to the Army's policy.
    If you have any questions, please call me or CPT Taylor at 919-882-
4500.

        Sincerely,
Robert V. Jackansi,
Major, JA, Chief, Administrative Law.

              Figure G-4. Sample of Doctor Approval Letter

Department of the Army, Office of the Staff Judge Advocate, Fort Smith, 
                    North Dakota 84165, 15 April 1993

Mr. T. Hudson Taylor,
Attorney At Law, 105 Hay Street, Whynot, ND 84167
    Dear Mr. Taylor: This responds to your request to depose Dr. (MAJ) 
J. McDonald, Fort Smith Medical Treatment Facility. Pursuant to 32 CFR 
Secs. 516.33-516.49, you may depose him subject to the following 
conditions:
    He may testify as to his treatment of his patient, Sergeant Rock, as 
to related laboratory tests he may have conducted, or other actions he 
took in the regular course of his duties.
    He must limit his testimony to factual matters such as his 
observations of the patient or other operative facts, the treatment 
prescribed or corrective action taken, course of recovery or steps 
required for treatment of injuries suffered, or contemplated future 
treatment.
    His testimony may not extend to hypothetical questions or to a 
prognosis. He may not testify as an ``expert.'' This limitation is based 
on Department of Defense and Army policy prohibiting present or former 
military personnel and Army civilian employees from providing opinion or 
expert testimony concerning official information, subjects, or 
activities in private litigation. See 32 CFR Secs. 97.6(e), 516.42.
    The witnesses may not provide official information that is 
classified, privileged, or otherwise protected from public disclosure. 
To protect the Army's interests, CPT Taylor or another Army attorney 
will be present during the depositions.
    To overcome restrictions imposed by the Privacy Act, 5 U.S.C. 
Sec. 552a, Dr. McDonald may not discuss matters derived from the 
patient's medical records absent the patient's written consent or a 
court order signed by a judge. A subpoena issued by someone other than a 
judge or magistrate is insufficient. See Doe v. DiGenova, 779 F.2d 74 
(D.C. Cir. 1985); Stiles v. Atlanta Gas Light Co., 453 F. Supp. 798 
(N.D. Ga. 1978).
    The decision whether to testify in private litigation is within the 
discretion of the witness, subject to the approval of his supervisors to 
be absent during the period involved.
    Finally, because this is private litigation, the witnesses' 
participation must be at no expense to the United States. See 32 CFR 
Sec. 516.48.
    If you have any questions, please call me or CPT Taylor at 919-882-
4500.

        Sincerely,
Robert V. Jackansi,
Major, JA, Chief, Administrative Law.

                Figure H-1. Procurement Fraud Indicators

                      Procurement Fraud Indicators

    1. During the identification of the government and services.
    a. Need determinations for items currently scheduled for disposal or 
reprocurement, or which have predetermined reorder levels.
    b. Excessive purchase of ``expendables'' such as drugs or auto 
parts.
    c. Inadequate or vague need assessment.
    d. Frequent changes in the need assessment or determination.
    e. Mandatory stock levels and inventory requirements appear 
excessive.
    f. Items appear to be unnecessarily declared excess or sold as 
surplus, while same items are being reprocured.
    g. It appears that an item or service is being purchased more as a 
result of aggressive marketing efforts rather than in response to a 
valid requirement.

[[Page 131]]

    h. Need determination appears to be unnecessarily tailored in ways 
that can only be met by certain contractors.
    i. Items and services are continually obtained from the same source 
due to an unwarranted lack of effort to develop second sources.
    2. During the development of the statements of work and 
specifications.
    a. Statements of work and specifications appear to be intentionally 
written to fit the products or capabilities of a single contractor.
    b. Statements of work, specifications, or sole source justifications 
developed by or in consultation with a preferred contractor.
    c. Information concerning requirements and pending contracts is 
released only to preferred contractors.
    d. Allowing companies and industry personnel who participated in the 
preparation of bid packages to perform on subsequent contracts in either 
a prime or subcontractor capacity.
    e. Release of information by firms or personnel participating in 
design or engineering to companies competing for prime contract.
    f. Prequalification standards or specifications appear designed to 
exclude otherwise qualified contractors or their productions.
    g. Requirements appear split up to allow for rotating bids, giving 
each contractor his or her ``fair share.''
    h. Requirements appear split up to meet small purchase requirements 
(that is, $25,000) or to avoid higher levels of approval that would be 
otherwise required.
    i. Bid specifications or statement of work appear inconsistent with 
the items described in the general requirements.
    j. Specifications appear so vague that reasonable comparisons of 
estimate would be difficult.
    k. Specifications appear inconsistent with previous procurements of 
similar items of services.
    3. During the presolicitation phase.
    a. Sole source justifications appear unnecessary or poorly 
supported.
    b. Statements justifying sole source or negotiated procurements 
appear inadequate or incredible.
    c. Solicitation documents appear to contain unnecessary requirements 
which tend to restrict competition.
    d. Contractors or their representatives appear to have received 
advanced information related to the proposed procurement on a 
preferential basis.
    4. During the solicitation phase.
    a. Procurement appears to be processed so as to exclude or impede 
certain contractors.
    b. The time for submission of bids appears to be unnecessarily 
limited so that only those with advance information have adequate time 
to prepare bids or proposals.
    c. It appears that information concerning the procurement has been 
revealed only to certain contractors, without being revealed to all 
prospective competitors.
    d. Bidders conferences are conducted in a way that apparently 
invites bid rigging, price fixing, or other improper collusion between 
contractors.
    e. There is an apparent intentional failure to fairly publish notice 
of the solicitation.
    f. Solicitation appears vague as to the details such as time, place 
and manner, of submitting acceptable bids.
    g. There is evidence of improper communications or social contract 
between contractors and government personnel.
    h. Controls over the number and destination of bid packages sent to 
interested bidders appear inadequate.
    i. Indications that government personnel or their families may own 
stock or have some other financial interest in either a contractor or 
subcontractor.
    j. Indications that government personnel are discussing possible 
employment for themselves or a family member with a contractor or 
subcontractor or indications that a proposal for future employment from 
a contractor or subcontractor to a government employee or his or her 
family members has not been firmly rejected.
    k. Indications that any contractor has received special assistance 
in preparation of his or her bid or proposal.
    l. It appears that a contract is given an expressed or implied 
reference to a specific subcontractor.
    m. Failure to amend solicitation to reflect necessary changes or 
modifications.
    5. During the submission of bids and proposals.
    a. Improper acceptance of a late bid.
    b. Documents, such as receipts, appear falsified to obtain 
acceptance of a late bid.
    c. Improperly attempting to change a bid after other bidders prices 
are known.
    d. Indications that mistakes have been deliberately planted in a bid 
to support correction after bid opening.
    e. Withdrawal by a low bidder who may later become a subcontractor 
to a higher bidder who gets the contract.
    f. Apparent collusion or bid rigging among the bidders.
    g. Bidders apparently revealing their prices to each other.
    h. Required contractor certifications appear falsified.
    i. Information concerning contractor's qualifications, finances, and 
capabilities appears falsified.
    6. During the evaluation of bids and proposals.
    a. Deliberately losing or discarding bids of certain contractors.
    b. Improperly disqualifying the bids or proposals of certain 
contractors.

[[Page 132]]

    c. Accepting apparently nonresponsive bids from preferred 
contractors.
    d. Unusual or unnecessary contacts between government personnel and 
contractors during solicitation, evaluation, and negotiation.
    e. Any apparently unauthorized release of procurement information to 
a contractor or to non-government personnel.
    f. Any apparent favoritism in the evaluation of the bid or proposal 
of a particular contractor.
    g. Apparent bias in the evaluation criteria or in the attitude or 
actions of the members of the evaluation panel.
    7. During contract formation and administration.
    a. Defective pricing by the contractor usually associated with 
submitting false cost and pricing data under the Truth in Negotiation 
Act.
    b. Cost/Labor mischarging.
    c. Product substitution.
    d. Progress payment fraud. For more details on these subjects see DA 
PAM 27-153, Contract Law, paragraph 23-5.

              Figure H-2. Guide for Preparing Remedies Plan

                   Guide for Preparing a Remedies Plan

                             (Date of Plan)

                     Section I (Administrative Data)

A. Subject of Allegation.
B. Principal Investigative Agency.
C. Investigative Agency File Number.
D. Subject's Location.
E. Location Where Offense Took Place.
F. Responsible Action Commander.
G. Responsible MACOM.
H. Contract Administrative Data (If Applicable):
    1. Contract Number.
    2. Type of Contract.
    3. Dollar Amount of Contract.
    4. Period of Contract.
I. Principal Case Agent (Name and Telephone Number).
J. Civilian Prosecutor (If Applicable) (Name, Address, and Telephone 
          Number).
K. Is Grand Jury Investigating This Matter? If So, Where is Grand Jury 
          Located?
L. Audit Agency Involved (If Applicable). Name and Telephone Number of 
          Principal Auditor.
M. Suspense Date for Update of This Plan.

  Section II (Summary of Allegations and Investigative Results to Date)

    (Provide sufficient detail for reviewers of the plan to evaluate the 
appropriateness of the planned remedies. If information is ``close-
hold'' or if grand jury secrecy applies, so state.)

                 Section III (Adverse Impact Statement)

    (Describe any adverse impact on the DA/DOD mission. Adverse impact 
is described in DOD Directive 7050.5, paragraph E.1.g. Identify impact 
as actual or potential. Describe the impact in terms of monetary loss, 
endangerment to personnel or property, mission readiness, etc. This 
information should be considered in formulating your remedies as 
described below and provided to prosecutors for their use in prosecution 
of the offenses.)

            Section IV (Remedies Taken and/or Being Pursued)

    A. Criminal Sanctions. (As a minimum, address the following: Are 
criminal sanctions appropriate? If so, which ones? If not, why not? Has 
the local U.S. Attorney or other civilian prosecutor been notified and 
briefed? What actions have been taken or are intended? If and when 
action is complete, describe action and final results of the action. 
Other pertinent comments should be included.)
    B. Civil Remedies. (As a minimum address the following: Which civil 
remedies are appropriate? Has the local U.S. Attorney or other civilian 
prosecutor been notified and briefed? How, when, where and by whom are 
the appropriate civil remedies implemented? If and when action is 
completed, describe action and final results. Other pertinent comments 
should be included.)
    C. Contractual/Administrative Remedies. (As a minimum, address the 
following: Are contractual and administrative remedies appropriate: If 
so, which ones? If not, Why? If contractual or administrative remedies 
are considered appropriate, describe how, when, and by whom the remedies 
are implemented. If and when action is completed, describe action and 
results of the action. Other pertinent comments should be included.)
    D. Restrictions on Remedies Action. (Comment as to why obvious 
remedies are not being pursued. For example, the U.S. Attorney requests 
suspension action held in abeyance pending criminal action.)

             Section V (Miscellaneous Comments/Information)

                 Section VI (Remedies Plan Participants)

(Record the name, grade, organization, and telephone number of all 
Remedies Plan participants.)

                Section VII (MACOM Coordination Comments)

(Record the name, grade, office symbol, and telephone number of all 
MACOM officials providing coordination comments; record the date when 
comments are submitted and append to the Remedies Plan the signed 
comments provided.)

[[Page 133]]

                            MACOM Focal Point

(Record the name, grade, office symbol, and telephone number of the 
MACOM focal point.)

                  Section VIII (Coordination/Comments)

(Record the name, grade, organization, office symbol, and telephone 
number of all officials with whom you have coordinated the Remedies Plan 
or who have provided comments on your plan; append any comments provided 
to the Remedies Plan.)

 Figure H-3. Guide for Testing Defective Items Under Criminal or Civil 
                              Investigation

      Testing Defective Items Under Criminal or Civil Investigation

    1. Under no circumstances is testing to proceed unless the command 
has committed sufficient funding to cover the entire cost of the 
projected testing.
    2. No testing will be initiated unless there has been a written 
request for the testing to the appropriate Procurement Fraud Advisor 
from a criminal investigator or Assistant United States Attorney or 
Department of Justice Attorney (AUSA is used in these procedures to 
indicate either an AUSA or Department of Justice attorney). If they have 
not already done so, criminal investigators should be requested to 
coordinate their testing requests with the AUSA overseeing the 
investigation.
    3. Barring extraordinary circumstances, only one test will be 
conducted to support the criminal and civil recovery efforts of a 
procurement fraud/irregularity matter. Early coordination with the Civil 
Division of Department of Justice or the local United States Attorneys 
Office is necessary to ensure that testing funds are not wasted.
    4. The request for testing should include a clear, concise statement 
of the purpose of the testing to include a statement of the allegations 
made and the contact number(s) involved. Any test plan which requires 
destructive testing must be approved by the AUSA.
    5. No testing will be initiated unless a test plan has been 
developed which states the following:

a. the contract number(s) involved
b. the National Stock Number (NSN) of the item to be tested
c. the purpose of the testing
d. the alleged defect or the contractual requirement violated
e. the CID report of investigation (ROI) number or the DCIS case number
f. cost of the test (a cost proposal should be an attachment to the test 
          plan)
g. where the test will be conducted
h. how the test will be conducted
i. the name and telephone number of the test team leader
j. the names of all test team members
k. the approximate dates of the testing
l. the date that completion of the test is required
m. a clear statement of the desired product (that is test report, raw 
          data, analysis of results, evaluation of test results)
n. the PRON to fund the testing
o. a retention plan.
    6. The test plan shall be coordinated with the concurrence received 
in advance from the appropriate personnel in the Procurement 
Directorate, Product Assurance and Test Directorate, the Procurement 
Fraud Advisor, and the investigator/AUSA requesting the test. No testing 
will be initiated until the criminal investigator/AUSA who requested the 
testing has approved the test plan.
    7. If the items tested are to be retained as evidence, the criminal 
investigator should arrange for retention of the evidence. While the 
Command will support evidence retention, this is primarily the 
responsibility of the criminal investigators. Agents should be advised 
that putting items in Code L or similar non-use status is insufficient 
to protect it from being released to the field. A decision not to retain 
the tested items as evidence must have the approval of the AUSA.
    8. All items to be tested should be from a statistically valid 
random sample. The sample should conform with the inspection 
requirements of the contract or be in conformance with a random sample 
specifically developed for the instant test plan. It is recommended that 
a statistician be consulted to determine the feasibility of a random 
sample specifically created to support the test plan.
    9. Results of testing should be available to Command and DA 
personnel for appropriate contractual and administrative remedies. Any 
request for testing results that indicates that dissemination of the 
testing results will be limited by Rule 6(e) of the Federal Rules of 
Criminal Procedure is to be forwarded through the MACOM or AMC 
Procurement Fraud Coordinator to DA Procurement Fraud Division prior to 
the initiation of any testing.
    10. Resolution of problems associated with testing requests should 
be conducted at the local level. In AMC the authority to refuse a 
testing request resides with the Office of Command Counsel. Any disputes 
which cannot be resolved at the local level will be forwarded to the AMC 
or MACOM Procurement Fraud Coordinator for resolution. This includes 
disputes regarding funding or any time sensitive issues.
    11. Second requests for testing of the same item due to a change in 
the investigative plan require coordination by the PFA with the 
investigator and AUSA overseeing the investigation to determine the 
deficiencies in the earlier test. Disputes which cannot be

[[Page 134]]

resolved between the AUSA, PFA, and investigator regarding testing are 
to be forwarded simultaneously to the MACOM Procurement Fraud 
Coordinator and PFD for resolution. The procedures established in 
paragraphs 5 and 6 apply for second requests for testing with the 
additional requirement that the Assistant United States Attorney must be 
requested to approve the test plan.

  Figure I-1. Guide for Seeking Legal Advice and Representation Before 
                        Office of Special Counsel

   Guide for Seeking Legal Advice and Representation Before Office of 
                             Special Counsel

                               1. Overview

    a. DA employees or military members asked to provide information 
(testimonial or documentary) to OSC may obtain legal advice through the 
Labor Counselor from DA attorneys concerning their rights and 
obligations. This includes assistance at any interviews with OSC 
investigators. However, an attorney-client relationship will not be 
established unless the employee or military member--
    (1) Is suspected or accused by the OSC of committing a prohibited 
personnel practice or other illegal or improper act; and
    (2) Has been assigned counsel by the DA General Counsel.
    b. Any military member or employee who reasonably believes that he 
or she is suspected or has been accused by OSC of committing a 
prohibited personnel practice or other illegal or improper act may 
obtain legal representation from DA. The counsel assigned will be from 
another DOD component whenever a DA attorney is likely to face a 
conflict between the attorney's ethical obligation to the client and DA, 
or when the suspected or accused individual has requested representation 
from another DOD component. Outside legal counsel may be retained by DA 
on behalf of the member or employee under unusual circumstances and only 
with the personal approval of the DOD General Counsel.
    c. The DA General Counsel will determine whether a conflict is 
likely to occur if a DA attorney is assigned to represent a military 
member or civilian. If the DA General Counsel determines a conflict may 
occur, or if the suspected or accused employee has requested 
representation from another DOD component, the DA General Counsel will 
seek the assistance of another General Counsel in obtaining 
representation outside DA.
    2. Requests for Representation
    a. To obtain legal representation, military members or civilian 
employees must--
    (1) Submit a written request for legal representation through the 
Labor and Employment Law Office, Office of the Judge Advocate General, 
Department of the Army, to DA General Counsel, explaining the 
circumstances that justify legal representation. Copies of all process 
and pleadings served should accompany the request.
    (2) Indicate whether private counsel, at personal expense, has been 
retained.
    (3) Obtain written certification from their supervisor that--
    (a) They were acting within the scope of official duties; and
    (b) DA has not initiated any adverse or disciplinary action against 
them for the conduct being investigated by the OSC.
    b. Requests for DA legal representation must be approved by the DA 
General Counsel.
    c. The conditions of legal representation must be explained and 
accepted in writing by the member or employee.

                    3. Limitations on Representation

    a. DA will not provide legal representation with respect to a DA 
initiated disciplinary action against a civilian employee for committing 
or participating in a prohibited personnel practice or for engaging in 
illegal or improper conduct. This prohibition applies regardless of 
whether the participation or conduct is also the basis for the 
disciplinary action proposed by the OSC.
    b. In certain situations, counsel provided by DA may be limited to 
representing the individual only with respect to some of the pending 
matters, if other specific matters of concern to the OSC or MSPB do not 
satisfy the requirements contained in this regulation.

                     4. Attorney-Client Relationship

    a. An attorney-client relationship will be established and continued 
between the suspected or accused individual and assigned DA counsel.
    b. In representing a DA employee or military member, the DA attorney 
designated as counsel will act as a vigorous advocate of the 
individual's legal interests before the OSC or MSPB. The attorney's 
professional responsibility to DA will be satisfied by fulfilling this 
responsibility to the employee or military member. Legal representation 
may be terminated only with the approval of the DA General Counsel and 
normally only on the basis of information not available at the time the 
attorney was assigned.
    c. The attorney-client relationship may be terminated if the 
assigned DA counsel determines, with the approval of the DA General 
Counsel, that--
    (1) The military member or civilian employee was acting outside the 
scope of his or her official duties when engaging in the conduct that is 
the basis for the OSC investigation or charge; and

[[Page 135]]

    (2) Termination is not in violation of the rules of professional 
conduct applicable to the assigned counsel.
    d. The DA attorney designated as counsel may request relief from the 
duties of representation or counseling without being required to furnish 
explanatory information that might compromise confidential 
communications between the client and the attorney.

                               5. Funding

    This regulation authorizes cognizant DA officials to approve 
requests from military members or civilian employees for travel, per 
diem, witness appearances, or other departmental support necessary to 
ensure effective legal representation by the designated counsel.

                                6. Status

    A military member's or civilian employee's participation in OSC 
investigations, MSPB hearings, and other related proceedings will be 
considered official departmental business for time and attendance 
requirements and similar purposes.

                         7. Advice to Witnesses

    The following advice to military members and civilian employees 
questioned during the course of an OSC investigation may be appropriate 
in response to these frequent inquiries:
    a. A witness may decline to provide a ``yes'' or ``no'' answer in 
favor of a more qualified answer when this is necessary to ensure 
accuracy in responding to an OSC interviewer's question.
    b. Requests for clarification of both questions and answers are 
appropriate to avoid misinterpretation.
    c. Means to ensure verifications of an interview by OSC 
investigators are appropriate, whether or not the military member or 
civilian employee is accompanied by counsel. Tape recorders may only be 
used for this purpose when--
    (1) The recorder is used in full view.
    (2) All attendees are informed.
    (3) The OSC investigator agrees to record the proceeding.
    d. Any errors that appear in a written summary of an interview 
prepared by the investigator should be corrected before the member or 
employee signs the statement. The military member or civilian employee 
is not required to sign any written summary that is not completely 
accurate. A military member or civilian employee may receive a copy of 
the summary as a condition of signing.



PART 518--THE ARMY FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents




                      Subpart A--General Provisions

                               References

Sec.
518.1  References.
518.2  References (Army).

                        Purpose and Applicability

518.3  Purpose.
518.4  Applicability.

                         DoD Public Information

518.5  ODISC4 Authority to approve exceptions.
518.6  Public information.
518.7  Control system.

                               Definitions

518.8  Definitions and terms.
518.9  FOIA request.
518.10  Agency record.
518.11  DoD component.
518.12  Initial denial authority (IDA).
518.13  Appellate authority.
518.14  Administrative appeal.
518.15  Public interest.
518.16  Electronic data.
518.17  Law enforcement investigation.

                                 Policy

518.18  Compliance with the FOIA.
518.19  Openness with the public.
518.20  Avoidance of procedural obstacles.
518.21  Prompt action on requests.
518.22  Use of exemptions.
518.23  Public domain.
518.24  Creating a record.
518.25  Description of requested record.
518.26  Referrals.
518.27  Authentication.
518.28  Unified and specified commands.
518.29  Relationship between the FOIA and the Privacy Act (PA).
518.30  Records management.

                      Subpart B--FOIA Reading Rooms

                              Requirements

518.31  Reading room.
518.32  Material availability.

                                 Indexes

518.33  ``(a)(2)'' materials.
518.34  Other materials.

                          Subpart C--Exemptions

                           General Provisions

518.35  General.
518.36  Jeopardy of Government interest.

[[Page 136]]

                               Exemptions

518.37  FOIA exemptions.

                    Subpart D--For Official Use Only

                           General Provisions

518.38  General.
518.39  Prior FOUO application.
518.40  Historical papers.
518.41  Time to mark records.
518.42  Distribution statement.
518.43  Location of markings.

                     Dissemination and Transmission

518.44  Release and transmission procedures.
518.45  Transporting FOUO information.
518.46  Electrically transmitted messages.
518.47  Telephone usage.

                      Safeguarding FOUO Information

518.48  During duty hours.
518.49  During nonduty hours.

           Termination, Disposal and Unauthorized Disclosures

518.50  Termination.
518.51  Disposal.
518.52  Unauthorized disclosure.

              Subpart E--Release and Processing Procedures

                           General Provisions

518.53  Public information.
518.54  Requests from private parties.
518.55  Requests from Government officials.
518.56  Privileged release to officials.
518.57  Required coordination.

                         Initial Determinations

518.58  Initial denial authority.
518.59  Reasons for not releasing a record.
518.60  Denial tests.
518.61  Reasonably segregable portions.
518.62  Response to requester.
518.63  Extension of time.
518.64  Misdirected requests.
518.65  Records of non-U.S. Government source.
518.66  File of initial denials.
518.67  Special mail services.
518.68  Receipt accounts.

                                 Appeals

518.69  General.
518.70  Time of receipt.
518.71  Time limits.
518.72  Delay in responding to an appeal.
518.73  Response to the requester.
518.74  Consultation.

                            Judicial Actions

518.75  General.
518.76  Jurisdiction.
518.77  Burden of proof.
518.78  Action by the court.
518.79  Non-United States Government source information.
518.80  Litigation status sheet.

                         Subpart F--Fee Schedule

                           General Provisions

518.81  Authorities.
518.82  Application.
518.83  Fee restrictions.
518.84  Fee waivers.
518.85  Fee assessment.
518.86  Aggregating requests.
518.87  Effect of the Debt Collection Act of 1982 (Pub. L. 97-365).
518.88  Computation of fees.

                    Collection of Fees and Fee Rates

518.89  Collection of fees.
518.90  Search time.
518.91  Duplication.
518.92  Review time (in the case of commercial requesters).
518.93  Audiovisual documentary materials.
518.94  Other records.
518.95  Cost for special services.

           Collection of Fees and Fee Rates for Technical Data

518.96  Fees for technical data.

                           Subpart G--Reports

                             Reports Control

518.97  General.

                              Annual Report

518.98  Reporting time.
518.99  Annual report content.

                    Subpart H--Education and Training

                       Responsibility and Purpose

518.100  Responsibility.
518.101  Purpose.
518.102  Scope and principles.
518.103  Implementation.
518.104  Uniformity of legal interpretation.

                         Appendices to Part 518

Appendix A--Unified Commands--Processing Procedures for FOI Appeals
Appendix B--Addressing FOIA Requests
Appendix C--Litigation Status Sheet
Appendix D--Other Reason Categories
Appendix E--DoD Freedom of Information Act Program Components
Appendix F--DD Form 2564, Annual Report--Freedom of Information Act
Appendix G--Internal Control Review Checklist

    Authority: 5 U.S.C. 551, 552, 552a, 5101-5108, 5110-5113, 5115, 
5332-5334, 5341-42, 5504-5509,

[[Page 137]]

7154; 10 U.S.C. 130, 1102, 2320-2321, 2328, 18 U.S.C. 798, 3500; 31 
U.S.C. 3710; 35 U.S.C. 181-188; 42 U.S.C. 2162; 44 U.S.C. 33; and 
Executive Order 12600.

    Source: 56 FR 48932, Sept. 26, 1991, unless otherwise noted.



                      Subpart A--General Provisions

                               References



Sec. 518.1  References.

    (a) Title 5, United States Code, section 552.
    (b) DoD Directive 5400.7, ``DoD Freedom of Information Act 
Program,'' May 13, 1988.
    (c) Public Law 86-36, ``National Security Information Exemption.''
    (d) DoD Directive 5400.11, ``Department of Defense Privacy 
Program,'' June 9, 1982.
    (e) DoD 5400.11-R, ``Department of Defense Privacy Program,'' August 
1983, authorized by DoD Directive 5400.11, June 9, 1982.
    (f) DoD Directive 5100.3, ``Support of the Headquarters of Unified, 
Specified and Subordinate Commands,'' November 1, 1988.
    (g) Title 5, United States Code, section 551, ``Administrative 
Procedures Act.''
    (h) DoD 5200.1-R, ``DoD Information Security Program Regulation,'' 
January 1987, authorized by DoD Directive 5200.1, June 7, 1982.
    (i) Title 35, United States Code, section 181-188, ``Patent 
Secrecy.''
    (j) Title 42, United States Code, section 2162, ``Restricted Data 
and Formerly Restricted Data.''
    (k) Title 18, United States Code, section 98, ``Communication 
Intelligence.''
    (l) Title 18, United States Code, section 3500, ``The Jencks Act.''
    (m) DoD Directive 5230.24, ``Distribution Statements on Technical 
Documents,'' March 18, 1987.
    (n) DoD Directive 5400.4, ``Provision of Information to Congress,'' 
January 30, 1978.
    (o) DoD Directive 7650.1, ``General Accounting Office Access to 
Records,'' August 26, 1982.
    (p) ACP-121 (United States Supplement 1).
    (q) Title 44, United States Code, chapter 33, ``Disposal of 
Records.''
    (r) DoD Instruction 7230.7, ``User Charges,'' January 29, 1985.
    (s) DoD Directive 5000.11, ``Data Elements and Data Codes 
Standardization Program,'' December 7, 1964.
    (t) DoD Directive 7750.5, ``Management and Control of Information 
Requirements,'' August 7, 1986.
    (u) DoD 7220.9-M, ``Department of Defense Accounting Manual,'' 1983, 
authorized by DOD Instruction 7220.9, October 22, 1981.
    (v) DoD Directive 5230.25, ``Withholding of Unclassified Technical 
Data From Public Disclosure,'' November 6, 1984.
    (w) DoD Directive 5230.9, ``Clearance of DoD Information for Public 
Release,'' April 2, 1982.
    (x) DoD Directive 7650.2, ``General Accounting Office Audits and 
Reports,'' July 19, 1985.
    (y) Title 10, United States Code, section 2328, ``Release of 
Technical Data under Freedom of Information Act: Recovery of Costs''.
    (z) Title 10, United States Code, section 130, ``Authority to 
Withhold from Public Disclosure Certain Technical Data.''
    (aa) Title 10, United States Code, section 2320-2321, ``Rights in 
Technical Data.''
    (bb) Title 10, United States Code, section 1102, ``Confidentiality 
of Medical Quality Records: Qualified Immunity Participants.''
    (cc) DoD Federal Acquisition Regulation Supplement (DFARS), subpart 
227.4, ``Technical Data, Other Data, Computer Software and Copyrights,'' 
October 28, 1988.
    (dd) Executive Order 12600, ``Predisclosure Procedures for 
Confidential Commercial Information,'' June 23, 1987.
    (ee) Title 31, United States Code, section 3717, ``Interest and 
Penalty on Claims.''
    (ff) Title 5, United States Code, section 552a, as amended, ``The 
Privacy Act of 1974.''
    (gg) DoD 5000.12-M, ``DoD Manual for Standard Data Elements,'' 
October 1986, authorized by DoD Instruction 5000.12, July 1989.

[[Page 138]]

    (hh) DoD Instruction 5400.10, ``OSD Implementation of DoD Freedom of 
Information Act Program,'' January 24, 1991.
    (ii) Title 32, Code of Federal Regulations, part 518, The Army 
Freedom of Information Act Program.
    (jj) Title 10, United States Code, section 128, ``Physical 
Protection of Special Nuclear Material: Limitation on Dissemination of 
Unclassified Information''.
    (kk) Public Law 101-189, National Defense Authorization Act, 
November 1989, 103 Stat. 1352.



Sec. 518.2  References (Army).

    (a) Required publications.\1\
---------------------------------------------------------------------------


    \1\ All publications and forms referenced in this section are 
available from National Technical Information Services, U.S. Department 
of Commerce, 5285 Port Royal Road, Springfield, Virginia 22161.
---------------------------------------------------------------------------

    (1) AR 1-20 (Legislative Liaison) (cited in Secs. 518.44 and 
518.46).
    (2) AR 20-1 (Inspector General Activities and Procedures) (cited in 
Secs. 518.4, 518.58 and appendix B).
    (3) AR 25-1 (The Army Information Resource Management Program) 
(cited in Secs. 518.3 and 518.29).
    (4) AR 25-9 (Army Data Management and Standards Program) (cited in 
Sec. 518.98).
    (5) AR 25-400-2 (The Modern Army Recordkeeping System (MARKS)) 
(cited in Secs. 518.30, 518.51, 518.66, and appendix B).
    (6) AR 27-20 (Claims) (cited in Sec. 518.4 and 518.51).
    (7) AR 36-2 (Processing Internal and External Audit Reports and 
Follow-up on Findings and Recommendations) (cited in Sec. 518.4).
    (8) AR 40-66 (Medical Record and Quality Assurance Administration) 
(cited in Sec. 518.17).
    (9) AR 40-400 (Patient Administration) (cited in Sec. 518.4).
    (10) AR 25-11 (Record Communications) (cited in Sec. 518.46).
    (11) AR 195-2 (Criminal Investigation Activities) (cited in 
Secs. 519.4-519.56).
    (12) AR 340-21 (The Army Privacy Program) (cited in Secs. 518.22, 
518.37 and 518.56).
    (13) AR 360-5 (Public Information) (cited in Secs. 518.4 and 
518.54).
    (14) AR 380-5 (Department of the Army Information Security Program) 
(cited in Secs. 518.4, 518.37, 518.53 and 518.56).
    (15) AR 530-1 (Operations Security (OPSEC)) (cited in Secs. 518.53 
and 518.54).
    (16) AR 600-85 (Alcohol and Drug Abuse Prevention and Control 
Program) (cited in Sec. 518.4 and 518.54).
    (b) Related publications. A related publication is merely a source 
of additional information. The user does not have to read it to 
understand this regulation.
    (1) AR 5-13 (Installation Management and Organization).
    (2) AR 10-series (Organization and Functions).
    (3) AR 25-3 (Army Life Cycle Management of Information Systems).
    (4) AR 27-10 (Military Justice).
    (5) AR 27-40 (Litigation).
    (6) AR 27-60 (Patents, Inventions, and Copyrights).
    (7) AR 60-20 (Army and Air Force Exchange Service (AAFES) Operating 
Policies) (AFR 147-14).
    (8) AR 70-31 (Standards for Technical Reporting).
    (9) AR 190-45 (Military Police Law Enforcement Reporting).
    (10) AR 380-10 (Department of the Army Policy for Disclosure of 
Information, Visits, and Accreditation of Foreign Nationals (U)).
    (11) AR 381-45 (Investigative Records Repository (IRR)).
    (12) AR 385-40 (Accident Reporting and Records).
    (13) AR 640-10 (Individual Military Personnel Records).
    (14) DA Pam 25-30 (Consolidated Index of Army Publications and Blank 
Forms).
    (15) DA Pam 25-51 (The Army Privacy Program-Systems Notices and 
Exemption Rules).
    (16) DA Pam 385-95 (Aircraft Accident Investigation and Reporting).
    (17) DoD 4500.11-PH (Defense Privacy Board Advisory Opinions).
    (18) Title 10, United States Code, section 128, ``Physical 
Protection of Special Nuclear Material: Limitation on Dissemination of 
Unclassified Information''.
    (c) Prescribed forms.

[[Page 139]]

    (1) DA Form 4948-R (Freedom of Information Act (FOIA/Operations 
Security) (OPSEC) Desktop Guide) (prescribed in Secs. 518.50 and 
518.49).
    (2) DA Label 87 (For Official Use Only Cover Sheet) (prescribed in 
Secs. 518.41 and 518.44).
    (3) DD Form 2086 (Record of Freedom of Information (FOI) Processing 
Cost) (prescribed in Sec. 518.81).
    (4) DD Form 2086-1 (Record of Freedom of Information (FOI) 
Processing Cost for Technical Data) (prescribed in Sec. 518.92a).

                        Purpose and Applicability



Sec. 518.3  Purpose.

    The purpose of this Regulation is to provide policies and procedures 
for the Department of Defense (DoD) implementation of the Freedom of 
Information Act and DoD Directive 5400.7 (references (a) and (b)) and to 
promote uniformity in the DoD Freedom of Information Act (FOIA) Program. 
This Army regulation implements provisions for access and release of 
information from all Army information systems (automated and manual) in 
support of the Information Resources Management Program (AR 25-1).



Sec. 518.4  Applicability.

    (a) This Regulation applies to the Office of the Secretary of 
Defense (OSD), which includes for the purpose of this Regulation the 
Joint Staff, Unified Commands, the Military Departments, the Defense 
Agencies, and the DoD Field Activities (hereafter referred to as ``DoD 
Components''), and takes precedence over all Component regulations that 
supplement the DoD FOIA Program. A list of DoD Components is at 
enclosure 1 (appendix G).
    (b) The National Security Agency records are subject to the 
provisions of this Regulation, only to the extent the records are not 
exempt under Public Law 86-36 (reference (c)).
    (c) This part applies to--
    (1) Active Army.
    (2) Army National Guard.
    (3) U.S. Army Reserve.
    (4) Organizations for which the Department of the Army (DA) is the 
Executive Agent.
    (d) This regulation governs written FOIA requests from members of 
the public. It does not preclude release of personnel or other records 
to agencies or individuals in the Federal Government for use in official 
work. Section 518.52(a) gives procedures for release of personnel 
information to Government agencies outside DOD.
    (e) Soldiers and civilian employees of the Department of the Army 
may, as private citizens, request DA or other agencies' records under 
the FOIA. They must prepare requests at their own expense and on their 
own time. They may not use Government equipment, supplies, or postage to 
prepare personal FOIA requests. It is not necessary for soldiers or 
civilian employees to go through the chain of command to request 
information under the FOIA.
    (f) Requests for DA records processed under the FOIA may be denied 
only in accordance with the FOIA (5 U.S.C. 552(b)), as implemented by 
this regulation. Guidance on the applicability of the FOIA is also found 
in the Federal Acquisition Regulation (FAR) and in the Federal Personnel 
Manual (FPM).
    (g) Release of some records may also be affected by the programs 
that created them. They are discussed in the following regulations:
    (1) AR 20-1 (Inspector General reports).
    (2) AR 27-10 (military justice).
    (3) AR 27-20 (claims reports).
    (4) AR 27-60 (patents, inventions, and copyrights).
    (5) AR 27-40 (litigation: release of information and appearance of 
witnesses).
    (6) AR 36-2 (GAO audits).
    (7) AR 40-66 and AR 40-400 (medical records).
    (8) AR 70-31 (technical reports).
    (9) AR 20-1, AR 385-40, and DA Pam 385-95 (aircraft accident 
investigations).
    (10) AR 195-2 (criminal investigation activities).
    (11) AR 190-45 (Military Police records and reports).
    (12) AR 360-5 (Army public affairs: public information, general 
policies on release of information to the public).
    (13) AR 380-10 (release of information on foreign nationals).

[[Page 140]]

    (14) AR 381-45 (U.S. Army Intelligence and Security Command 
investigation files).
    (15) AR 385-40 (safety reports and records).
    (16) AR 600-85 (alcohol and drug abuse records).
    (17) AR 640-10 (military personnel records).
    (18) AR 690 series, FPM Supplement 293-31; FPM chapters 293, 294, 
and 339 (civilian personnel records).
    (19) AR 380-5 and DOD 5200.1-R (national security classified 
information).
    (20) Federal Acquisition Regulation (FAR), DOD Federal Acquisition 
Regulation Supplement (DFARS), and the Army Federal Acquisition 
Regulation Supplement (AFARS) (procurement matters).
    (21) AR 380-5, paragraph 7-101e (policies and procedures for 
allowing persons outside the Executive Branch to do unofficial 
historical research in classified Army records.

                         DOD Public Information



Sec. 518.5  ODISC4 Authority to approve exceptions.

    The ODISC4 has the authority to approve exceptions to this part 
which are consistent with controlling law and regulation. The ODISC4 may 
delegate this authority in writing to a division chief within the 
proponent agency who holds the rank of colonel or the civilian 
equivalent. The approval authority coordinate all questions regarding 
the scope of authority to approve exceptions with Headquarters 
Department of the Army, Office of The Judge Advocate General, ATTN: 
DAJA-AL, Washington, DC 20310-2200.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.6  Public information.

    The public has a right to information concerning the activities of 
its Government. DoD policy is to conduct its activities in an open 
manner and provide the public with a maximum amount of accurate and 
timely information concerning its activities, consistent always with the 
legitimate public and private interests of the American people. A DoD 
record requested by a member of the public who follows rules established 
by proper authority in the Department of Defense shall be withheld only 
when it is exempt from mandatory public disclosure under the FOIA. In 
the event a requested record is exempt under the FOIA, it may 
nonetheless be released when it is determined that no governmental 
interest will be jeopardized by the release of the record. (See 
Sec. 518.36 for clarification.) In order that the public may have timely 
information concerning DoD activities, records requested through public 
information channels by news media representatives that would not be 
withheld if requested under the FOIA should be released upon request 
unless the requested records are in a Privacy Act system of records; 
such records in a Privacy Act system of records will not be released 
absent a written request under the FOIA, unless otherwise releasable 
under the Privacy Act. Prompt responses to requests for information from 
news media representatives should be encouraged to eliminate the need 
for these requesters to invoke the provisions of the FOIA and thereby 
assist in providing timely information to the public. Similarly, 
requests from other members of the public for information should 
continue to be honored through appropriate means even though the request 
does not qualify under FOIA requirements.



Sec. 518.7  Control system.

    A request for records that invokes the FOIA shall enter a formal 
control system designed to ensure compliance with the FOIA. A release 
determination must be made and the requester informed within the time 
limits specified in this Regulation. Any request for DoD records that 
either explicitly or implicitly cites the FOIA shall be processed under 
the provisions of this Regulation, unless otherwise required by 
Sec. 518.31.

                               Definitions



Sec. 518.8  Definitions and terms.

    As used in this regulation, definitions and terms are listed in 
appendix F to this part.

[[Page 141]]



Sec. 518.9  FOIA request.

    A written request for DoD records, made by any person, including a 
member of the public (U.S. or foreign citizen), an organization, or a 
business, but not including a Federal agency or a fugitive from the law 
that either explicitly or implicitly invokes the FOIA, DoD Directive 
5400.7 (reference b), this part, or DoD Component supplementing 
regulations or instructions. This part is the Department of the Army's 
supplementing regulation.



Sec. 518.10  Agency record.

    (a) The products of data compilation, such as all books, papers, 
maps, and photographs, machine readable materials or other documentary 
materials, regardless of physical form or characteristics, made or 
received by an agency of the United States Government under Federal law 
in connection with the transaction of public business and in DoD's 
possession and control at the time the FOIA request is made.
    (b) The following are not included within the definition of the word 
``record'':
    (1) Objects or articles, such as structures, furniture, vehicles and 
equipment, whatever their historical value, or value as evidence.
    (2) Administrative tools by which records are created, stored, and 
retrieved, if not created or used as sources of information about 
organizations, policies, functions, decisions, or procedures of a DoD 
Component. Normally, computer software, including source code, object 
code, and listings of source and object codes, regardless of medium are 
not agency records. (This does not include the underlying data which is 
processed and produced by such software and which may in some instances 
be stored with the software.) Exceptions to this position are outlined 
in paragraph (c) of this section.
    (3) Anything that is not a tangible or documentary record, such as 
an individual's memory or oral communication.
    (4) Personal records of an individual not subject to agency creation 
or retention requirements, created and maintained primarily for the 
convenience of an agency employee, and not distributed to other agency 
employees for their official use.
    (5) Information stored within a computer for which there is no 
existing computer program for retrieval of the requested information.
    (c) In some instances, computer software may have to be treated as 
an agency record and processed under the FOIA. These situations are 
rare, and shall be treated on a case-by-case basis. Examples of when 
computer software may have to be treated as an agency record are:
    (1) When the data is embedded within the software and cannot be 
extracted without the software. In this situation, both the data and the 
software must be reviewed for release or denial under the FOIA.
    (2) Where the software itself reveals information about 
organizations, policies, functions, decisions, or procedures of a DoD 
Component, such as computer models used to forecast budget outlays, 
calculate retirement system costs, or optimization models on travel 
costs.
    (3) See subpart C of this part for guidance on release 
determinations of computer software.
    (d) A record must exist and be in the possession and control of the 
Department of Defense at the time of the request to be considered 
subject to this Regulation and the FOIA. There is no obligation to 
create, compile, or obtain a record to satisfy an FOIA request.
    (e) If unaltered publications and processed documents, such as 
regulations, manuals, maps, charts, and related geophysical materials 
are available to the public through an established distribution system 
with or without charge, the provisions of 5 U.S.C. 552(a)(3) normally do 
not apply and they need not be processed under the FOIA. Normally, 
documents disclosed to the public by publication in the Federal Register 
also require no processing under the FOIA. Components should direct the 
requester to the appropriate source to obtain the record.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.11  DoD component.

    An element of the Department of Defense, as defined in Sec. 518.4, 
authorized

[[Page 142]]

to receive and act independently on FOIA requests. A DoD Component has 
its own initial denial authority (IDA) or appellate authority, and 
general counsel. The Department of the Army is a DOD Component.



Sec. 518.12  Initial denial authority (IDA).

    An official who has been granted authority by the head of a DoD 
Component to withhold records requested under the FOIA for one or more 
of the nine categories of records exempt from mandatory disclosure. The 
Department of the Army's Initial Denial Authorities are designated in 
Sec. 518.58(d).



Sec. 518.13  Appellate authority.

    The Head of the DoD Component or the Component head's designee 
having jurisdiction of this purpose over the record. The Department of 
the Army's appellate authority is the Office of General Counsel.



Sec. 518.14  Administrative appeal.

    A request by a member of the general public, made under the FOIA, 
asking the appellate authority of a DoD Component to reverse an IDA 
decision to withhold all or part of a requested record or to deny a 
request for waiver or reduction of fees.



Sec. 518.15  Public interest.

    Public interest is official information that sheds light on an 
agency's performance of its statutory duties because the information 
falls within the statutory purpose of the FOIA in informing citizens 
about what their government is doing. That statutory purpose, however, 
is not fostered by disclosure of information about private citizens that 
is accumulated in various governmental files that reveals little or 
nothing about an agency's or official's own conduct.



Sec. 518.16  Electronic data.

    Electronic data are those records and information which are created, 
stored, and retrievable by electronic means. This does not include 
computer software, which is the tool by which to create, store, or 
retrieve electronic data. See Sec. 518.10 (b)(2) and (c) for a 
discussion of computer software.



Sec. 518.17  Law enforcement investigation.

    An investigation conducted by a command or agency for law 
enforcement purposes relating to crime, waste, or fraud or for national 
security reasons. Such investigations may include gathering evidence for 
criminal prosecutions and for civil or regulatory proceedings.

                                 Policy



Sec. 518.18  Compliance with the FOIA.

    DoD personnel are expected to comply with the provisions of the FOIA 
and this Regulation in both letter and spirit. This strict adherence is 
necessary to provide uniformity in the implementation of the DoD FOIA 
Program and to create conditions that will promote public trust.



Sec. 518.19  Openness with the public.

    The Department of Defense shall conduct its activities in an open 
manner consistent with the need for security and adherence to other 
requirements of law and regulation. Records not specifically exempt from 
disclosure under the Act shall, upon request, be made readily accessible 
to the public in accordance with rules promulgated by competent 
authority, whether or not the Act is invoked.
    (a) Operations Security (OPSEC). DA officials who release records 
under the FOIA must also consider OPSEC. The Army implementing directive 
is AR 530-1. Section 518.53 of this publication gives the procedure for 
FOIA personnel and the IDA to follow when a FOIA request appears to 
involve OPSEC.
    (b) DA Form 4948-R. This form lists references and information 
frequently used for FOIA requests related to OPSEC. Persons who 
routinely deal with the public (by telephone or letter) on such requests 
should keep the form on their desks as a guide. DA Form 4948-R (Freedom 
of Information Act (FOIA)/Operations Security (OPSEC) Desk Top Guide) 
will be locally reproduced on 8\1/2\ x 11-inch paper. A copy for 
reproduction purposes is located at the back of this regulation. The 
name and telephone number of the command FOIA/OPSEC adviser will be 
entered on the form.

[[Page 143]]



Sec. 518.20  Avoidance of procedural obstacles.

    DoD Components shall ensure that procedural matters do not 
unnecessarily impede a requester from obtaining DoD records promptly. 
Components shall provide assistance to requesters to help them 
understand and comply with procedures established by this regulation and 
any supplemental regulations published by the DoD Components.



Sec. 518.21  Prompt action on requests.

    When a member of the public complies with the procedures established 
in this part for obtaining DoD records, the request shall receive prompt 
attention; a reply shall be dispatched within 10 working days, unless a 
delay is authorized. When a Component has a significant number of 
requests, e.g., 10 or more, the requests shall be processed in order of 
receipt. However, this does not preclude a Component from completing 
action on a request which can be easily answered, regardless of its 
ranking within the order of receipt. A DoD Component may expedite action 
on a request regardless of its ranking within the order of receipt upon 
a showing of exceptional need or urgency. Exceptional need or urgency is 
determined at the discretion of the compliment processing the request.
    (a) The 10-day period prescribed for review of initial requests 
under the FOIA (5 U.S.C. 552(a)(6)) starts only when the request--
    (1) Is in writing.
    (2) Reasonably describes the record requested.
    (3) Is received by the proper official designated to answer the 
request (see appendix B to this part).
    (4) Meets the procedural requirements of this part (see 
Sec. 518.85(b)(9)).
    (b) All requests shall refer explicitly or implicitly to the Freedom 
of Information Act, to ensure their prompt recognition as FOIA actions.
    (c) Members of the public who make FOIA requests should carefully 
follow the guidance in this part. They should send requests to the 
office that has the desired record or to a specific agency FOIA official 
for referral. The Army Freedom of Information and Privacy Act Division, 
Information Systems Command, Attn: ASQNS-OF-F, room 1146, Hoffman 
Building I, Alexandria, VA 22331-0301 can supply correct addresses.
    (d) See Army Regulation 340-21 for Privacy Act procedures.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.22  Use of exemptions.

    (a) It is the DoD policy to make records publicly available, unless 
they qualify for exemption under one or more of the nine exemptions. 
Components (IDA) may elect to make a discretionary release, however, a 
discretionary release is generally not appropriate for records exempt 
under exemptions 1, 3, 4, 6, and 7(c). Exemptions 4, 6, and 7(c) cannot 
be claimed when the requester is the submitter of the information.
    (b) Parts of a requested record may be exempt from disclosure under 
the FOIA. The proper DA official may delete exempt information and 
release the remainder to the requester. The proper official also has the 
discretion under the FOIA to release exempt information; he or she must 
exercise this discretion in a reasonable manner, within regulations. The 
excised copies shall reflect the denied information by means of 
Blackened areas, which are Sufficiently Blackened as to reveal no 
information. The best means to ensure illegibility is to cut out the 
information from a copy of the document and reproduce the appropriate 
pages. If the document is classified, all classification markings shall 
be lined through with a single black line, which still allows the 
marking to be read. The document shall then be stamped ``Unclassified''.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.23  Public domain.

    Nonexempt records released under the authority of this part are 
considered to be in the public domain. Such records may also be made 
available in Components' reading rooms to facilitate public access. 
Exempt records released pursuant to this part or other statutory or 
regulatory authority, however, may be considered to be in

[[Page 144]]

the public domain only when their release constitutes a waiver of the 
FOIA exemption. When the release does not constitute such a waiver, such 
as when disclosure is made to a properly constituted advisory committee 
or to a Congressional Committee, the released records do not lose their 
exempt status. Also, while authority may exist to disclose records to 
individuals in their official capacity, the provisions of this part 
apply if the same individual seeks the records in a private or personal 
capacity.



Sec. 518.24  Creating a record.

    (a) A record must exist and be in the possession and control of the 
Department of Defense at the time of the search to be considered subject 
to this part and the FOIA. Mere possession of a record does not presume 
departmental control and such records, or identifiable portions thereof, 
would be referred to the originating Agency for direct response to the 
requester. There is no obligation to create not compile a record to 
satisfy an FOIA request. A DoD Component, however, may compile a new 
record when so doing would result in a more useful response to the 
requester, or be less burdensome to the agency than providing existing 
records, and the requester does not object. Cost of creating or 
compiling such a record may not be charged to the requester unless the 
fee for creating the record is equal to or less than the fee which would 
be charged for providing the existing record. Fee assessments shall be 
in accordance with subpart F of this part.
    (b) With respect to electronic data, the issue of whether records 
are actually created or merely extracted from an existing database is 
not always readily apparent. Consequently, when responding to FOIA 
requests for electronic data where creation of record, programming, or 
particular format are questionable, components should apply a standard 
of reasonableness. In other words, if the capability exists to respond 
to the request, and the effort would be a business as usual approach, 
then the request should be processed. However, the request need not be 
processed where the capability to respond does not exist without a 
significant expenditure of resources, thus not being a normal business 
as usual approach.
    (c) Requested records, or portions thereof, may be located at 
several Army offices. The official receiving the FOIA request will refer 
it to those other offices for a direct reply if--
    (1) The information must be reviewed for release under the FOIA; and
    (2) Assembling the information would interfere materially with DA 
operations at the site first receiving the request.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.25  Description of requested record.

    (a) Identification of the record desired is the responsibility of 
the member of the public who requests a record. The requester must 
provide a description of the desired record, that enables the Government 
to locate the record with a reasonable amount of effort. The Act does 
not authorize ``fishing expeditions.'' When a DoD Component receives a 
request that does not ``reasonably describe'' the requested record, it 
shall notify the requester of the defect. The defect should be 
highlighted in a specificity letter, asking the requester to provide the 
type of information outlined below in Sec. 518.61(b) of this 
publication. Components are not obligated to act on the request until 
the requester responds to the specificity letter. When practicable, 
Components shall offer assistance to the requester in identifying the 
records sought and in reformulating the request to reduce the burden on 
the agency in complying with the Act. DA officials will reply to unclear 
requests by letter. The letter will--
    (1) Describe the defects in the request.
    (2) Explain the types of information in paragraph (b) of this 
section, and ask the requester for such information.
    (3) Explain that no action will be taken on the request until the 
requester replies to the letter.
    (b) The following guidelines are provided to deal with ``fishing 
expedition'' requests and are based on the principle of reasonable 
effort. Descriptive information about a record may be divided into two 
broad categories.

[[Page 145]]

    (1) Category I is file-related and includes information such as type 
of record (for example, memorandum), title, index citation, subject 
area, date the record was created, and originator.
    (2) Category II is event-related and includes the circumstances that 
resulted in the record being created or the date and circumstances 
surrounding the event the record covers.
    (c) Generally, a record is not reasonably described unless the 
description contains sufficient Category I information to permit the 
conduct of an organized, nonrandom search based on the Component's 
filing arrangements and existing retrieval systems, or unless the record 
contains sufficient Category II information to permit inference of the 
Category I elements needed to conduct such a search.
    (d) The following guidelines deal with requests for personal 
records. Ordinarily, when personal identifiers are provided only in 
connection with a request for records concerning the requester, only 
records retrievable by personal identifiers need be searched. Search for 
such records may be conducted under Privacy Act procedures. No record 
may be denied that is releasable under the FOIA.
    (e) The above guidelines notwithstanding, the decision of the DoD 
Component concerning reasonableness of description must be based on 
knowledge of its files. If the description enables DoD Component 
personnel with reasonable effort, the description is adequate.



Sec. 518.26  Referrals.

    (a) A request received by a DoD Component having no records 
responsive to a request shall be referred routinely to another DoD 
Component, if the other Component confirms that it has the requested 
record, and this belief can be confirmed by the other DoD Component. In 
cases where the Component receiving the request has reason to believe 
that the existence or nonexistence of the record may in itself be 
classified, that Component will consult the DoD Component having 
cognizance over the record in question before referring the request. If 
the DoD Component that is consulted determines that the existence or 
nonexistence of the record is in itself classified, the requester shall 
be so notified by the DoD Component originally receiving the request, 
and no referral shall take place. Otherwise, the request shall be 
referred to the other DoD Component, and the requester shall be notified 
of any such referral. Any DoD Component receiving a request that has 
been misaddressed shall refer the request to the proper address and 
advise the requester. Within the Army, referrals will be made directly 
to offices that may have custody of requested records. If the office 
receiving the FOIA request does not know where the requested records are 
located, the request and an explanatory cover letter will be forwarded 
to The Army Freedom of Information and Privacy Act Division, Information 
Systems Command, Attn: ASQNS-OP-F, room 1146, Hoffman Building I, 
Alexandria, VA 22331-0301.
    (b) Whenever a record or a portion of a record is, after prior 
consultation, referred to another DoD Component or to a Government 
agency outside of the Department of Defense for a release determination 
and direct response, the requester shall be informed of the referral. 
Referred records shall only be identified to the extent consistent with 
security requirements.
    (c) A DoD Component shall refer an FOIA request for a classified 
record that it holds to another DoD Component or agency outside the 
Department of Defense, if the record originated in the other DoD 
Component or outside agency or if the classification is derivative. In 
this situation, provide the record and a release recommendation on the 
record with the referral action.
    (d) A DoD Component may also refer a request for a record that it 
originated to another DoD Component or agency when the record was 
created for the use of the other DoD Component or agency. The DoD 
Component or agency for which the record was created may have an equally 
valid interest in withholding the record as the DoD Component that 
created the record. In such situations, provide the record and a release 
recommendation on the record with the referral action. An example of 
such a situation is a request for audit reports prepared by the Defense 
Contract Audit Agency. These advisory reports

[[Page 146]]

are prepared for the use of contracting officers and their release to 
the audited contractor shall be at the discretion of the contracting 
officer. Any FOIA request shall be referred to the appropriate 
contracting officer and the requester shall be notified of the referral.
    (e) Within the Department of Defense, a Component shall ordinarily 
refer an FOIA request for a record that it holds, but that was 
originated by another DoD Component or that contains substantial 
information obtained from another DoD Component, to that Component for 
direct response, after direct coordination and obtaining concurrence 
from the Component. The requester then shall be notified of such 
referral. DoD Components shall not, in any case, release or deny such 
records without prior consultation with the other DoD Component.
    (f) DoD Components that receive referred requests shall answer them 
in accordance with the time limits established by the FOIA and this 
Regulation. Those time limits shall begin to run upon receipt of the 
referral by the official designated to respond.
    (g) Agencies outside the Department of Defense that are subject to 
the FOIA:
    (1) A Component may refer as FOIA request for any record that 
originated in an agency outside the DoD 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 Component must respond to the request.
    (2) A DoD Component 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 Department of Defense 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 Component may only respond directly 
to the requester after coordination with the outside agency.
    (3) Notwithstanding anything to the contrary in Sec. 518.26, a 
Component shall notify requesters seeking National Security Council 
(NSC) or White House documents that they should write directly to the 
NSC or White House for such documents. DoD documents in which the NSC or 
White House has a concurrent reviewing interest shall be forwarded to 
the Office of the Assistant Secretary of Defense (Public Affairs) 
(OASD(PA)), Attn: Directorate For Freedom of Information and Security 
Review (DFOISR), which shall effect coordination with the NSC or White 
House, and return the documents to the originating agency after NSC 
review and determination. NSC or White House documents discovered in 
Components' files which are responsive to the FOIA request shall be 
forwarded to OASD(PA), Attn: DFOISR, for subsequent coordination with 
the NSC or White House, and returned to the Component with a release 
determination.
    (h) To the extent referrals are consistent with the policies 
expressed by this paragraph, referrals between offices of the same DoD 
Component are authorized.
    (i) On occasion, the Department of Defense receives FOIA requests 
for General Accounting Office (GAO) documents containing DoD 
information. Even though the GAO is outside the Executive Branch, and 
not subject to the FOIA, all FOIA requests for GAO documents containing 
DoD information received either from the public, or on referral from the 
GAO, will be processed under the provisions of the FOIA. In DA, requests 
received for GAO documents that contain classified Army information will 
be handled by the Army Inspector General's Office.



Sec. 518.27  Authentication.

    Records provided under this part shall be authenticated with an 
appropriate seal, whenever necessary, to fulfill an official Government 
or other legal function. This service, however, is in addition to that 
required under the FOIA and is not included in the FOIA fee schedule. 
DoD Components may charge for the service at a rate of $5.20 for each 
authentication.

[[Page 147]]



Sec. 518.28  Unified and specified commands.

    (a) The Unified Commands are placed under the jurisdiction of the 
OSD, instead of the administering Military Department, only for the 
purpose of administering the DoD FOIA Program. This policy represents an 
exception to the policies directed in DoD Directive 5100.3 (reference 
(f)); it authorizes and requires the Unified Commands to process Freedom 
of Information (FOI) requests in accordance with DoD Directive 5400.7 
(reference (b)) and this Regulation. The Unified Commands shall forward 
directly to the OASD(PA), all correspondence associated with the appeal 
of an initial denial for records under the provisions of the FOIA. 
Procedures to effect this administrative requirement are outlined in 
appendix A. For Army components of unified commands, if the requested 
records are joint documents, process the FOIA request through unified 
command channels. If the requested documents are Army-unique, process 
the FOIA request through Army channels.
    (b) The Specified Commands remain under the jurisdiction of the 
administering Military Department. The Commands shall designate IDAs 
within their headquarters; however, the appellate authority shall reside 
with the Military Department.



Sec. 518.29  Relationship between the FOIA and the Privacy Act (PA).

    Not all requesters are knowledgeable of the appropriate statutory 
authority to cite when requesting records. In some instances, they may 
cite neither Act, but will imply one or both Acts. For these reasons, 
the following guidelines are provided to ensure that requesters receive 
the greatest amount of access rights under both Acts:
    (a) Requesters who seek records about themselves contained in a PA 
system of records and who cite or imply the PA, will have their requests 
processed under the provisions of the PA.
    (b) Requesters who seek records about themselves which are not 
contained in a PA system of records and who cite or imply the PA, will 
have their requests processed under the provisions of the FOIA, since 
they have no access under the PA.
    (c) Requesters who seek records about themselves which are contained 
in a PA system of records and who cite or imply the FOIA or both Acts 
will have their requests processed under the time limits of the FOIA and 
the exemptions and fees of the PA. This is appropriate since greater 
access will be received under the PA.
    (d) Requesters who seek access to agency records and who cite or 
imply the PA and FOIA, will have their requests processed under the 
FOIA.
    (e) Requesters who seek access to agency records and who cite or 
imply the FOIA, will have their requests processed under the FOIA.
    (f) Requesters should be advised in final responses why their 
request was processed under a particular Act.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.30  Records management.

    FOIA records shall be maintained and disposed of in accordance with 
DoD Component Disposition instructions and schedules. See AR 25-400-2. 
AR 25-1 contains Army policy for records management requirements in the 
life cycle management of information. Information access and release, to 
include potential electronic access by the public, will be considered 
during information systems design.



                      Subpart B--FOIA Reading Rooms

                              Requirements



Sec. 518.31  Reading room.

    Each Component shall provide an appropriate facility or facilities 
where the public may inspect and copy or have copied the materials 
described below. In addition to the materials described below, 
Components may elect to place other documents in their reading room as a 
means to provide public access to such documents. DoD Components may 
share reading room facilities if the public is not unduly 
inconvenienced. When appropriate, the cost of copying may be imposed on 
the person requesting the material in accordance with the provisions of 
subpart F of this part. The Army FOIA Reading

[[Page 148]]

Room is operated by The Freedom of Information and Privacy Act Division, 
Information Systems Command. It is located in room 1146, Hoffman 
Building I, 2461 Eisenhower Avenue, Alexandria, VA 22331-0301. It is 
open from 0800 to 1530 Monday through Friday, except holidays.



Sec. 518.32  Material availability.

    The FOIA requires that so-called ``(a)(2)'' materials shall be made 
available in the FOIA reading room for inspection and copying, unless 
such materials are published and copies are offered for sale. 
Identifying details that, if revealed, would create a clearly 
unwarranted invasion of personal privacy may be deleted from ``(a)(2)'' 
materials made available for inspection and copying. In every case, 
justification for the deletion must be fully explained in writing. 
However, a DoD Component may publish in the Federal Register a 
description of the basis upon which it will delete identifying details 
of particular types of documents to avoid clearly unwarranted invasions 
of privacy. In appropriate cases, the DoD Component may refer to this 
description rather than write a separate justification for each 
deletion. So-called ``(a)(2)'' materials are:
    (a) Final opinions, including concurring and dissenting opinions, 
and orders made in the adjudication of cases, as defined in 5 U.S.C. 551 
(reference (g)), that may be cited, used, or relied upon as precedents 
in future adjudications.
    (b) Statements of policy and interpretations that have been adopted 
by the agency and are not published in the Federal Register.
    (c) Administrative staff manuals and instructions, or portions 
thereof, that establish DoD policy or interpretations of policy that 
affect a member of the public. This provision does not apply to 
instructions for employees on tactics and techniques to be used in 
performing their duties, or to instructions relating only to the 
internal management of the DoD Component. Examples of manuals and 
instructions not normally made available are:
    (1) Those issued for audit, investigation, and inspection purposes, 
or those that prescribe operational tactics, standards of performance, 
or criteria for defense, prosecution, or settlement of cases.
    (2) Operations and maintenance manuals and technical information 
concerning munitions, equipment, systems, and foreign intelligence 
operations.

                                 Indexes



Sec. 518.33  ``(a)(2)'' materials.

    (a) Each DoD Component shall maintain in each facility prescribed in 
Sec. 518.31, an index of materials described in Sec. 518.4, that are 
issued, adopted, or promulgated, after July 4, 1967. No ``(a)(2)'' 
materials issued, promulgated, or adopted after July 4, 1967 that are 
not indexed and either made available or published may be relied upon, 
used or cited as precedent against any individual unless such individual 
has actual and timely notice of the contents of such materials. Such 
materials issued, promulgated, or adopted before July 4, 1967, need not 
be indexed, but must be made available upon request if not exempted 
under this Regulation.
    (b) Each DoD Component shall promptly publish quarterly or more 
frequently, and distribute, by sale or otherwise, copies of each index 
of ``(a)(2)'' materials or supplements thereto unless it publishes in 
the Federal Register an order containing a determination that 
publication is unnecessary and impracticable. A copy of each index or 
supplement not published shall be provided to a requester at a cost not 
to exceed the direct cost of duplication as set forth in subpart F.
    (c) Each index of ``(a)(2)'' materials or supplement thereto shall 
be arranged topically or by descriptive words rather than by case name 
or numbering system so that members of the public can readily locate 
material. Case name and numbering arrangements, however, may also be 
included for DoD Component convenience.



Sec. 518.34  Other materials.

    (a) Any available index of DoD Component material published in the 
Federal Register, such as material required to be published by section 
552(a)(1) of the FOIA, shall be made available in DoD Component FOIA

[[Page 149]]

reading rooms. Army ``(a)(2)'' materials are published in DA Pam 25-30.
    (b) Although not required to be made available in response to FOIA 
requests or made available in FOIA Reading Rooms, ``(a)(1)'' materials 
shall, when feasible, be made available in FOIA reading rooms for 
inspection and copying. Examples of ``(a)(1)'' materials are: 
descriptions of an agency's central and field organization, and to the 
extent they affect the public, rules of procedures, descriptions of 
forms available, instruction as to the scope and contents of papers, 
reports, or examinations, and any amendment, revision, or report of the 
aforementioned.



                          Subpart C--Exemptions

                           General Provisions



Sec. 518.35  General.

    Records that meet the exemption criteria in the exemption part of 
subpart C may be withheld from public disclosure and need not be 
published in the Federal Register, made available in a library reading 
room, or provided in response to an FOIA request.



Sec. 518.36  Jeopardy of government interest.

    An exempted record, other than those being withheld pursuant to 
Exemptions 1, 3 or 6, shall be made available upon the request of any 
individual when, in the judgment of the releasing DoD Component or 
higher authority, no jeopardy to government interest would be served by 
release. It is appropriate for DoD Components to use their discretionary 
authority on a case-by-case basis in the release of given records. If a 
DoD Component determines that a record requested under the FOIA meets 
the Exemption 4 withholding criteria set forth in this publication, the 
DoD Component shall not ordinarily exercise its discretionary power to 
release, absent circumstances in which a compelling public interest will 
be served by release of that record. Further guidance on this issue may 
be found in Sec. 518.37, Number 4. and Sec. 518.65.

                               Exemptions



Sec. 518.37  FOIA exemptions.

    The following types of records may be withheld by the IDA in whole 
or in part from public disclosure under the FOIA, unless otherwise 
prescribed by law. A discretionary release (also see Sec. 518.23) to one 
requester may preclude the withholding of the same record under a FOIA 
exemption if the record is subsequently requested by someone else. In 
applying exemptions, the identity of the requester and the purpose for 
which the record is sought are irrelevant with the exception that an 
exemption may not be invoked where the particular interest to be 
protected is the requester's privacy interest.
    (a) Number 1. Those properly and currently classified in the 
interest of national defense or foreign policy, as specifically 
authorized under the criteria established by executive order and 
implemented by regulations, such as DoD 5200.1-R (reference h). Although 
material is not classified at the time of the FOIA request, a 
classification review may be undertaken to determine whether the 
information should be classified. The procedures in Sec. 518.53(c)(4) 
apply. In addition, this exemption shall be invoked when the following 
situations are apparent:
    (1) The fact of the existence or nonexistence of a record would 
itself reveal classified information. In this situation, Components 
shall neither confirm nor deny the existence or nonexistence of the 
record being requested. A ``refusal to confirm or deny'' response must 
be used consistently, not only when a record exists, but also when a 
record does not exist. Otherwise, the pattern of using a ``no record'' 
response when a record does not exist, and a ``refusal to confirm or 
deny'' when a record does exist will itself disclose national security 
information.
    (2) Information that concerns one or more of the classification 
categories established by executive order and DoD 5200.1-R (reference 
(h)) shall be classified if its unauthorized disclosure, either by 
itself or in the context of other

[[Page 150]]

information, reasonably could be expected to cause damage to the 
national security.
    (b) Number 2. Those related solely to the internal personnel rules 
and practices of DoD or any of its Components. This exemption has two 
profiles, high b2 and low b2.
    (1) Records qualifying under high b2 are those containing or 
constituting statitutes, rules, regulations, orders, manuals, 
directives, and instructions the release of which would allow 
circumvention of these records thereby substantially hindering the 
effective performance of a significant function of the DoD. Examples 
include:
    (i) Those operating rules, guidelines, and manuals for DoD 
investigators, inspectors, auditors, or examiners that must remain 
privileged in order for the DoD Component to fulfill a legal 
requirement.
    (ii) Personnel and other administrative matters, such as examination 
questions and answers used in training courses or in the determination 
of the qualification of candidates for employment, entrance on duty, 
advancement, or promotion.
    (iii) Computer software meeting the standards of Sec. 518.10(c), the 
release of which would allow circumvention of statute or DoD rules, 
regulations, orders, directives, or instructions. In this situation, the 
use of the software must be closely examined to ensure a circumvention 
possibility exists.
    (2) Records qualifying under the low b2 profile are those that are 
trivial and housekeeping in nature for which there is no legitimate 
public interest or benefit to be gained by release, and it would 
constitute an administrative burden to process the request in order to 
disclose these records. Examples include: Rules of personnel's use of 
parking facilities or regulation of lunch hours, statements of policy as 
to sick leave, and trivial administrative data such as file numbers, 
mail routing stamps, initials, data processing notations, brief 
references to previous communications, and other like administrative 
markings.
    (3) Negotiation and bargaining techniques, practices, and 
limitations.
    (c) Number 3. Those concerning matters that a statute specifically 
exempts from disclosure by terms that permit no discretion on the issue, 
or in accordance with criteria established by that statute for 
withholding or referring to particular types of matters to be withheld. 
Examples of statutes are:
    (1) National Security Agency Information Exemption, Pub. L. 86-36, 
Section 6 (reference (c)).
    (2) Patent Secrecy, 35 U.S.C. 181-188 (reference (i)). Any records 
containing information relating to inventions that are the subject of 
patent applications on which Patent Secrecy Orders have been issued.
    (3) Restricted Data and Formerly Restricted Data, 42 U.S.C. 2162 
(reference (j)).
    (4) Communication Intelligence, 18 U.S.C. 798 (reference (k)).
    (5) Authority to Withhold From Public Disclosure Certain Technical 
Data, 10 U.S.C. 130 and DoD Directive 5230.25 (reference (w) and (aa)).
    (6) Confidentiality of Medical Quality Records: Qualified Immunity 
Participants, 10 U.S.C. 1102 (reference (cc)).
    (7) Physical Protection of Special Nuclear Material: Limitation on 
Dissemination of Unclassified Information, 10 U.S.C. 128 (reference ii).
    (8) Protection of Intelligence Sources and Methods, 50 U.S.C. 
403(d)(3).
    (d) Number 4. Those containing trade secrets or commercial or 
financial information that a DoD Component receives from a person or 
organization outside the Government with the understanding that the 
information or record will be retained on a privileged or confidential 
basis in accordance with the customary handling of such records. Records 
within the exemption must contain trade secrets, or commercial or 
financial records, the disclosure of which is likely to cause 
substantial harm to the competitive position of the source providing the 
information; impair the Government's ability to obtain necessary 
information in the future; or impair some other legitimate government 
interest. Examples include records that contain:
    (1) Commercial or financial information received in confidence in 
connection with loans, bids, contracts, or proposals, as well as other 
information received in confidence or privileged, such

[[Page 151]]

as trade secrets, inventions, discoveries, or other proprietary data. 
See Public Law 101-189, National Defense Authorization Act, November 
1989, 103 Stat. 1352 (Sec. 518.1(k)).
    (2) Statistical data and commercial or financial information 
concerning contract performance, income, profits, losses, and 
expenditures, if offered and received in confidence from a contractor or 
potential contractor.
    (3) Personal statements given in the course of inspections, 
investigations, or audits, when such statements are received in 
confidence from the individual and retained in confidence because they 
reveal trade secrets or commercial or financial information normally 
considered confidential or privileged.
    (4) Financial data provided in confidence by private employers in 
connection with locality wage surveys that are used to fix and adjust 
pay schedules applicable to the prevailing wage rate of employees within 
the Department of Defense.
    (5) Scientific and manufacturing processes or developments 
concerning technical or scientific data or other information submitted 
with an application for a research grant, or with a report while 
research is in progress.
    (6) Technical or scientific data developed by a contractor or 
subcontractor exclusively at private expense, and technical or 
scientific data developed in part with Federal funds and in part at 
private expense, wherein the contractor or subcontractor has retained 
legitimate proprietary interests in such data in accordance with 10 
U.S.C. 2320-2321 and DoD Federal Acquisition Regulation Supplement 
(DFARS), subpart 227.4 (references (aa) and (cc)). Technical data 
developed exclusively with Federal funds may be withheld under Exemption 
Number 3 if it meets the criteria of 10 U.S.C. 130 and DoD Directive 
5230.25 (reference (v)) (see Sec. 518.37(e)).
    (7) Computer software meeting the conditions of section 518.10(c), 
which is copyrighted under the Copyright Act of 1976 (17 U.S.C. 106), 
the disclosure of which would have an adverse impact on the potential 
market value of a copyrighted work.
    (e) Number 5. Except as provided in paragraphs (e)(2) through (5) of 
this section, internal advice, recommendations, and subjective 
evaluations, as contrasted with factual matters, that are reflected in 
records pertaining to the decision-making process of an agency, whether 
within or among agencies (as defined in 5 U.S.C. 552(e) (reference (a)), 
or within or among DoD Components. Also exempted are records pertaining 
to the attorney-client privilege and the attorney work-product 
privilege.
    (1) Examples include:
    (i) The nonfactual portions of staff papers, to include after-action 
reports and situation reports containing staff evaluations, advice, 
opinions or suggestions.
    (ii) Advice, suggestions, or evaluations prepared on behalf of the 
Department of Defense by individual consultants or by boards, 
committees, councils, groups, panels, conferences, commissions, task 
forces, or other similar groups that are formed for the purpose of 
obtaining advice and recommendations.
    (iii) Those nonfactual portions of evaluations by DoD Component 
personnel of contractors and their products.
    (iv) Information of a speculative, tentative, or evaluative nature 
or such matters as proposed plans to procure, lease or otherwise acquire 
and dispose of materials, real estate, facilities or functions, when 
such information would provide undue or unfair competitive advantage to 
private personal interests or would impede legitimate Government 
functions.
    (v) Trade secret or other confidential research development, or 
commercial information owned by the Government, where premature release 
is likely to affect the Government's negotiating position or other 
commercial interests.
    (vi) Records that are exchanged among agency personnel and within 
and among DoD Components or agencies as part of the preparation for 
anticipated administrative proceeding by an agency or litigation before 
any Federal, State, or military court, as well as records that qualify 
for the attorney-client privilege.
    (vii) Those portions of official reports of inspection, reports of 
the Inspector Generals, audits, investigations, or surveys pertaining to 
safety, security, or

[[Page 152]]

the internal management, administration, or operation of one or more DoD 
Components, when these records have traditionally been treated by the 
courts as privileged against disclosure in litigation.
    (viii) Computer software meeting the standards of Sec. 518.10(c), 
which is deliberative in nature, the disclosure of which would inhibit 
or chill the decision making process. In this situation, the use of 
software must be closely examined to ensure its deliberative nature.
    (ix) Planning, programming, and budgetary information which is 
involved in the defense planning and resource allocation process (see 
reference (kk)).
    (2) If any such intra or interagency record or reasonably segregable 
portion of such record hypothetically would be made available routinely 
through the ``discovery process'' in the course of litigation with the 
agency, i.e., the process by which litigants obtain information from 
each other that is relevant to the issues in a trial or hearing, then it 
should not be withheld from the general public even though discovery has 
not been sought in actual litigation. If, however, the information 
hypothetically 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 interest of the agency in maintaining its 
confidentiality, then the record or document need not be made available 
under this Regulation. Consult with legal counsel to determine whether 
exemption 5 material would be routinely made available through the 
discovery process.
    (3) Intra or interagency memoranda or letters that are factual, or 
those reasonably segregable portions that are factual, are routinely 
made available through ``discovery,'' and shall be made available to a 
requester, unless the factual material is otherwise exempt from release, 
inextricably intertwined with the exempt information, so fragmented as 
to be uninformative, or so redundant of information already available to 
the requester as to provide no new substantive information.
    (4) A direction or order from a superior to a subordinate, though 
contained in an internal communication, generally cannot be withheld 
from a requester if it constitutes policy guidance or a decision, as 
distinguished from a discussion of preliminary matters or a request for 
information or advice that would compromise the decision-making process.
    (5) An internal communication concerning a decision that 
subsequently has been made a matter of public record must be made 
available to a requester when the rationale for the decision is 
expressly adopted or referenced in the record containing the decision.
    (f) Number 6. Information in personnel and medical files, as well as 
similar personal information in other files, that, if disclosed to the 
requester would result in a clearly unwarranted invasion of personal 
privacy. Release of information about an individual contained in a 
Privacy Act System of records that would constitute a clearly 
unwarranted invasion of privacy is prohibited, and could subject the 
releaser to civil and criminal penalties.
    (1) Examples of other files containing personal information similar 
to that contained in personnel and medical files include:
    (i) Those compiled to evaluate or adjudicate the suitability of 
candidates for civilian employment or membership in the Armed Forces, 
and the eligibility of individuals (civilian, military, or contractor 
employees) for security clearances, or for access to particularly 
sensitive classified information.
    (ii) Files containing reports, records, and other material 
pertaining to personnel matters in which administratve action, including 
disciplinary action, may be taken.
    (2) Home addresses are normally not releasable without the consent 
of the individuals concerned. In addition, the release of lists of DoD 
military and civilian personnel's names and duty addresses who are 
assigned to units that are sensitive, routinely deployable, or stationed 
in foreign territories can constitute a clearly unwarranted invasion of 
personal privacy.
    (i) A privacy interest may exist in personal information even though 
the information has been disclosed at some place and time. If personal 
information

[[Page 153]]

is not freely available from sources other than the Federal Government a 
privacy interest exists in its nondisclosure. The fact that the 
Government expended funds to prepare, index and maintain records on 
personal information, and the fact that a requester invokes FOIA to 
obtain these records indicated the information is not freely available.
    (ii) Published telephone directories, organizational charts, rosters 
and similar materials for personnel assigned to units that are 
sensitive, routinely deployable, or stationed in foreign territories are 
withholdable under this exemption.
    (3) This exemption shall not be used in an attempt to protect the 
privacy of a deceased person, but it may be used to protect the privacy 
of the deceased person's family.
    (4) Individuals' personnel, medical, or similar file may be withheld 
from them or their designated legal representative only to the extent 
consistent with DoD Directive 5400.11 (reference (d)).
    (5) A clearly unwarranted invasion of the privacy of the persons 
indentified in a personnel, medical or similar record may constitute a 
basis for deleting those reasonably segregable portions of that record, 
even when providing it to the subject of the record. When withholding 
personal information from the subject record, legal counsel should first 
be consulted.
    (6) Requests for access to or release of records, before appellate 
review, of courts-martial or special courts-martial involving a bad 
conduct discharge should be addressed as in appendix B, paragraph 5. 
This guidance does not preclude furnishing records of a trial to an 
accused.
    (g) Number 7. Records or information compiled for law enforcement 
purposes; i.e., civil, criminal, or military law, including the 
implementation of executive orders or regulations issued pursuant to 
law. This exemption also applies to law enforcement investigations such 
as Inspector General investigations. This exemption may be invoked to 
prevent disclosure of documents not originally created for, but later 
gathered for law enforcement purposes.
    (1) This exemption applies, however, only to the extent that 
production of such law enforcement records or information could result 
in the following:
    (i) Could reasonably be expected to interfere with enforcement 
proceedings.
    (ii) Would deprive a person of the right to a fair trial or to an 
impartial adjudication.
    (iii) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy of a living person, including surviving 
family members of an individual identified in such a record.
    (A) This exemption also applies when the fact of the existence or 
nonexistence of a responsive record would itself reveal personally 
private information, and the public interest in disclosure is not 
sufficient to outweigh the privacy interest. In this situation, 
Components shall neither confirm nor deny the existence or nonexistence 
of the record being requested.
    (B) A ``refusal to confirm or deny'' response must be used 
consistently, not only when a record exists, but also when a record does 
not exist. Otherwise, the pattern of using a ``no records'' response 
when a record does not exist and a ``refusal to confirm or deny'' when a 
record does exist will itself disclose personally private information.
    (C) Refusal to confirm or deny should not be used when (1) the 
person whose personal privacy is in jeopardy has provided the requester 
with a waiver of his or her privacy rights; or (2) the person whose 
personal privacy is in jeopardy is decreased, and the agency is aware of 
the fact.
    (iv) Could reasonably be expected to disclose the identity of a 
confidential source, including a source within the Department of 
Defense, a State, local, or foreign agency or authority, or any private 
institution which furnishes the information on a confidential basis.
    (v) Could disclose information furnished from a confidential source 
and obtained by a criminal law enforcement authority in a criminal 
investigation or by an agency conducting a lawful national security 
intelligence investigation.

[[Page 154]]

    (vi) Would disclose techniques and procedures for law enforcement 
investigations or prosecutions, or would disclose guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law.
    (vii) Could reasonably be expected to endanger the life or physical 
safety of any individual.
    (2) Examples include:
    (i) Statements of witnesses and other material 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 being investigated for 
alleged irregularities involving contracting with the Department of 
Defense (Army) when no indictment has been obtained nor any civil action 
filed against them by the United States.
    (iii) Information obtained in confidence, expressed or implied, in 
the course of a criminal investigation by a criminal law enforcement 
agency or office within a DoD Component, or a lawful national security 
intelligence investigation conducted by an authorized agency or office 
within a DoD Component. National security intelligence investigations 
include background security investigations and those investigations 
conducted for the purpose of obtaining affirmative or 
counterintelligence information.
    (3) The right of individual litigants to investigative records 
currently available by law (such as, the Jencks Act, 18 U.S.C. 3500, 
reference (l)) is not diminished.
    (4) When the subject of an investigative record is the requester of 
the record, it may be withheld only as authorized by DoD Directive 
5400.11 (reference (d)). The Army implementing directive is AR 340-21.
    (5) Exclusions. Excluded from the above exemption are the following 
two situations applicable to the Department of Defense:
    (i) Whenever a request is made which involves access to records or 
information compiled for law enforcement purposes, and the investigation 
or proceeding involves a possible violation of criminal law where there 
is reason to believe that the subject of the investigation or proceeding 
is unaware of its pendency, and the disclosure of the existence of the 
records could reasonably be expected to interfere with enforcement 
proceedings, Components may, during only such times as that circumstance 
continues, treat the records or information as not subject to the FOIA. 
In such situation, the response to the requester will state that no 
records were found.
    (ii) Whenever informant records maintained by a criminal law 
enforcement organization within a DoD Component under the informant's 
name or personal identifier are requested by a third party using the 
informant's name or personal identifier, the Component may treat the 
records as not subject to the FOIA, unless the informant's status as an 
informant has been officially confirmed. If it is determined that the 
records are not subject to the FOIA, the response to the requester will 
state that no records were found.
    (h) Number 8. Those contained in or related to examination, 
operation or condition reports prepared by, on behalf of, or for the use 
of any agency responsible for the regulation or supervision of financial 
institutions.
    (i) Number 9. Those containing geological and geophysical 
information and data (including maps) concerning wells.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



                    Subpart D--For Official Use Only

                           General Provisions



Sec. 518.38  General.

    Information that has not been given a security classification 
pursuant to the criteria of an Executive Order, but which may be 
withheld from the public for one or more of the reasons cited in FOIA 
exemptions 2 through 9 shall be considered as being for official use 
only. No other material shall be considered or marked ``For Official Use 
Only'' (FOUO), and FOUO is not authorized as an anemic form of 
classification to protect national security interests.

[[Page 155]]



Sec. 518.39  Prior FOUO application.

    The prior application of FOUO markings is not a conclusive basis for 
withholding a record that is requested under the FOIA. When such a 
record is requested, the information in it shall be evaluated to 
determine whether, under current circumstances, FOIA exemptions apply in 
withholding the record or portions of it. If any exemption or exemptions 
apply or applies, it may nonetheless be released when it is determined 
that no governmental interest will be jeopardized by its release.



Sec. 518.40  Historical papers.

    Records such as notes, working papers, and drafts retained as 
historical evidence of DoD Component actions enjoy no special status 
apart from the exemptions under the FOIA (reference (a)).



Sec. 518.41  Time to mark records.

    The marking of records at the time of their creation provides notice 
of FOUO content and facilitates review when a record is requested under 
the FOIA. Records requested under the FOIA that do not bear such 
markings, shall not be assumed to be releasable without examination for 
the presence of information that requires continued protection and 
qualifies as exempt from public release.



Sec. 518.42  Distribution statement.

    Information in a technical document that requires a distribution 
statement pursuant to DoD Directive 5230.24 (reference (m)), shall bear 
that statement and may be marked FOUO as appropriate.



Sec. 518.43  Location of markings.

    (a) An unclassified document containing FOUO information shall be 
marked ``For Official Use Only'' in bold letters at least \3/16\ of an 
inch high at the bottom on the outside of the front cover (if any), one 
each page containing FOUO information, and on the outside of the back 
cover (if any).
    (b) Within a classified document, an individual page that contains 
both FOUO and classified information shall be marked at the top and 
bottom with the highest security classification of information appearing 
on the page.
    (c) Within a classified document, an individual page that contains 
FOUO information but no classified information shall be marked ``For 
Official Use Only'' at the bottom of the page. The paragraphs containing 
the ``For Official Use Only'' information should also be marked with the 
initials FOUO.
    (d) Other records, such as, photographs, films, tapes, or slides, 
shall be marked ``For Official Use Only'' or ``FOUO'' in a manner that 
ensures that a recipient or viewer is aware of the status of the 
information therein. Markings on microform will conform to the 
requirements of paragraphs (b) and (c) of this section. As a minimum, 
each frame of a microform containing FOUO information will be marked 
``FOR OFFICIAL USE ONLY'' at the bottom center of the appropriate page 
or frame. Classified or protective markings placed by a software program 
at both top and bottom of a page or frame of a computer-generated report 
are acceptable. Storage media (disk packs or magnetic tapes) containing 
personal information subject to the Privacy Act will be labeled ``FOR 
OFFICIAL USE ONLY-Privacy Act Information.''
    (e) FOUO material transmitted outside the Department of Defense 
requires application of an expanded marking to explain the significance 
of the FOUO marking. This may be accomplished by typing or stamping the 
following statement on the record prior to transfer: ``This document 
contains information EXEMPT FROM MANDATORY DISCLOSURE under the FOIA. 
Exemptions * * * apply.''
    (f) Permanently bound volumes need to be marked only on the outside 
of the front and back covers, title page, and first and last pages. 
Volumes stapled by office-type hand or electric staples are not 
considered permanently bound.

                     Dissemination and Transmission



Sec. 518.44  Release and transmission procedures.

    Until FOUO status is terminated, the release and transmission 
instructions that follow apply:

[[Page 156]]

    (a) FOUO information may be disseminated within DoD Components and 
between officials of DoD Components and DoD contractors, consultants, 
and grantees to conduct official business for the Department of Defense. 
Recipients shall be made aware of the status of such information, and 
transmission shall be by means that preclude unauthorized public 
disclosure. Transmittal documents shall call attention to the presence 
of FOUO attachments.
    (b) DoD holders of FOUO information are authorized to convey such 
information to officials in other departments and agencies of the 
executive and judicial branches to fulfill a government function, except 
to the extent prohibited by the Privacy Act. Records thus transmitted 
shall be marked ``For Official Use Only,'' and the recipient shall be 
advised that the information has been exempted from public disclosure, 
pursuant to the FOIA, and that special handling instructions do or do 
not apply.
    (c) Release of FOUO information to Members of Congress is governed 
by DoD Directive 5400.4 (reference (n)). Army implementing instructions 
are in Sec. 518.52 and in AR 1-20. Release to the GAO is governed by DoD 
Directive 7650.1 (reference (o)). Records released to the Congress or 
GAO should be reviewed to determine whether the information warrants 
FOUO status. If not, prior FOUO markings shall be removed or effaced. If 
withholding criteria are met, the records shall be marked FOUO and the 
recipient provided an explanation for such exemption and marking. 
Alternatively, the recipient may be requested, without marking the 
record, to protect against its public disclosure for reasons that are 
explained.



Sec. 518.45  Transporting FOUO information.

    Records containing FOUO information shall be transported in a manner 
that precludes disclosure of the contents. When not commingled with 
classified information, FOUO information may be sent via first-class 
mail or parcel post. Bulky shipments, such as distributions of FOUO 
Directives or testing materials, that otherwise qualify under postal 
regulations may be sent by fourth-class mail. When material marked FOUO 
is removed from storage, attach DA Label 87 (For Official Use Only Cover 
Sheet).



Sec. 518.46  Electrically transmitted messages.

    Each part of electrically transmitted messages containing FOUO 
information shall be marked appropriately. Unclassified messages 
containing FOUO information shall contain the abbreviation ``FOUO'' 
before the beginning of the text. Such messages shall be transmitted in 
accordance with communications security procedures in ACP[EN]121 (U.S. 
Supp 1) (reference (p)) for FOUO information. Army follows the 
procedures in AR 25-11.



Sec. 518.47  Telephone usage.

    (a) FOUO information may be discussed over the telephone lines with 
DoD, other Government agencies, and Government support contractors for 
official purposes.
    (b) Facsimile communications marked FOUO may be transmitted by 
nonsecure terminals with the FOUO markings intact between U.S. DoD, 
other U.S. Government agencies, and U.S. Government support contractors 
for official purposes.

                      Safeguarding FOUO Information



Sec. 518.48  During duty hours.

    During normal working hours, records determined to be FOUO shall be 
placed in an out-of-sight location if the work area is accessible to 
non-governmental personnel. When material marked FOUO is removed from 
storage, attach DA Label 87.



Sec. 518.49  During nonduty hours.

    At the close of business, FOUO records shall be stored so as to 
preclude unauthorized access. Filing such material with other 
unclassified records in unlocked files or desks, etc., is adequate when 
normal U.S. Government or government-contractor internal building 
security is provided during nonduty hours. When such internal security 
control is not exercised, locked buildings or rooms normally provide 
adequate after-hours protection. If

[[Page 157]]

such protection is not considered adequate, FOUO material shall be 
stored in locked receptacles such as file cabinets, desks, or bookcases. 
FOUO records that are subject to the provisions of Public Law 86-36 
(reference (c)) shall meet the safeguards outlined for that group of 
records. Army personnel handling National Security Agency (NSA) records 
will follow NSA instructions on storing and safeguarding those records.

           Termination, Disposal and Unauthorized Disclosures



Sec. 518.50  Termination.

    The originator or other competent authority, e.g., initial denial 
and appellate authorities, shall terminate ``For Official Use Only'' 
markings or status when circumstances indicate that the information no 
longer requires protection from public disclosure. When FOUO status is 
terminated, all known holders shall be notified, to the extent 
practical. Upon notification, holders shall efface or remove the ``For 
Official Use Only'' markings, but records in file or storage need not be 
retrieved solely for that purpose.
[56 FR 48932, Sept. 26, 1991; 56 FR 56010, Oct. 31, 1991]



Sec. 518.51  Disposal.

    (a) Nonrecord copies of FOUO materials may be destroyed by tearing 
each copy into pieces to preclude reconstructing, and placing them in 
regular trash containers. When local circumstances or experience 
indicates that this destruction method is not sufficiently protective of 
FOUO information, local authorities may direct other methods but must 
give due consideration to the additional expense balanced against the 
degree of sensitivity of the type of FOUO information contained in the 
records.
    (b) Record copies of FOUO documents shall be disposed of in 
accordance with the disposal standards established under 44 U.S.C. 
chapter 33 (reference (q)), as implemented by DoD Component instructions 
concerning records disposal. Army implementing disposition instructions 
are in AR 5-400-2.



Sec. 518.52  Unauthorized disclosure.

    The unauthorized disclosure of FOUO records does not constitute an 
unauthorized disclosure of DoD information classified for security 
purposes. Appropriate administrative action shall be taken, however, to 
fix responsibility for unauthorized disclosure whenever feasible, and 
appropriate disciplinary action shall be taken against those 
responsible. Unauthorized disclosure of FOUO information that is 
protected by the Privacy Act (reference (gg)) may also result in civil 
and criminal sanctions against responsible persons. The DoD Component 
that originated the FOUO information shall be informed of its 
unauthorized disclosure.



              Subpart E--Release and Processing Procedures

                           General Provisions



Sec. 518.53  Public information.

    (a) Since the policy of the Department of Defense is to make the 
maximum amount of information available to the public consistent with 
its other responsibilities, written requests for a DoD or Department of 
the Army record made under the FOIA may be denied only when:
    (1) The record is subject to one or more of the exemptions in 
subpart C of this part.
    (2) The record has not been described well enough to enable the DoD 
Component to locate it with a reasonable amount of effort by an employee 
familiar with the files.
    (3) The requester has failed to comply with the procedural 
requirements, including the written agreement to pay or payment of any 
required fee imposed by the instructions of the DoD Component concerned. 
When personally identifiable information in a record is requested by the 
subject of the record or his attorney, notarization of the request may 
be required.
    (b) Individuals seeking DoD information should address their FOIA 
requests to one of the addresses listed in appendix B.
    (c) Release of information under the FOIA can have an adverse impact 
on OPSEC. The Army implementing directive for OPSEC is AR 530-1. It 
requires

[[Page 158]]

that OPSEC points of contact be named for all HQDA staff agencies and 
for all commands down to battalion level. The FOIA official for the 
staff agency or command will use DA Form 4948-R to announce the OPSEC/
FOIA advisor for the command. Persons named as OPSEC points of contact 
will be OPSEC/FOIA advisors. Command OPSEC/FOIA advisors should 
implement the policies and procedures in AR 530-1, consistent with this 
regulation and with the following considerations:
    (1) Documents or parts of documents properly classified in the 
interest of national security must be protected. Classified documents 
may be released in response to a FOIA request only under AR 380-5, 
chapter III. AR 380-5 provides that if parts of a document are not 
classified and can be segregated with reasonable ease, they may be 
released, but parts requiring continued protection must be clearly 
identified.
    (2) The release of unclassified documents could violate national 
security. When this appears possible, OPSEC-FOIA advisors should request 
a classification evaluation of the document by its proponent under AR 
380-5, paragraphs 2-204, 2-600, 2-800, and 2-801. In such cases, other 
FOIA exemptions (para 3-200) may also apply.
    (3) A combination of unclassified documents, or parts of them, could 
combine to supply information that might violate national security if 
released. When this appears possible, OPSEC/FOIA advisors should 
consider classifying the combined information per AR 380-5, paragraph 2-
211.
    (4) A document or information may not be properly or currently 
classified when a FOIA request for it is received. In this case, the 
request may not be denied on the grounds that the document or 
information is classified except in accordance with Executive Order 
12356, Sec. 1.6(d), and AR 380-5, paragraph 2-204, and with approval of 
the Army General Counsel.
    (d) OPSEC/FOIA advisors will--
    (1) Advise persons processing FOIA requests on related OPSEC 
requirements.
    (2) Help custodians of requested documents prepare requests for 
classification evaluations.
    (3) Help custodians of requested documents identify the parts of 
documents that must remain classified under this paragraph and AR 380-5.
    (e) OPSEC/FOIA advisors do not, by their actions, relieve FOIA 
personnel and custodians processing FOIA requests of their 
responsibility to protect classified or exempted information.



Sec. 518.54  Requests from private parties.

    The provisions of the FOIA are reserved for persons with private 
interests as opposed to federal or foreign governments seeking official 
information. Requests from private persons will be made in writing, and 
will clearly show all other addresses within the Federal Government to 
whom the request was sent. This procedure will reduce processing time 
requirements, and ensure better inter and intra-agency coordination. 
Components are under no obligation to establish procedures to receive 
hand delivered requests. Foreign governments seeking information from 
DoD Components should use established official channels for obtaining 
information. Release of records to individuals under the FOIA is 
considered public release of information, except as provided for in 
Secs. 518.24 and 518.32. DA officials will release the following 
records, upon request, to the persons specified below, even though these 
records are exempt from release to the general public. The 10-day limit 
(Sec. 518.22) applies.
    (a) Medical records. Commanders or chiefs of medical treatment 
facilities will release information.
    (1) On the condition of sick or injured patients to the patient's 
relatives.
    (2) That a patient's condition has become critical to the nearest 
known relative or to the person the patient has named to be informed in 
an emergency.
    (3) That a diagnosis of psychosis has been made to the nearest known 
relative or to the person named by the patient.
    (4) On births, deaths, and cases of communicable diseases to local 
officials (if required by local laws).
    (5) Copies of records of present or former soldiers, dependents, 
civilian employees, or patients in DA medical facilities will be 
released to the patient or to the patient's representative on

[[Page 159]]

written request. The attending physician can withhold records if he or 
she thinks that release may injure the patient's mental or physical 
health; in that case, copies of records will be released to the 
patient's next of kin or legal representative or to the doctor assuming 
the patient's treatment. If the patient is adjudged insane, or is dead, 
the copies will be released, on written request, to the patient's next 
of kin or legal representative.
    (6) Copies of records may be given to a Federal or State hospital or 
penal institution if the person concerned is an inmate or patient there.
    (7) Copies of records or information from them may be given to 
authorized representatives of certain agencies. The National Academy of 
Sciences, the National Research Council, and other accredited agencies 
are eligible to receive such information when they are engaged in 
cooperative studies, with the approval of The Surgeon General of the 
Army. However, certain information on drug and alcohol use cannot be 
released. AR 600-85 covers the Army's alcohol and drug abuse prevention 
and control program.
    (8) Copies of pertinent parts of a patient's records can be 
furnished to the staff judge advocate or legal officer of the command in 
connection with the Government's collection of a claim. If proper, the 
legal officer can release this information to the tortfeasor's insurer 
without the patient's consent.

    Note: Information released to third parties under paragraphs (a) 
(5), (6), and (7) of this section must be accompanied by a statement of 
the conditions of release. The statement will specify that the 
information not be disclosed to other persons except as privileged 
communication between doctor and patient.


    (b) Military personnel records. Military personnel records will be 
released under these conditions:
    (1) DA must provide specific information about a person's military 
service (statement of military service) in response to a request by that 
person or with that person's written consent to his or her legal 
representative.
    (2) Papers relating to applications for, designation of 
beneficiaries under, and allotments to pay premiums for, National 
Service Life Insurance or Serviceman's Group Life Insurance will be 
released to the applicant or to the insured. If the insured is adjudged 
insane (evidence of an insanity judgment must be included) or dies, the 
records will be released, on request, to designated beneficiaries or to 
the next of kin.
    (3) Copies of DA documents that record the death of a soldier, a 
dependent, or a civilian employee will be released, on request, to that 
person's next of kin, life insurance carrier, and legal representative. 
A person acting on behalf of someone else concerned with the death 
(e.g., the executor of a will) may also obtain copies by submitting a 
written request that includes evidence of his or her representative 
capacity. That representative may give written consent for release to 
others.
    (4) Papers relating to the pay and allowances or allotments of a 
present or former soldier will be released to the soldier or his or her 
authorized representative. If the soldier is deceased, these papers will 
be released to the next of kin or legal representatives.
    (c) Civilian personnel records. Civilian Personnel Officers (CPOs) 
with custody of papers relating to the pay and allowances or allotments 
of current or former civilian employees will release them to the 
employee or his or her authorized representative. If the employee is 
dead, these records will be released to the next of kin or legal 
representative. However, a CPO cannot release statements of witnesses, 
medical records, or other reports or documents pertaining to 
compensation for injuries or death of a DA civilian employee (Federal 
Personnel Manual, chap 294). Only officials listed in Sec. 518.58(d) 
(18) can release such information.
    (d) Release of information to the public concerning accused persons 
before determination of the case. Such release may prejudice the 
accused's opportunity for a fair and impartial determination of the 
case. The following procedures apply:
    (1) Information that can be released. Subject to paragraph (d)(2) of 
this section, the following information concerning persons accused of an 
offense may be released by the convening authority to public news 
agencies or media.

[[Page 160]]

    (i) The accused's name, grade or rank, unit, regular assigned 
duties, and other information as allowed by AR 340-21, paragraph 3-3a.
    (ii) The substance or text of the offense of which the person is 
accused.
    (iii) The identity of the apprehending or investigating agency and 
the length or scope of the investigation before apprehension. The 
factual circumstances immediately surrounding the apprehension, 
including the time and place of apprehension, resistance, or pursuit.
    (iv) The type and place of custody, if any.
    (2) Information that will not be released. Before evidence has been 
presented in open court, subjective observations or any information not 
incontrovertibly factual will not be released. Background information or 
information relating to the circumstances of an apprehension may be 
prejudicial to the best interests of the accused, and will not be 
released except under paragraph (d) of this section, unless it serves a 
law enforcement function. The following kinds of information will not be 
released:
    (i) Observations or comments on an accused's character and demeanor, 
including those at the time of apprehension and arrest or during 
pretrial custody.
    (ii) Statements, admissions, confessions, or alibis attributable to 
an accused, or the fact of refusal or failure of the accused to make a 
statement.
    (iii) Reference to confidential sources, investigative techniques 
and procedures, investigator notes, and activity files. This includes 
reference to fingerprint tests, polygraph examinations, blood tests, 
firearms identification tests, or similar laboratory tests or 
examinations.
    (iv) Statements as to the identity, credibility, or testimony of 
prospective witnesses.
    (v) Statements concerning evidence or argument in the case, whether 
or not that evidence or argument may be used at the trial.
    (vi) Any opinion on the accused's guilt.
    (vii) Any opinion on the possibility of a plea of guilty to the 
offense charged, or of a plea to a lesser offense.
    (3) Other considerations.
    (i) Photographing or televising the accused. DA personnel should not 
encourage or volunteer assistance to news media in photographing or 
televising an accused or suspected person being held or transported in 
military custody. DA representatives should not make photographs of an 
accused or suspect available unless a law enforcement function is 
served. Requests from news media to take photographs during courts-
martial are governed by AR 360-5.
    (ii) Fugitives from justice. This paragraph does not restrict the 
release of information to enlist public aid in apprehending a fugitive 
from justice.
    (iii) Exceptional cases. Permission to release information from 
military personnel records other than as outlined in paragraph (b) of 
this section to public news agencies or media may be requested from The 
Judge Advocate General (TJAG). Requests for information from military 
personnel records other than as outlined in paragraph (b) of this 
section above will be processed according to this regulation.
    (e) Litigation, tort claims, and contract disputes. Release of 
information or records under this paragraph is subject to the time 
limitations prescribed in Sec. 518.62. The requester must be advised of 
the reasons for nonrelease or referral.
    (1) Litigation. (i) Each request for a record related to pending 
litigation involving the United States will be referred to the staff 
judge advocate or legal officer of the command. He or she will promptly 
inform the Litigation Division, Office of the Judge Advocate General 
(OTJAG), of the substance of the request and the content of the record 
requested. (Mailing address: HQDA (DAJA-LT), WASH DC 20310-2210; 
telephone, AUTOVON 227-3462 or commercial (202) 697-3462.)
    (ii) If information is released for use in litigation involving the 
United States, the official responsible for investigative reports (AR 
27-40, para 2-4) must be advised of the release. He or she will note the 
release in such investigative reports.
    (iii) Information or records normally exempted from release (i.e., 
personnel and medical records) may be releasable to the judge or court 
concerned, for use

[[Page 161]]

in litigation to which the United States is not a party. Refer such 
requests to the local staff judge advocate or legal officer, who will 
coordinate it with the Litigation Division, OTJAG paragraph ((a)of this 
section).
    (2) Tort claims. (i) A claimant or a claimant's attorney may request 
a record that relates to a pending administrative tort claim filed 
against the DA. Refer such requests promptly to the claims approving or 
settlement authority that has monetary jurisdiction over the pending 
claim. These authorities will follow AR 27-20. The request may concern 
an incident in which the pending claim is not as large as a potential 
claim; in such a case, refer the request to the authority that has 
monetary jurisdiction over the potential claim.
    (ii) A potential claimant or his or her attorney may request 
information under circumstances clearly indicating that it will be used 
to file a tort claim, though none has yet been filed. Refer such 
requests to the staff judge advocate or legal officer of the command. 
That authority, when subordinate, will promptly inform the Chief, U.S. 
Army Claims Service, of the substance of the request and the content of 
the record. (Mailing address: U.S. Army Claims Service, Attn: JACS-TCC, 
Fort George G. Meade, MD 20755-5360; telephone, AUTOVON 923-7860 or 
commercial (301) 677-7860.)
    (iii) DA officials listed in Sec. 518.54(d) who receive requests 
under (a) or (b) of this section will refer them directly to the Chief, 
U.S. Army Claims Service. They will also advise the requesters of the 
referral and the basis for it.
    (iv) The Chief, U.S. Army Claims Service, will process requests 
according to this regulation and AR 27-20, paragraph 1-10.
    (3) Contract disputes. Each request for a record that relates to a 
potential contract dispute or a dispute that has not reached final 
decision by the contracting officer will be treated as a request for 
procurement records and not as litigation. However, the officials listed 
in Secs. 518.50(a) and 518.54(d) will consider the effect of release on 
the potential dispute. Those officials may consult with the U.S. Army 
Legal Services Agency. (Mailing address: U.S. Army Legal Services 
Agency, Attn: JALS-CA, Nassif Building, 5611 Columbia Pike, Falls 
Church, VA 22041-5013; telephone, AUTOVON 289-2023 or commercial (703) 
756-2023.) If the request is for a record that relates to a pending 
contract appeal to the Armed Services Board of Contract Appeals or to a 
final decision that is still subject to appeal (i.e., 90 days have not 
lapsed after receipt of the final decision by the contractor), then the 
request will be--
    (i) Treated as involving a contract dispute; and
    (ii) Referred to the U.S. Army Legal Services Agency. (For address 
and phone number, see paragraph (e)(3) of this section.)
    (f) Dissemination of unclassified information concerning physical 
protection of special nuclear material. (1) Unauthorized dissemination 
of unclassified information pertaining to security measures, including 
security plans, procedures, and equipment for the physical protection of 
special nuclear material, is prohibited under 10 U.S.C. 128 and para 
3[EN]200, exemption number 3.
    (2) This prohibition shall be applied by the Deputy Chief of Staff 
for Operations and Plans as the IDA, to prohibit the dissemination of 
any such information only if and to the extent that it is determined 
that the unauthorized dissemination of such information could reasonably 
be expected to have a significant adverse effect on the health and 
safety of the public or the common defense and security by significantly 
increasing the likelihood of--
    (i) Illegal production of nuclear weapons; or
    (ii) Theft, diversion, or sabotage of special nuclear materials, 
equipment, or facilities.
    (3) In making such a determination, DOD personnel may consider what 
the likelihood of an illegal production, theft, diversion, or sabotage 
would be if the information proposed to be prohibited from dissemination 
were at no time available for dissemination.
    (4) DOD personnel shall exercise the foregoing authority to prohibit 
the dissemination of any information described:
    (i) So as to apply the minimum restrictions needed to protect the 
health

[[Page 162]]

and safety of the public or the common defense and security; and
    (ii) Upon a determination that the unauthorized dissemination of 
such information could reasonably be expected to result in a significant 
adverse effect on the health and safety of the public or the common 
defense and security by significantly increasing the likelihood of--
    (A) Illegal production of nuclear weapons; or
    (B) Theft, diversion, or sabotage of special nuclear materials, 
equipment, or facilities.
    (5) DOD employees shall not use this authority to withhold 
information from the appropriate committees of Congress.
    (g) Release of names and duty addresses. (1) Telephone directories, 
organizational charts, and/or staff directories published by 
installations or activities in CONUS and U.S. Territories will be 
released when requested under FOIA. In all such directories or charts, 
names of personnel assigned to sensitive units, routinely deployable 
units, or units stationed in foreign territories will be redacted and 
denied under Exemption 6 of the FOIA. By DoD policy, the names of 
general officers (or civilian equivalent) or public affairs officers may 
be released at any time. The sanitized copy will be redacted by cutting 
out or masking the names and reproducing the document. The IDA is the 
U.S. Army Information Systems Command-Pentagon, Freedom of Information 
and Privacy Act Division, Attn: ASQNS-OP-F, room 1146, Hoffman Building 
I, Alexandria, VA 22331-0301.
    (2) Public Affairs Offices may release information determined to 
have legitimate news value, such as notices of personnel reassignments 
to new units or installations within the continental United States, 
results of selection/promotion boards, school graduations/completions, 
and awards and similar personal achievements. They may release the names 
and duty addresses of key officials, if such release is determined to be 
in the interests of advancing official community relations functions.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.55  Requests from Government officials.

    Requests from officials of State, or local Governments for DoD 
Component records shall be considered the same as any other requester. 
Requests from members of Congress not seeking records on behalf of a 
Congressional Committee, Subcommittee, either House sitting as a whole, 
or made on behalf of their constituents shall be considered the same as 
any other requester (see Secs. 518.24 and 518.56). Requests from 
officials of foreign governments shall be considered the same as any 
other requester. Requests from officials of foreign governments that do 
not invoke the FOIA shall be referred to appropriate foreign disclosure 
channels and the requester so notified.



Sec. 518.56  Privileged release to officials.

    (a) Subject to DoD 5200.1-R (reference (h)), and AR 380-5 applicable 
to classified information, DoD Directive 5400.11 (reference (d)), and AR 
340-21 applicable to personal privacy, or other applicable law, records 
exempt from release under subpart C, Exemptions, of this part may be 
authenticated and released, without requiring release to other FOIA 
requesters, in accordance with DoD Component regulations to U.S. 
Government officials requesting them on behalf of Federal government 
bodies, whether legislative, executive, administrative, or judicial, as 
follows:
    (1) To a Committee or Subcommittee of Congress, or to either House 
sitting as a whole in accordance with DoD Directive 5400.4 (reference 
(n)). The Army implementing directive is AR 1-20. Commanders or chiefs 
will notify the Chief of Legislative Liaison of all releases of 
information to members of Congress or staffs of congressional 
committees. Organizations that in the normal course of business are 
required to provide information to Congress may be excepted. Handle 
requests by members of Congress (or staffs of congressional committees) 
for inspection of copies of official records as follows:
    (i) National security classified records. Follow AR 380-5.
    (ii) Civilian personnel records. Members of Congress may examine 
offical personnel folders as permitted by 5 CFR 297.503(i).

[[Page 163]]

    (iii) Information related to disciplinary action. This subparagraph 
refers to records of trial by courts-martial; nonjudicial punishment of 
military personnel under the Uniform Code of Military Justice, Article 
15; nonpunitive measures such as administrative reprimands and 
admonitions; suspensions of civilian employees; and similar documents. 
If the Department of the Army has not issued specific instructions on 
the request, the following instructions will apply. Subordinate 
commanders will not release any information without securing the consent 
of the proper installation commander. The installation commander may 
release the information unless the request is for a classified or ``For 
Official Use Only'' document. In that case the commander will refer the 
request promptly to the Chief of Legislative Liaison (see paragraph (d) 
of this section for action, including the recommendations of the 
transmitting agency and copies of the requested records with the 
referral.
    (iv) Military personnel records. Only HQDA can release information 
from these records. Custodians will refer all requests from Congress 
directly and promptly to the Chief of Legislative Liaison, Department of 
the Army, HQDA (SALL) WASH DC 20310-1600.
    (v) Criminal investigation records. Only the Commanding General, 
U.S. Army Criminal Investigation Command (USACIDC), can release any 
USACIDC-originated criminal investigation file. For further information, 
see AR 195-2, Criminal Investigation Activities.
    (vi) Other exempt records. Commanders or chiefs will refer requests 
for all other categories of exempt information under Sec. 518.33 
directly to the Chief of Legislative Liaison per paragraph (d) of this 
section. They will include a copy of the material requested and, as 
appropriate, recommendations concerning release or denial.
    (vii) All other records. The commander or chief with custody of the 
records will furnish all other information promptly.
    (2) To the Federal courts, whenever ordered by officers of the court 
as necessary for the proper administration of justice.
    (3) To other Federal Agencies, both executive and administrative, as 
determined by the head of a DoD Component or designee.
    (i) Disciplinary actions and criminal investigations. Requests for 
access to, or information from, the records of disciplinary actions or 
criminal investigations will be honored if proper credentials are 
presented. Representatives of the Office of Personnel Management may be 
given information from personnel files of employees actually employed at 
organizations or activities. Each such request will be considered on its 
merits. The information released will be the minimum required in 
connection with the investigation being conducted.
    (ii) Other types of requests. All other official requests received 
by DA elements from agencies of the executive branch (including other 
military departments) will be honored, if there are no compelling 
reasons to the contrary. If there are reasons to withhold the records, 
the requests will be submitted for determination of the propriety of 
release to the appropriate addresses shown in appendix B.
    (4) To State and local officials, as determined by the head of a DoD 
Component or designee.
    (b) DoD Components shall inform officials receiving records under 
the provisions of Sec. 518.56(a), that those records are exempt from 
public release under the FOIA and are privileged. DOD Components shall 
also advise officials of any special handling instructions.



Sec. 518.57  Required coordination.

    Before forwarding a FOIA request to an IDA for action, records 
custodians will obtain an opinion from their servicing judge advocate 
concerning the releasability of the requested records. A copy of that 
legal review, the original FOIA request, two copies of the requested 
information (with one copy clearly indicating which portions are 
recommended for withholding, which FOIA exemptions support such 
withholding, and which portions, if any, have already been released), a 
copy of the interim response acknowledging receipt and notifying the 
requester of the referral to the IDA, and a cover letter containing a 
telephone point of contact

[[Page 164]]

will be forwarded to the IDA with the command's recommendation to deny a 
request in whole or in part.

                         Initial Determinations



Sec. 518.58  Initial denial authority.

    (a) Components shall limit the number of IDAs appointed. In 
designating its IDAs, a DoD Component shall balance the goals of 
centralization of authority to promote uniform decisions and 
decentralization to facilitate responding to each request within the 
time limitations of the FOIA. The DA officials in paragraph (d) of this 
section are designated as the Army's only IDAs. Only an IDA, his or her 
delegate, or the Secretary of the Army can deny FOIA requests for DA 
records. Each IDA will act on direct and referred requests for records 
within his or her area of functional responsibility. (See the proper AR 
in the 10-series for full discussions of these areas; they are outlined 
in paragraph (d) of this section.) Included are records created or kept 
within the IDA's area of responsibility; records retired by, or referred 
to, the IDA's headquarters or office; and records of predecessor 
organizations. If a request involves the areas of more than one IDA, the 
IDA to whom the request was originally addressed will normally respond 
to it; however, the affected IDAs may consult on such requests and agree 
on responsibility for them. IDAs will complete all required coordination 
at initial denial level. This includes classified records retired to the 
National Archives and Records Administration when a mandatory 
declassification review is necessary.
    (b) The initial determination of whether to make a record available 
or grant a fee waiver upon request may be made by any suitable official 
designated by the DoD Component in published regulations. The presence 
of the marking ``For Official Use Only'' does not relieve the designated 
official of the responsibility to review the requested record for the 
purpose of determining whether an exemption under this Regulation is 
applicable and should be invoked. DAs may delegate all or part of their 
authority to an office chief or subordinate commander. Such delegations 
must not slow FOIA actions. If an IDA's delegate denies a FOIA or fee 
waiver request, the delegate must clearly state that he or she is acting 
for the IDA and identify the IDA by name and position in the written 
response to the requester. IDAs will send the names, offices, and 
telephone numbers of their delegates to the Director of Information 
Systems for Command, Control, Communications, and Computers. IDAs will 
keep this information current. (The mailing address is HQDA (SAIS-PS), 
WASH DC 20310-0107.
    (c) The officials designated by DoD Components to make initial 
determinations should consult with public affairs officers (PAOs) to 
become familiar with subject matter that is considered to be newsworthy, 
and advise PAOs of all requests from news media representatives. In 
addition, the officials should inform PAOs in advance when they intend 
to withhold or partially withhold a record, if it appears that the 
withholding action may be challenged in the media. A FOIA release or 
denial action, appeal, or court review may generate public or press 
interest. In such case, the IDA (or delegate) should consult the Chief 
of Public Affairs or the command or organization PAO. The IDA should 
inform the PAO contacted of the issue and obtain advice and 
recommendations on handling its public affairs aspect. Any advice or 
recommendations requested or obtained should be limited to this aspect. 
Coordination must be completed within the 10-day FOIA response limit. 
(The point of contact for the Army Chief of Public Affairs is HQDA 
(SAPA-OSR), WASH DC 20310-1500; telephone, AUTOVON 227-4122 or 
commercial (202) 697-4122.) If the request involves actual or potential 
litigation against the United States, release must be coordinated with 
The Judge Advocate General. (See Sec. 518.54(e).)
    (d) The following officials are designated IDAs for the areas of 
responsibility outlined below:
    (1) The Administrative Assistant to the Secretary of the Army is 
authorized to act for the Secretary of the Army on requests for all 
records maintained by the Office of the Secretary of the Army and its 
serviced activities, except those specified in paragraphs

[[Page 165]]

(d)(2) through (d)(6) of this section, as well as requests requiring the 
personal attention of the Secretary of the Army.
    (2) The Assistant Secretary of the Army (Financial Management) is 
authorized to act on requests for finance and accounting records.
    (3) The Assistant Secretary of the Army (Research, Development, and 
Acquisition) is authorized to act on requests for procurement records 
other than those under the purview of the Chief of Engineers and the 
Commander, U.S. Army Materiel Command.
    (4) The Director of Information Systems for Command, Control, 
Communications, and Computers (DISC4) is authorized to act on requests 
for records pertaining to the Army Information Resources Management 
Program (automation, telecommunications, visual information, records 
management, publications and printing, and libraries).
    (5) The Inspector General is authorized to act on requests for all 
Inspector General records under AR 20-1.
    (6) The Auditor General is authorized to act on requests for records 
relating to audits done by the U.S. Army Audit Agency under AR 10-2. 
This includes requests for related records developed by the Audit 
agency.
    (7) The Deputy Chief of Staff for Operations and Plans is authorized 
to act on requests for records relating to strategy formulation; force 
development; individual and unit training policy; strategic and tactical 
command and control systems; nuclear and chemical matters; use of DA 
forces; and military police records and reports, prisoner confinement, 
and correctional records.
    (8) The Deputy Chief of Staff for Personnel is authorized to act on 
requests for case summaries, letters of instruction to boards, 
behavioral science records, general education records, and alcohol and 
drug prevention and control records. Excluded are individual treatment/
test records, which are a responsibility of The Surgeon General.
    (9) The Deputy Chief of Staff for Logistics is authorized to act on 
requests for records relating to DA logistical requirements and 
determinations, policy concerning materiel maintenance and use, 
equipment standards, and logistical readiness.
    (10) The Chief of Engineers is authorized to act on requests for 
records involving civil works, military construction, engineer 
procurement, and ecology; and the records of the U.S. Army Engineer 
divisions, districts, laboratories, and field operating agencies.
    (11) The Surgeon General is authorized to act on requests for 
medical research and development records, and the medical records of 
active duty military personnel, dependents, and persons given physical 
examination or treatment at DA medical facilities, to include alcohol 
and drug treatment/test records.
    (12) The Chief of Chaplains is authorized to act on requests for 
records involving ecclesiastical relationships, rites performed by DA 
chaplains, and nonprivileged communications relating to clergy and 
active duty chaplains' military personnel files.
    (13) The Judge Advocate General (TJAG) is authorized to act on 
requests for records relating to claims, courts-martial, legal services, 
and similar legal records. TJAG is also authorized to act on requests 
for records described elsewhere in this regulation, if those records 
relate to litigation in which the United States has an interest. In 
addition, TJAG is authorized to act on requests for records that are not 
within the functional areas of responsibility of any other IDA.
    (14) The Chief, National Guard Bureau, is authorized to act on 
requests for all personnel and medical records of retired, separated, 
discharged, deceased, and active Army National Guard military personnel, 
including technician personnel, unless such records clearly fall within 
another IDA's responsibility. This authority includes, but is not 
limited to, National Guard organization and training files; plans, 
operations, and readiness files; policy files; historical files; files 
relating to National Guard military support, drug interdiction, and 
civil disturbances; construction, civil works, and ecology records 
dealing with armories, facilities within the States, ranges, etc.; Equal 
Opportunity investigative records; aviation program records and 
financial records dealing

[[Page 166]]

with personnel, operation and maintenance, and equipment budgets.
    (15) The Chief of Army Reserve is authorized to act on requests for 
all personnel and medical records of retired, separated, discharged, 
deceased, and reserve component military personnel, and all U.S. Army 
Reserve (USAR) records, unless such records clearly fall within another 
IDA's responsibility. Records under the responsibility of the Chief of 
Army Reserve include records relating to USAR plans, policies, and 
operations; changes in the organizational status of USAR units; 
mobilization and demobilization policies; active duty tours; and the 
Individual Mobilization Augmentation program.
    (16) The Commander, United States Army Materiel Command (AMC) is 
authorized to act on requests for the records of AMC headquarters and 
its subordinate commands, units, and activities that relate to 
procurement, logistics, research and development, and supply and 
maintenance operations.
    (17) The Commander, USACIDC, is authorized to act on requests for 
criminal investigative records of USACIDC headquarters and its 
subordinate activities. This includes criminal investigation records, 
investigation-in-progress records, and military police reports that 
result in criminal investigation reports.
    (18) The Commander, United States Total Army Personnel Command, is 
authorized to act on requests for military personnel files relating to 
active duty (other than those of reserve and retired personnel) military 
personnel matters, personnel locator, physical disability 
determinations, and other military personnel administration records; 
records relating to military casualty and memorialization activities; 
heraldic activities; voting; records relating to identification cards; 
naturalization and citizenship; commercial solicitation; Military Postal 
Service Agency and Army postal and unofficial mail service; civilian 
personnel records and other civilian personnel matters; and personnel 
administration records.
    (19) The Commander, United States Army Community and Family Support 
Center, is authorized to act on requests for records relating to morale, 
welfare, and recreation activities; nonappropriated funds; child 
development centers, community life programs, and family action 
programs; retired activities; club management; Army emergency relief; 
consumer protection; retiree survival benefits; and records dealing with 
DA relationships with Social Security, Veterans' Affairs, United Service 
Organization, U.S. Soldiers' and Airmen's Home, and American Red Cross.
    (20) The Commander, United States Army Intelligence and Security 
Command, is authorized to act on requests for intelligence investigation 
and security records, foreign scientific and technological information, 
intelligence training, mapping and geodesy information, ground 
surveillance records, intelligence threat assessment, and missile 
intelligence data relating to tactical land warfare systems.
    (21) The Commander, U.S. Army Safety Center, is authorized to act on 
requests for Army safety records.
    (22) The General Counsel, Army and Air Force Exchange Service 
(AAFES), is authorized to act on requests for AAFES records, under AR 
60-20/AFR 147-14.
    (23) The Commander, Forces Command (FORSCOM), as a specified 
commander, is authorized to act on requests for specified command 
records that are unique to FORSCOM under Sec. 518.29.
    (24) Special IDA authority for time-event related records may be 
designated on a case-by-case basis. These will be published in the 
Federal Register. Current information on special delegations may be 
obtained from the Office of the Director of Information Systems for 
Command, Control, Communications, and Computers, Attn: SAIS-PSP, WASH DC 
20310-0107.



Sec. 518.59  Reasons for not releasing a record.

    There are seven reasons for not complying with a request for a 
record:
    (a) The request is transferred to another DoD Component, or to 
another federal agency.
    (b) The DoD Component determines through knowledge of its files and 
reasonable search efforts that it neither controls nor otherwise 
possesses the requested record.

[[Page 167]]

    (c) A record has not been described with sufficient particularity to 
enable the DoD Component to locate it by conducting a reasonable search.
    (d) The requester has failed unreasonably to comply with procedural 
requirements, including payment of fees imposed by this part or DoD 
Component supplementing regulations.
    (e) The request is withdrawn by the requester.
    (f) The information requested is not a record within the meaning of 
the FOIA and this Regulation.
    (g) The record is denied in accordance with procedures set forth in 
the FOIA and this part.



Sec. 518.60  Denial tests.

    To deny a requested record that is in the possession and control of 
a DoD Component, it must be determined that the record is included in 
one or more of the nine categories of records exempt from mandatory 
disclosure as provided by the FOIA and outlined in subpart C of this 
part.
[56 FR 56010, Oct. 31, 1991]



Sec. 518.61  Reasonably segregable portions.

    Although portions of some records may be denied, the remaining 
reasonably segregable portions must be released to the requester when it 
reasonably can be assumed that a skillful and knowledgeable person could 
not reconstruct the excised information. When a record is denied in 
whole, the response advising the requester of that determination will 
specifically state that it is not too reasonable to segregate portions 
of the records for release. The excised copies shall reflect the denied 
information by means of Blackened areas, which are Sufficiently 
Blackened as to reveal no information. The best means to ensure 
illegibility is to cut out the information from a copy of the document 
and reproduce the appropriate pages. If the document is classified, all 
classification markings shall be lined through with a single black line, 
which still allows the marking to be read. The document shall then be 
stamped ``Unclassified''.
[56 FR 56010, Oct. 31, 1991]



Sec. 518.62  Response to requester.

    (a) Initial determinations to release or deny a record normally 
shall be made and the decision reported to the requester within 10 
working days after receipt of the request by the official designated to 
respond. The action command or office holding the records will date- and 
time-stamp each request on receipt. The 10-day limit will start from the 
date stamped.
    (b) When a decision is made to release a record, a copy should be 
made available promptly to the requester once he has complied with 
preliminary procedural requirements.
    (c) When a request for a record is denied in whole or in part, the 
official designated to respond shall inform the requester in writing of 
the name and title or position of the official who made the 
determination, and shall explain to the requester the basis for the 
determination in sufficient detail to permit the requester to make a 
decision concerning appeal. The requester specifically shall be informed 
of the exemptions on which the denial is based. When the initial denial 
is based in whole or in part on a security classification, the 
explanation should include a summary of the applicable criteria for 
classification, as well as an explanation, to the extent reasonably 
feasible, of how those criteria apply to the particular record in 
question. The requester shall also be advised of the opportunity and 
procedures for appealing an unfavorable determination to a higher final 
authority within the DoD Component. The IDA will inform the requester of 
his or her right to appeal, in whole or part, the denial of the FOIA or 
fee waiver request and that the appeal must be sent through the IDA to 
the Secretary of the Army (Attn: General Counsel). (See Sec. 518.69).
    (d) The response to the requester should contain information 
concerning the fee status of the request, consistent with the provisions 
of subpart F, this regulation. Generally, the information shall reflect 
one or more of the following conditions:
    (1) All fees due have been received.
    (2) Fees have been waived because they fall below the automatic fee 
waiver threshold.

[[Page 168]]

    (3) Fees have been waived or reduced from a specified amount to 
another specified amount because the rationale provided in support of a 
request for waiver was accepted.
    (4) A request for waiver has been denied.
    (5) Fees due in a specified amount have not been received.
    (e) The explanation of the substantive basis for a denial shall 
include specific citation of the statutory exemption applied under 
provisions of this Regulation. Merely referring to a classification or 
to a ``For Official Use Only'' marking on the requested record does not 
constitute a proper citation or explanation of the basis for invoking an 
exemption.
    (f) When the time for response becomes an issue, the official 
responsible for replying shall acknowledge to the requester the date of 
the receipt of the request.



Sec. 518.63  Extension of time.

    (a) In unusual circumstances, when additional time is needed to 
respond, the DoD Component shall acknowledge the request in writing 
within the 10-day period, describe the circumstances requiring the 
delay, and indicate the anticipated date for substantive response that 
may not exceed 10 additional working days. Unusual circumstances that 
may justify delay are:
    (1) The requested record is located in whole or in part at places 
other than the office processing the request.
    (2) The request requires the collection and evaluation of a 
substantial number of records.
    (3) Consultation is required with other DoD Components or agencies 
having substantial interest in the subject matter to determine whether 
the records requested are exempt from disclosure in whole or in part 
under provisions of this Regulation or should be released as a matter of 
discretion.
    (b) The statutory extension of time for responding to an initial 
request must be approved on a case-by-case basis by the final appellate 
authority for the DoD Component, or in accordance with regulations of 
the DoD Component, or in accordance with regulations of the DoD 
Component that establish guidance governing the circumstances in which 
such extensions may be granted. The time may be extended only once 
during the initial consideration period. Only the responsible IDA can 
extend it, and the IDA must first coordinate with the Office of the Army 
General Counsel.
    (c) In these unusual cases where the statutory time limits cannot be 
met and no informal extension of time has been agreed to, the inability 
to process any part of the request within the specified time should be 
explained to the requester with notification that he or she may treat 
the delay as an initial denial with a right to appeal, or with a request 
that he agree to await a substantive response by an anticipated date. It 
should be made clear that any such agreement does not prejudice the 
right of the requester to appeal the initial decision after it is made. 
Components are reminded that the requester still retains the right to 
treat this delay as a de facto denial with full administrative remedies.
    (d) As an alternative to the taking of formal extensions of time as 
described in Sec. 518.63 (a), (b), and (c), the negotiation by the 
cognizant FOIA coordinating office of informal extensions in time with 
requesters is encouraged where appropriate.



Sec. 518.64  Misdirected requests.

    Misdirected requests shall be forwarded promptly to the DoD 
Component with the responsibility for the records requested. The period 
allowed for responding to the request misdirected by the requester shall 
not begin until the request is received by the DoD Component that 
manages the records requested.



Sec. 518.65  Records of non-U.S. Government source.

    (a) When a request is received for a record that was obtained from a 
non-U.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 (also known as ``the 
submitter'' for matters pertaining to proprietary data under 5 U.S.C. 
552 (reference (a) Exemption (b)(4) subpart C, exemptions, Sec. 518.37, 
paragraph (d) and reference

[[Page 169]]

(dd), this part) will be notified promptly of that request and afforded 
reasonable time (e.g., 30 calendar days) to present any objections 
concerning the release, unless it is clear that there can be no valid 
basis for objection. This practice is required for those FOIA requests 
for data not deemed clearly exempt from disclosure under Exemption 
(b)(4). If, for example, the record or information was provided with 
actual or presumptive knowledge of the non-U.S. Government source and 
estalished that it would be made available to the public upon request, 
there is no obligation to notify the source. Any objections shall be 
evaluated. The final decision to disclose information claimed to be 
exempt under Exemption (b)(4) shall be made by an official equivalent in 
rank to the official who would make the decision to withhold that 
information under the FOIA. When a substantial issue has been raised, 
the DoD Component 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 and substantive issues involved 
prior to making an agency determination. When the source advises it will 
seek a restraining order to 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 that 
court action is known. When the requester brings court action to compel 
disclosure, the submitter shall be promptly notified of this action.
    (b) The coordination provisions of this paragraph also apply to any 
non-U.S. Government record in the possession and control of the 
Department of Defense from multi-national organizations, such as the 
North American Treaty Organization (NATO) and North American Aerospace 
Defense Command (NORAD), or foreign governments. Coordination with 
foreign governments under the provisions of this paragraph shall be made 
through Department of State.



Sec. 518.66  File of initial denials.

    Copies of all initial denials shall be maintained by each DoD 
Component in a form suitable for rapid retrieval, periodic statistical 
compilation, and management evaluation. Records will be maintained in 
accordance with AR 25-400-2.



Sec. 518.67  Special mail services.

    DoD Components are authorized to use registered mail, certified 
mail, certificates of mailing and return receipts. However, their use 
should be limited to instances where it appears advisable to establish 
proof of dispatch or receipt of FOIA correspondence.



Sec. 518.68  Receipt accounts.

    The Treasurer of the United States has established two accounts for 
FOIA receipts. These accounts, which are described below, shall be used 
for depositing all FOIA receipts, except receipts for industrially-
funded and non-appropriated funded activities. Components are reminded 
that the below account numbers must be preceded by the appropriate 
disbursing office two digit prefix. Industrially-funded and 
nonappropriated funded activity FOIA receipts shall be deposited to the 
applicable fund.
    (a) Receipt Account 3210 Sale of Publications and Reproductions, 
Freedom of Information Act. This account shall be used when depositing 
funds received from providing existing publications and forms that meet 
the Receipt Account Series description found in Federal Account Symbols 
and Titles. Deliver collections within 30 calendar days to the servicing 
finance and accounting office.
    (b) Receipt Account 3210 Fees and Other Charges for Services, 
Freedom of Information Act. This account is used to deposit search fees, 
fees for duplicating and reviewing (in the case of commercial 
requesters) records to satisfy requests that could not be filled with 
existing publications or forms.

                                 Appeals



Sec. 518.69  General.

    (a) If the official designated by the DoD Component to make initial 
determinations on requests for records (IDA) declines to provide a 
record because the official considers it exempt, that

[[Page 170]]

decision may be appealed by the requester, in writing, to a designated 
appellate authority. The appeal should be accompanied by a copy of the 
letter denying the initial request. Such appeals should contain the 
basis for disagreement with the initial refusal. Appeal procedures also 
apply to the disapproval of a request for a waiver or reduction of fees, 
and for no record determinations when the requester considers such a 
response adverse in nature. Appeals of denials of Office of the 
Secretary of Defense and Joint Staff documents or fee waivers may be 
sent to the address in appendix B, paragraph 2a to this part.
    (b) Appeals of adverse determinations made by Army IDAs must be made 
through the denying IDA to the Secretary of the Army (Attn: General 
Counsel). On receipt of an appeal, the IDA will--
    (1) Send the appeal to the Office of the Secretary of the Army, 
Office of the General Counsel, together with a copy of the documents 
that are the subject of the appeal, marked to show the portions 
withheld; the initial denial letter; and any other relevant material.
    (2) Assist the General Counsel as requested during his or her 
consideration of the appeal.
    (c) Appeals of denial of records made by the General Counsel, AAFES, 
shall be made to the Secretary of the Army when the Commander, AAFES, is 
an Army officer.



Sec. 518.70  Time of receipt.

    An FOIA appeal has been received by a DoD Component when it reaches 
the office of an appellate authority having jurisdiction. Misdirected 
appeals should be referred expeditiously to the proper appellate 
authority.



Sec. 518.71  Time limits.

    (a) The requester shall be advised to file an appeal so that it 
reaches the appellate authority no later than 60 calendar days after the 
date of the initial denial letter. At the conclusion of this period, the 
case may be considered closed; however, such closure does not preclude 
the requester from filing litigation. In cases where the requester is 
provided several incremental determinations for a single request, the 
time for the appeal shall not begin until the requester receives the 
last such notification. Records which are denied shall be retained for a 
period of six years to meet the statute of limitations of claims 
requirement.
    (b) Final determinations on appeals normally shall be made within 20 
working days after receipt.



Sec. 518.72  Delay in responding to an appeal.

    (a) If additional time is needed due to the unusual circumstances 
described in Sec. 518.63, of this part, the final decision may be 
delayed for the number of working days (not to exceed 10), that were not 
used as additional time for responding to the initial request.
    (b) If a determination cannot be made and the requester notified 
within 20 working days, the appellate authority shall acknowledge to the 
requester, in writing, the date of receipt of the appeal, the 
circumstances surrounding the delay, and the anticipated date for 
substantive response. Requests shall be advised that, if the delay 
exceeds the statutory extension provision or is for reasons other than 
the unusual circumstances identified in Sec. 518.63, they may consider 
their administrative remedies exhausted. They may, however, without 
prejudicing their right of judicial remedy, await a substantive 
response. The DoD Component shall continue to process the case 
expeditiously, whether or not the requester seeks a court order for 
release of the records, but a copy of any response provided subsequent 
to filing of a complaint shall be forwarded to the Department of 
Justice.



Sec. 518.73  Response to the requester.

    (a) When an appellate authority makes a determination to release all 
or a portion of records withheld by an IDA, a copy of the records so 
released should be forwarded promptly to the requester after compliance 
with any preliminary procedural requirements, such as payment of fees.
    (b) Final refusal to provide a requested record or to approve a 
request for waiver or reduction of fees must be made in writing by the 
head of the DoD

[[Page 171]]

Component or by a designated representative. The response, at a minimum, 
shall include the following:
    (1) The basis for the refusal shall be explained to the requester, 
in writing, both with regard to the applicable statutory exemptions or 
exemption invoked under provisions of this regulation.
    (2) When the final refusal is based in whole or in part on a 
security classification, the explanation shall include a determination 
that the record meets the cited criteria and rationale of the governing 
Executive Order, and that this determination is based on a 
declassification review, with the explanation of how that review 
confirmed the continuing validity of the security classification.
    (3) The final denial shall include the name and title or position of 
the official responsible for the denial.
    (4) The response shall advise the requester that the material being 
denied does not contain meaningful portions that are reasonably 
segregable.
    (5) The response shall advise the requester of the right to judicial 
review.



Sec. 518.74  Consultation.

    (a) Final refusal, involving issues not previously resolved or that 
the DoD Component knows to be inconsistent with rulings of other DoD 
Components, ordinarily should not be made before consultation with the 
Office of the General Counsel of the Department of Defense.
    (b) Tentative decisions to deny records that raise new or 
significant legal issues of potential significance to other agencies of 
the government shall be provided to the Department of Justice, ATTN: 
Office of Legal Policy, Office of Information and Policy, Washington, DC 
20530.

                            Judicial Actions



Sec. 518.75  General.

    (a) This section states current legal and procedural rules for the 
convenience of the reader. The statements of rules do not create rights 
or remedies not otherwise available, nor do they bind the Department of 
Defense to particular judicial interpretations or procedures.
    (b) A requester may seek an order from a United States District 
Court to compel release of a record after administrative remedies have 
been exhausted; i.e., when refused a record by the head of a Component 
or an appellate designee or when the DoD Component has failed to respond 
within the time limits prescribed by the FOIA and in this Regulation.



Sec. 518.76  Jurisdiction.

    The requester may bring suit in the United States District Court in 
the district in which the requester resides or is the requester's place 
of business, in the district in which the record is located, or in the 
District of Columbia.



Sec. 518.77  Burden of proof.

    The burden of proof is on the DoD Component to justify its refusal 
to provide a record. The court shall evaluate the case de novo (anew) 
and may elect to examine any requested record in camera (in private) to 
determine whether the denial was justified.



Sec. 518.78  Action by the court.

    (a) When a DoD Component has failed to make a determination within 
the statutory time limits but can demonstrate due diligence in 
exceptional circumstances, the court may retain jurisdiction and allow 
the Component additional time to complete its review of the records.
    (b) If the court determines that the requester's complaint is 
substantially correct, it may require the United States to pay 
reasonable attorney fees and other litigation costs.
    (c) When the court orders the release of denied records, it may also 
issue a written finding that the circumstances surrounding the 
withholding raise questions whether DoD Component personnel acted 
arbitrarily and capriciously. In these cases, the special counsel of the 
Merit Systems Protection Board shall conduct an investigation to 
determine whether or not disciplinary action is warranted. The DoD 
Component is obligated to take the action recommended by the special 
counsel.
    (d) The court may punish the responsible official for contempt when 
a DoD Component fails to comply with the

[[Page 172]]

court order to produce records that it determines have been withheld 
improperly.



Sec. 518.79  Non-United States Government source information.

    A requester may bring suit in a U.S. District Court to compel the 
release of records obtained from a nongovernment source or records based 
on information obtained from a nongovernment source. Such source shall 
be notified promptly of the court action. When the source advises that 
it is seeking court action to prevent release, the DoD Component shall 
defer answering or otherwise pleading to the complainant as long as 
permitted by the Court or until a decision is rendered in the court 
action of the source, whichever is sooner.



Sec. 518.80  Litigation status sheet.

    FOIA managers at DoD Component level shall be aware of litigation 
under the FOIA. Such information will provide management insights into 
the use of the nine exemptions by Component personnel. The Litigation 
Status Sheet at appendix C provides a standard format for recording 
information concerning FOIA litigation and forwarding that information 
to the Office of the Secretary of Defense. Whenever a complaint under 
the FOIA is filed in a U.S. District Court, the DoD Component named in 
the complaint shall forward a Ligitation Status Sheet, with items 1 
through 6 completed, and a copy of the complaint to the OASD(PA), Attn: 
DFOISR, with an information copy to the General Counsel, Department of 
Defense, Attn: Office of Legal Counsel. A revised Litigation Status 
Sheet shall be provided at each stage of the litigation. In the 
Department of the Army, HQDA TJAG (DAJA-LT), WASH DC 20310-2210 is 
responsible for preparing this report.



                         Subpart F--Fee Schedule

                           General Provisions



Sec. 518.81  Authorities.

    The Freedom of Information Act (5 U.S.C. 552), as amended; by the 
Freedom of Information Reform Act of 1986; the Paperwork Reduction Act 
(44 U.S.C. 35); the Privacy Act of 1974 (5 U.S.C. 552a); the Budget and 
Accounting Act of 1921 (31 U.S.C. 1 et seq.); the Budget and Accounting 
Procedures Act (31 U.S.C. 67 et seq.); the Defense Authorization Act for 
FY 87, Section 954, (Pub. L. 99-661); as amended by the Defense 
Technical Corrections Act of 1987 (Pub. L. 100-26).



Sec. 518.82  Application.

    (a) The fees described in this subpart apply to FOIA requests, and 
conform to the Office of Management and Budget Uniform Freedom of 
Information Act Fee Schedule and Guidelines. They reflect direct costs 
for search, review (in the case of commercial requesters), and 
duplication of documents, collection of which is permitted by the FOIA. 
They are neither intended to imply that fees must be charged in 
connection with providing information to the public in the routine 
course of business, nor are they meant as a substitute for any other 
schedule of fees, such as DoD Instruction 7230.7 (reference (r)) (AR 37-
60), which does not supersede the collection of fees under the FOIA. 
Nothing in this Chapter shall supersede fees chargeable under a statute 
specifically providing for setting the level of fees for particular 
types of records. A ``statute specifically providing for setting the 
level of fees for particular types of records'' (5 U.S.C. 552 
(a)(4)(A)(vi)) means any statute that enables a Government Agency such 
as the Government Printing Office (GPO) or the National Technical 
Information Service (NTIS), to set and collect fees. Components should 
ensure that when documents that would be responsive to a request are 
maintained for distribution by agencies operating statutory-based fee 
schedule programs such as the GPO or NTIS, they inform requesters of the 
steps necessary to obtain records from those sources.
    (b) The term ``direct costs'' means those expenditures a Component 
actually makes in searching for, reviewing (in the case of commercial 
requesters), and duplicating documents to respond to an FOIA request. 
Direct costs include, or example, the salary of the employee performing 
the work (the basic rate of pay for the employee plus 16 percent of that 
rate to cover benefits),

[[Page 173]]

and the costs of operating duplicating machinery. These factors have 
been included in the fee rates prescribed in the Collection of Fees and 
Fee Rates portions of this subpart. Not included in direct costs are 
overhead expenses such as costs of space, heating or lighting the 
facility in which the records are stored.
    (c) The term ``search'' includes all time spent looking for material 
that is responsive to a request. Search also includes a page-by-page or 
line-by-line identification (if necessary) of material in the document 
to determine if it, or portions thereof are responsive to the request. 
Components should ensure that searches are done in the most efficient 
and least expensive manner so as to minimize costs for both the 
Component and the requester. For example, Components should not engage 
in line-by-line searches when duplicating an entire document known to 
contain responsive information would prove to be the less expensive and 
quicker method of complying with the request. Time spent reviewing 
documents in order to determine whether to apply one or more of the 
statutory exemptions is not search time, but review time. See 
Sec. 518.82(e), for the definition of review, and Sec. 518.90(b), for 
information pertaining to computer searches.
    (d) The term ``duplication'' refers to the process of making a copy 
of a document in response to an FOIA request. Such copies can take the 
form of paper copy, microfiche, audiovisual, or machine readable 
documentation (e.g., magnetic tape or disc), among others. Every effort 
will be made to ensure that the copy provided is in a form that is 
reasonably usable by requesters. If it is not possible to provide copies 
which are clearly usable, the requester shall be notified that their 
copy is the best available and that the agency's master copy shall be 
made available for review upon appointment. For duplication of computer 
tapes and audiovisual, the actual cost, including the operator's time, 
shall be charged. In practice, if a Component estimates that assessable 
duplication charges are likely to exceed $25.00, it shall notify the 
requester of the estimate, unless the requester has indicated in advance 
his or her willingness to pay fees as high as those anticipated. Such a 
notice shall offer a requester the opportunity to confer with Component 
personnel with the object of reformulating the request to meet his or 
her needs at a lower cost.
    (e) The term ``review'' refers to the process of examining documents 
located in response to an FOIA request to determine whether one or more 
of the statutory exemptions permit withholding. It also includes 
processing the documents for disclosure, such as excising them for 
release. Review does not include the time spent resolving general legal 
or policy issues regarding the application of exemptions. It should be 
noted that charges for commercial requesters may be assessed only for 
the initial review. Components may not charge for reviews required at 
the administrative appeal level of an exemption already applied. 
However, records or portions of records withheld in full under an 
exemption which is subsequently determined not to apply may be reviewed 
again to determine the applicability of other exemptions not previously 
considered. The costs for such a subsequent review would be properly 
assessable.



Sec. 518.83  Fee restrictions.

    (a) No fees may be charged by any DoD Component if the costs of 
routine collection and processing of the fee are likely to equal or 
exceed the amount of the fee. With the exception of requesters seeking 
documents for a commercial use, Components shall provide the first two 
hours of search time, and the first one hundred pages of duplication 
without charge. For example, for a request (other than one from a 
commercial requester) that involved two hours and ten minutes of search 
time, and resulted in one hundred and five pages of documents, a 
Component would determine the cost of only ten minutes of search time, 
and only five pages of reproduction. If this processing cost was equal 
to, or less than the cost to the Component for billing the requester and 
processing the fee collected, no charges would result.
    (b) Requesters receiving the first two hours of search and the first 
one hundred pages of duplication without charge are entitled to such 
only once

[[Page 174]]

per request. Consequently, if a Component, after completing its portion 
of a request, finds it necessary to refer the request to a subordinate 
office, another DoD Component, or another Federal Agency to action their 
portion of the request, the referring Component shall inform the 
recipient of the referral of the expended amount of search time and 
duplication cost to date.
    (c) The elements to be considered in determining the ``cost of 
collecting a fee'' are the administrative costs to the Component of 
receiving and recording a remittance, and processing the fee for deposit 
in the Department of Treasury's special account. The cost to the 
Department of Treasury to handle such remittance is negligible and shall 
not be considered in Components' determinations.
    (d) For the purposes of these restrictions, the word ``pages'' 
refers to paper copies of a standard size, which will normally be ``8\1/
2\  x  11'' or ``11  x  14''. Thus, requesters would not be entitled to 
100 microfiche or 100 computer disks, for example. A microfiche 
containing the equivalent of 100 pages or 100 pages of computer 
printout, however, might meet the terms of the restriction.
    (e) In the case of computer searches, the first two free hours will 
be determined against the salary scale of the individual operating the 
computer for the purposes of the search. As an example, when the direct 
costs of the computer central processing unit, input-output devices, and 
memory capacity equal $24.00 (two hours of equivalent search at the 
clerical level), amounts of computer costs in excess of that amount are 
chargeable as computer search time.



Sec. 518.84  Fee waivers.

    (a) Documents shall be furnished without charge, or at a charge 
reduced below fees assessed to the categories of requesters in 
Sec. 518.81 when the Component determines that waiver or reduction of 
the fees is in the public interest because furnishing the information is 
likely to contribute significantly to public understanding of the 
operations or activities of the Department of Defense and is not 
primarily in the commercial interest of the requester.
    (b) When assessable costs for an FOIA request total $15.00 or less, 
fees shall be waived automatically for all requesters, regardless of 
category.
    (c) Decisions to waive or reduce fees that exceed the automatic 
waiver threshold shall be made on a case-by-case basis, consistent with 
the following factors:
    (1) Disclosure of the information ``is in the public interest 
because it is likely to contribute significantly to public understanding 
of the operations or activities of the government.''
    (i) The subject of the request. Components should analyze whether 
the subject matter of the request involves issues which will 
significantly contribute to the public understanding of the operations 
or activities of the Department of Defense. Requests for records in the 
possession of the Department of Defense which were originated by non-
government organizations and are sought for their intrinsic content, 
rather than informative value will likely not contribute to public 
understanding of the operations or activities of the Department of 
Defense. An example of such records might be press clippings, magazine 
articles, or records forwarding a particular opinion or concern from a 
member of the public regarding a DoD activity. Similarly, disclosures of 
records of considerable age may or may not bear directly on the current 
activities of the Department of Defense; however, the age of a 
particular record shall not be the sole criteria for denying relative 
significance under this factor. It is possible to envisage an 
informative issue concerning the current activities of the Department of 
Defense, based upon historical documentation. Requests of this nature 
must be closely reviewed consistent with the requester's stated purpose 
for desiring the records and the potential for public understanding of 
the operations and activities of the Department of Defense.
    (ii) The informative value of the Information to be disclosed. This 
factor requires a close analysis of the substantive contents of a 
record, or portion of the record, to determine whether disclosure is 
meaningful, and shall inform the public on the operations or

[[Page 175]]

activities of the Department of Defense. While the subject of a request 
may contain information which concerns operations or activities of the 
Department of Defense, it may not always hold great potential for 
contributing to a meaningful understanding of these operations or 
activities. An example of such would be a heavily redacted record, the 
balance of which may contain only random words, fragmented sentences, or 
paragraph headings. A determination as to whether a record in this 
situation will contribute to the public understanding of the operations 
or activities of the Department of Defense must be approached with 
caution, and carefully weighed against the arguments offered by the 
requester. Another example is information already known to be in the 
public domain. Disclosure of duplicative, or nearly identical 
information already existing in the public domain may add no meaningful 
new information concerning the operations and activities of the 
Department of Defense.
    (iii) The contribution to an understanding of the subject by the 
general public likely to result from disclosure. The key element in 
determining the applicability of this factor is whether disclosure will 
inform, or have the potential to inform the public, rather than simply 
the individual requester or small segment of interested persons.The 
identity of the requester is essential in this situation in order to 
determine whether such requester has the capability and intention to 
disseminate the information to the public. Mere assertions of plans to 
author a book, researching a particular subject, doing doctoral 
dissertation work, or indigency are insufficient without demonstrating 
the capacity to further disclose the information in a manner which will 
be informative to the general public. Requesters should be asked to 
describe their qualifications, the nature of their research, the purpose 
of the requested information, and their intended means of dissemination 
to the public.
    (iv) The significance of the contribution to public understanding. 
In applying this factor, Components must differentiate the relative 
significance or impact of the disclosure against the current level of 
public knowledge, or understanding which exists before the disclosure. 
In other words, will disclosure on a current subject of wide public 
interest be unique in contributing previously unknown facts, thereby 
enhancing public knowledge, or will it basically duplicate what is 
already known by the general public. A decision regarding significance 
requires objective judgment, rather than subjective determination, and 
must be applied carefully to determine whether disclosure will likely 
lead to a significant public understanding of the issue. Components 
shall not make value judgments as to whether the information is 
important enough to be made public.
    (2) Disclosure of the information ``is not primarily in the 
commercial interest of the requester.''
    (i) The existence and magnitude of a commercial interest. If the 
request is determined to be of a commercial interest, Components should 
address the magnitude of that interest to determine if the requester's 
commercial interest is primary, as opposed to any secondary personal or 
non-commercial interest. In addition to profit-making organizations, 
individual persons or other organizations may have a commercial interest 
in obtaining certain records. Where it is difficult to determine whether 
the requester is of a commercial nature, Components may draw inference 
from the requester's identity and circumstances of the request. In such 
situations, the provisions of Sec. 518.85 apply. Components are reminded 
that in order to apply the commercial standards of the FOIA, the 
requester's commercial benefits must clearly override any personal or 
non-profit interest.
    (ii) The primary interest in disclosure. Once a requester's 
commercial interest has been determined, Components should then 
determine if the disclosure would be primarily in that interest. This 
requires a balancing test between the commercial interest of the request 
against any public benefit to be derived as a result of that disclosure. 
Where the public interest is served above and beyond that of the 
requester's commercial interest, a waiver or reduction of fees would be 
appropriate. Conversely, even if a significant public

[[Page 176]]

interest exists, and the relative commercial interest of the requester 
is determined to be greater than the public interest, then a waiver or 
reduction of fees would be inappropriate. As examples, news media 
organizations have a commercial interest as business organizations; 
however, their inherent role of disseminating news to the general public 
can ordinarily be presumed to be of a primary interest. Therefore, any 
commercial interest becomes secondary to the primary interest in serving 
the public. Similarly, scholars writing books or engaged in other forms 
of academic research, may recognize a commercial benefit, either 
directly, or indirectly (through the institution they represent); 
however, normally such pursuits are primarily undertaken for educational 
purposes, and the application of a fee charge would be inappropriate. 
Conversely, data brokers or others who merely compile government 
information for marketing can normally be presumed to have an interest 
primarily of a commercial nature.
    (d) Components are reminded that the above factors and examples are 
not all inclusive. Each fee decision must be considered on a case-by-
case basis and upon the merits of the information provided in each 
request. When the element of doubt as to whether to charge or waive the 
fee cannot be clearly resolved, Components should rule in favor of the 
requester.
    (e) In addition, the following additional circumstances describe 
situations where waiver or reduction of fees are most likely to be 
warranted:
    (1) A record is voluntarily created to preclude an otherwise 
burdensome effort to provide voluminous amounts of available records, 
including additional information not requested.
    (2) A previous denial of records is reversed in total, or in part, 
and the assessable costs are not substantial (e.g. $15.00--$30.00).



Sec. 518.85  Fee assessment.

    (a) Fees may not be used to discourage requesters, and to this end, 
FOIA fees are limited to standard charges for direct document search, 
review (in the case of commercial requesters) and duplication.
    (b) In order to be as responsive as possible to FOIA requests while 
minimizing unwarranted costs to the taxpayer, Components shall adhere to 
the following procedures:
    (1) Analyze each request to determine the category of the requester. 
If the Component determination regarding the category of the requester 
is different than that claimed by the requester, the component will:
    (i) Notify the requester that he should provide additional 
justification to warrant the category claimed, and that a search for 
responsive records will not be initiated until agreement has been 
attained relative to the category of the requester. Absent further 
category justification from the requester, and within a reasonable 
period of time (i.e., 30 calendar days), the Component shall render a 
final category determination, and notify the requester of such 
determination, to include normal administrative appeal rights of the 
determination.
    (ii) Advise the requester that, notwithstanding any appeal, a search 
for responsive records will not be initiated until the requester 
indicates a willingness to pay assessable costs appropriate for the 
category determined by the Component.
    (2) Requesters must submit a fee declaration appropriate for the 
below categories.
    (i) Commercial. Requesters must indicate a willingness to pay all 
search, review and duplication costs.
    (ii) Education or Noncommercial Scientific Institution or News 
Media. Requesters must indicate a willingness to pay duplication charges 
in excess of 100 pages if more than 100 pages of records are desired.
    (iii) All Others. Requesters must indicate a willingness to pay 
assessable search and duplication costs if more than two hours of search 
effort or 100 pages of records are desired.
    (3) If the above conditions are not met, then the request need not 
be processed and the requester shall be so informed.
    (4) In the situation described by Sec. 518.81(b) (1) and (2). 
Components must be prepared to provide an estimate of assessable fees if 
desired by the requester. While it is recognized that

[[Page 177]]

search situations will vary among Components, and that an estimate is 
often difficult to obtain prior to an actual search, requesters who 
desire estimates are entitled to such before committing to a willingness 
to pay. Should Component estimates exceed the actual amount of the 
estimate or the amount agreed to by the requester, the amount in excess 
of the estimate or the requester's agreed amount shall not be charged 
without the requester's agreement.
    (5) No DoD Component may require advance payment of any fee; i.e., 
payment before work is commenced or continued on a request, unless the 
requester has previously failed to pay fees in a timely fashion, or the 
agency has determined that the fee will exceed $250.00. As used in this 
sense, a timely fashion is 30 calendar days from the date of billing 
(the fees have been assessed in writing) by the Component.
    (6) Where a Component estimates or determines that allowable charges 
that a requester may be required to pay are likely to exceed $250.00, 
the Component shall notify the requester of the likely cost and obtain 
satisfactory assurance of full payment where the requester has a history 
of prompt payments, or require an advance payment of an amount up to the 
full estimated charges in the case of requesters with no history of 
payment.
    (7) Where a requester has previously failed to pay a fee charged in 
a timely fashion (i.e., within 30 calendar days from the date of the 
billing), the Component may require the requester to pay the full amount 
owed, plus any applicable interest, or demonstrate that he has paid the 
fee, and to make an advance payment of the full amount of the estimated 
fee before the Component begins to process a new or pending request from 
the requester. Interest will be at the rate prescribed in 31 U.S.C. 3717 
(reference (ff)), and confirmed with respective Finance and Accounting 
Offices.
    (8) After all work is completed on a request, and the documents are 
ready for release, Components may request payment prior to forwarding 
the documents if there is no payment history on the requester, or if the 
requester has previously failed to pay a fee in a timely fashion (i.e., 
within 30 calendar days from the date of the billing). In the case of 
the latter, the provisions of Sec. 518.85(b)(7), apply. Components may 
not hold documents ready for release pending payment from requesters 
with a history of prompt payment.
    (9) When Components act under Sec. 518.85, (a)(1) through (a)(7), of 
this part, the administrative time limits of the FOIA (i.e., 10 working 
days from receipt of initial requests, and 20 working days from receipt 
of appeals, plus permissible extensions of these time limits) will begin 
only after the Component has received a willingness to pay fees and 
satisfaction as to category determination, or fee payments (if 
appropriate).
    (10) Components may charge for time spent searching for records, 
even if that search fails to locate records responsive to the request. 
Components may also charge search and review (in the case of commercial 
requesters) time if records located are determined to be search charges 
are likely to exceed $25,000 it shall notify the requester of the 
estimated amount of fees, unless the requester has indicated in advance 
his or her willingness to pay fees as high as those anticipated. Such a 
notice shall offer the requester the opportunity to confer with 
Component personnel with the object of reformulating the request to meet 
his or her needs at a lower cost.
    (c) Commercial Requesters. Fees shall be limited to reasonable 
standard charges for document search, review and duplication when 
records are requested for commercial use. Requesters must reasonably 
describe the records sought (see Sec. 518.26).
    (1) the term ``commercial use'' request refers to a request from, or 
on behalf of one who seeks information for a use or purpose that 
furthers the commercial, trade, or profit interest of the requester or 
the person on whose behalf the request is made. In determining whether a 
requester properly belongs in this category, Component must determine 
the use to which a requester will put the documents requested. Moreover, 
where a Components has reasonable cause to doubt the use to which a 
requester will put the records sought, or where that use is not clear

[[Page 178]]

from the request itself, Components should seek additional clarification 
before assigning the request to a specific category.
    (2) When Components receive a request for documents for commercial 
use, they should assess charges which recover the full direct costs of 
searching for, reviewing for release, and duplicating the record sought. 
Commercial requesters (unlike other requesters) are not entitled to two 
hours of free search time, nor 100 free pages of reproduction of 
documents. Moreover, commercial requesters are not normally entitled to 
a waiver or reduction of fees based upon an assertion that disclosure 
would be in the public interest. However, because use is the exclusive 
determining criteria, it is possible to envision a commercial enterprise 
making a request that is not for commercial use. It is also possible 
that a non-profit organization could make a request that is for 
commercial use. Such situations must be addressed on a case-by-case 
basis.
    (d) Educational Institution Requesters. Fees shall be limited to 
only reasonable standard charges for document duplication (excluding 
charges for the first 100 pages) when the request is made by an 
educational institution whose purpose is scholarly research. Requesters 
must reasonably describe the record sought (see Sec. 518.26). The term 
``educational institution'' refers to a pre-school, a public or private 
elementary or secondary school, an institution of graduate higher 
education, an institution of undergraduate higher education, an 
institution of professional education, and an institution of vocational 
education, which operates a program or programs of scholarly research.
    (e) Non-Commercial Scientific Institution Requesters. Fees shall be 
limited to only reasonable standard charges for document duplication 
(excluding charges for the first 100 pages) when the request is made by 
a non-commercial scientific institution whose purpose is scientific 
research. Requesters must reasonably describe the records sought (see 
Sec. 518.26). The term ``non-commercial scientific institution'' refers 
to an institution that is not operated on a ``commercial'' basis as 
defined in Sec. 518.81(c) and which is operated solely for the purpose 
of conducting scientific research, the results of which are not intended 
to promote any particular product or industry.
    (f) Components shall provide documents to requesters in Sec. 518.85 
(d) and (e), for the cost of duplication alone, excluding charges for 
the first 100 pages. To be eligible for inclusion in these categories, 
requesters must show that the request is being made under the auspices 
of a qualifying institution and that the records are not sought for 
commercial use, but in furtherance of scholarly (from an educational 
institution) or scientific (from a non-commercial scientific 
institution) research.
    (g) Representatives of the news media. Fees shall be limited to only 
reasonable standard charges for document duplication (excluding charges 
for the first 100 pages) when the request is made by a representative of 
the news media. Requesters must reasonably describe the records sought 
(see Sec. 518.26).
    (1) The term ``representative of the news media'' refers to any 
person actively gathering news for an entity that is organized and 
operated to publish or broadcast news to the public. The term ``news'' 
means information that is about current events or that would be of 
current interest to the public. Example of news media entities include 
television or radio stations broadcasting to the public at large, and 
publishers of periodicals (but only in those instances when they can 
qualify as disseminators of ``news'') who make their products available 
for purchase or subscription by the general public. These examples are 
not meant to be all-inclusive. Moreover, as traditional methods of news 
delivery evolve (e.g., electronic dissemination of newspapers through 
telecommunications services), such alternative media would be included 
in this category. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstrate a 
solid basis for expecting publication through that organization, even 
though not actually employed by it. A publication contract would be the 
clearest proof, but Components may also look to the

[[Page 179]]

past publication record of a requester in making this determination.
    (2) To be eligible for inclusion in this category, a requester must 
meet the criteria in Sec. 518.85(g)(1) and his or her request must not 
be made for commercial use. A request for records supporting the news 
dissemination function of the requester shall not be considered to be a 
request that is for a commercial use. For example, a document request by 
a newspaper for records relating to the investigation of a defendant in 
a current criminal trial of public interest could be presumed to be a 
request from an entity eligible for inclusion in this category, and 
entitled to records at the cost of reproduction alone (excluding charges 
for the first 100 pages).
    (3) ``Representative of the news media'' does not include private 
libraries, private repositories of Government records, or middlemen, 
such as information vendors or data brokers.
    (h) All Other Requesters. Components shall charge requesters who do 
not fit into any of the above categories, fees which recover the full 
direct cost of searching for and duplicating records, except that the 
first two hours of search time and the first 100 pages of duplication 
shall be furnished without charge. Requesters must reasonably describe 
the records sought (see Sec. 518.26). Requests from subjects about 
themselves will continue to be treated under the fee provisions of the 
Privacy Act of 1974 (reference (ff)), which permit fees only for 
duplication. Components are reminded that this category of requester may 
also be eligible for a waiver or reduction of fees if disclosure of the 
information is in the public interest as defined under Sec. 518.84(a). 
(See also Sec. 518.85(c)(2).DD Form 2086 (Record of Freedom of 
Information (FOI) Processing Cost) will be used to annotate fees for 
processing FOIA information. The form is available through normal 
publications channels.
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56010, Oct. 31, 1991]



Sec. 518.86  Aggregating requests.

    Except for requests that are for a commercial use, a Component may 
not charge for the first two hours of search time or for the first 100 
pages of reproduction. However, a requester may not file multiple 
requests at the same time, each seeking portions of a document or 
documents, solely in order to avoid payment of fees. When a Component 
reasonably believes that a requester or, on rare occasions, a group of 
requesters acting in concert, is attempting to break a request down into 
a series of requests for the purpose of avoiding the assessment of fees, 
the agency may aggregate any such requests and charge accordingly. One 
element to be considered in determining whether a belief would be 
reasonable is the time period in which the requests have occurred. For 
example, it would be reasonable to presume that multiple requests of 
this type made within a 30 day period had been made to avoid fees. For 
requests made over a longer period, however, such a presumption becomes 
harder to sustain and Components should have a solid basis for 
determining that aggregation is warranted in such cases. Components are 
cautioned that before aggregating requests from more than one requester, 
they must have a concrete basis on which to conclude that the requesters 
are acting in concert and are acting specifically to avoid payment of 
fees. In no case may Components aggregate multiple requests on unrelated 
subjects from one requester.



Sec. 518.87  Effect of the Debt Collection Act of 1982 (Pub. L. 97-365).

    The Debt Collection Act of 1982 (Pub. L. 97-365) provides for a 
minimum annual rate of interest to be charged on overdue debts owed the 
Federal Government. Components may levy this interest penalty for any 
fees that remain outstanding 30 calendar days from the date of billing 
(the first demand notice) to the requester of the amount owed. The 
interest rate shall be as prescribed in 31 U.S.C. 3717 (reference (ff)). 
Components should verify the current interest rate with respective 
Finance and Accounting Offices. After one demand letter has been sent, 
and 30 calendar days have lapsed with no payment, Components may submit 
the debt to respective Finance and Accounting Offices for collection 
pursuant to the Debt Collection Act of 1982.

[[Page 180]]



Sec. 518.88  Computation of fees.

    The fee schedule in this chapter shall be used to compute the 
search, review (in the case of commercial requesters) and duplication 
costs associated with processing a given FOIA request. Costs shall be 
computed on time actually spent. Neither time-based nor dollar-based 
minimum charges for search, review and duplication are authorized.

                    Collection of Fees and Fee Rates



Sec. 518.89  Collection of fees.

    Collection of fees will be made at the time of providing the 
documents to the requester or recipient when the requester specifically 
states that the costs involved shall be acceptable or acceptable up to a 
specified limit that covers the anticipated costs. Collection of fees 
may not be made in advance unless the requester has failed to pay 
previously assessed fees within 30 calendar days from the date of the 
billing by the DoD Component, or the Component has determined that the 
fee will be in excess of $250 (see Sec. 518.81).



Sec. 518.90  Search time.

    (a) Manual search.

                                                                        
------------------------------------------------------------------------
                                                                 Hourly 
                 Type                           Grade           rate ($)
------------------------------------------------------------------------
Clerical.............................  E9/GS8 and below.......        12
Professional.........................  01-06/GS9-GS/GM15......        25
Executive............................  07/GS/GM16/ES1 and             45
                                        above.                          
------------------------------------------------------------------------

    (b) Computer search. Computer search is based on direct cost of the 
central processing unit, input-output devices, and money capacity of the 
actual computer configuration. The salary scale (equating to paragraph a 
above) for the computer operator/programmer determining how to conduct 
and subsequently executing the search will be recorded as part of the 
computer search.



Sec. 518.91  Duplication.

                                                                        
------------------------------------------------------------------------
                   Type                         Cost per page (cents)   
------------------------------------------------------------------------
Pre-Printed material......................  02.                         
Office copy...............................  15.                         
Microfiche................................  25.                         
Computer copies (tapes or printouts)......  Actual cost of duplicating  
                                             the tape or printout       
                                             (includes operator's time  
                                             and cost of the tape).     
------------------------------------------------------------------------



Sec. 518.92  Review time (in the case of commercial requesters).

                                                                        
------------------------------------------------------------------------
                                                                 Hourly 
                 Type                           Grade           rate ($)
------------------------------------------------------------------------
Clerical.............................  E9/GS8 and below.......        12
Professional.........................  01-06/GS9-GS15.........        25
Executive............................  07/GS16/ES1 and above..        45
------------------------------------------------------------------------



Sec. 518.93  Audiovisual documentary materials.

    Search costs are computed as for any other record. Duplication cost 
is the actual direct cost of reproducing the material, including the 
wage of the person doing the work. Audiovisual materials provided to a 
requester need not be in reproducible format or quality. Army 
audiovisual materials are referred to as ``visual information.''



Sec. 518.94  Other records.

    Direct search and duplication cost for any record not described 
above shall be computed in the manner described for audiovisual 
documentary material.



Sec. 518.95  Costs for special services.

    Complying with requests for special services is at the discretion of 
the Components. Neither the FOIA, nor its fee structure cover these 
kinds of services. Therefore, Components may recover the costs of 
special services requested by the requester after agreement has been 
obtained in writing from the requester to pay for one or more of the 
following services:
    (a) Certifying that records are true copies.
    (b) Sending records by special methods such as express mail, etc.

           Collection of Fees and Fee Rates for Technical Data



Sec. 518.96  Fees for technical data.

    (a) Technical data, other than technical data that discloses 
critical technology with military or space application, if required to 
be released under the FOIA, shall be released after the person 
requesting such technical data pays all reasonable costs attributed to 
search, duplication and review of the records to be released. Technical 
data, as used in this Section, means recorded information, regardless of 
the form or

[[Page 181]]

method of the recording of a scientific or technical nature (including 
computer software documentation). This term does not include computer 
software, or data incidental to contract administration, such as 
financial and/or management information. DoD Components shall retain the 
amounts received by such a release, and it shall be merged with and 
available for the same purpose and the same time period as the 
appropriation from which the costs were incurred in complying with 
request. All reasonable costs as used in this sense are the full costs 
to the Federal Government of rendering the service, or fair market value 
of the service, whichever is higher. Fair market value shall be 
determined in accordance with commercial rates in the local geographical 
area. In the absence of a known market value, charges shall be based on 
recovery of full costs to the Federal Government. The full cost shall 
include all direct and indirect costs to conduct the search and to 
duplicate the records responsive to the request. This cost is to be 
differentiated from the direct costs allowable under the Collection of 
Fees and Fee Rates portion of this subpart for other types of 
information released under the FOIA. DD Form 2086-1 (Record of Freedom 
of Information (FOI) Processing Cost for Technical Data) will be used to 
annotate fees for technical data. The form is available through normal 
publications channels.
    (b) Waiver. Components shall waive the payment of costs required in 
Sec. 518.96(a), which are greater than the costs that would be required 
for release of this same information under the Collection of Fees and 
Fee Rates portion of this subpart if:
    (1) The request is made by a citizen of the United States or a 
United States corporation, and such citizen or corporation certifies 
that the technical data requested is required to enable it to submit an 
offer, or determine whether it is capable of submitting an offer to 
provide the product to which the technical data relates to the United 
States or a contractor with the United States. However, Components may 
require the citizen or corporation to pay a deposit in an amount equal 
to not more than the cost of complying with the request, which will be 
refunded upon submission of an offer by the citizen or corporation;
    (2) The release of technical data is requested in order to comply 
with the terms of an international agreement; or,
    (3) The Component determines in accordance with Sec. 518.80(a), that 
such a waiver is in the interest of the United States.
    (c) Fee Rates.
    (1) Search time. (i) Manual Search.

                                                                        
------------------------------------------------------------------------
                                                                 Hourly 
                 Type                           Grade           rate ($)
------------------------------------------------------------------------
Clerical.............................  E9/GS8 and below.......     13.25
(Minimum Charge).....................  .......................      8.30
------------------------------------------------------------------------

    Professional and Executive (To be established at actual hourly rate 
prior to search. A minimum charge will be established at \1/2\ hourly 
rates.)
    (ii) Computer search is based on the total cost of the central 
processing unit, input-output devices, and memory capacity of the actual 
computer configuration. The wage (based upon the scale in 
Sec. 518.96(c)(1)(i), for the computer operator and/or programmer 
determining how to conduct, and subsequently executing the search will 
be recorded as part of the computer search.
    (2) Duplication.

                                                                        
------------------------------------------------------------------------
                              Type                                 Cost 
------------------------------------------------------------------------
Aerial photographs, specifications, permits, charts,                    
 blueprints, and other technical documents.....................    $2.50
Engineering data (microfilm):                                           
  Aperture cards:                                                       
    Silver duplicate negative, per card........................      .75
    When key punched and verified, per card....................      .85
    Diazo duplicate negative, per card.........................      .65
    When key punched and verified, per card....................      .75
    35mm roll film, per frame..................................      .50
    16mm roll film, per frame..................................      .45
    Paper daprints (engineering drawings), each................     1.50
    Paper reprints of microfilm indices, each..................      .10
------------------------------------------------------------------------

    (3) Review time.

                                                                        
------------------------------------------------------------------------
                                                                 Hourly 
                 Type                           Grade           rate ($)
------------------------------------------------------------------------
Clerical.............................  E9/GS8 and below.......     13.25
(Minimum Charge).....................  .......................      8.30
------------------------------------------------------------------------

    Professional and Executive (To be established at actual hourly rate 
prior to review. A minimum charge will be established at \1/21\ hourly 
rates.)

[[Page 182]]

    (d) Other technical data records. Charges for additional services 
not specifically provided in Sec. 518.96(c), consistent with DoD 
Instruction 7230.7 (reference (r)), shall be made by Components at the 
following rates:

                                                                        
                                                                        
                                                                        
1. Minimum charge for office copy (up to six images).........      $3.50
2. Each additional image.....................................        .10
3. Each typewritten page.....................................       3.50
4. Certification and validation with seal, each..............       5.20
5. Hand-drawn plots and sketches, each hour or fraction                 
 thereof.....................................................      12.00
                                                                        



                           Subpart G--Reports

                             Reports Control



Sec. 518.97  General.

    The reporting requirement outlined in this subpart is assigned 
Report Control Symbol DD-PA(A) 1365. See appendix F for DD Form 2564, 
Annual Report Freedom of Information Act.

                              Annual Report



Sec. 518.98  Reporting time.

    Each DoD Component shall prepare statistics and accumulate paperwork 
for the preceding calendar year on those times prescribed for the annual 
report and submit them in duplicate to the ASD(PA) on or before each 
February 1. Existing DoD standards and registered data elements are to 
be used for all data requirements to the greatest extent possible in 
accordance with the provisions of DoD Directive 5000.11 (reference(s)) 
AR 25-9. The standard data elements are contained in DoD Directive 
5000.12-M (reference (99)). The Army will follow guidelines below and 
submit the information to the Army Freedom of Information and Privacy 
Act Division, Information Systems Command, Attn: ASQNS-OP-F, Room 1146, 
Hoffman Building I, Alexandria, VA 22331-0301 by the second week of each 
January.
    (a) Each reporting activity will submit the information requested in 
Sec. 518.99, items (a)(1), (a)(2), (a)(5), (a)(6), (b)(3), (i), (j)(l), 
(j)(2) and (j)(2)(i). Data will be collected throughout the year on DD 
Form 2086.
    (b) Each IDA will submit the information requested in Sec. 518.99, 
excluding items (d) through (h).
    (c) The Judge Advocate General, Army, will submit the information 
requested in Sec. 518.99, item (9).
    (d) The Army General Counsel will submit the information requested 
in Sec. 518.99, items (d) through (f).
    (e) The Information Systems Command will compile the data submitted 
in the Department of the Army's annual Reporting of Freedom of 
Information Processing Costs (RCS DD-PA(A) 1365). This report will be 
coordinated through the DISC4 (SAIS-PDC), WASH DC 20310-0107, to the 
Director of Freedom of Information and Security Review by 31 January 
each year.



Sec. 518.99  Annual report content.

    The following instructions shall be used in preparing the annual 
report for submission on DD Form 2564 (see appendix G to this part). DD 
Form 2564 may be ordered through publication channels or reproduced 
locally:
    (a) Item 1.
    (1) Total requests. Enter the total number of FOIA requests 
responded to during the calendar year.
    (2) Granted in full. Enter the total number of FOIA requests 
responded to and granted in full during the calendar year. (This may 
include requests granted by your office, yet still requiring action by 
another office).
    (3) Denied in part. Enter the total number of FOIA requests 
responded to and denied in part based on one or more of the nine FOIA 
exemptions. (Do not report denial of fee waivers).
    (4) Denied in full. Enter the total number of FOIA requests 
responded to and denied in full based on one or more of the nine FOIA 
exceptions. (Do not report denial of fee waivers).
    (5) ``Other Reason'' responses. Enter the total number of FOIA 
requests in which you were unable to provide all or part of the 
requested information based on an ``Other Reason'' response. Item (b)(3) 
of this section explains the six possible ``Other Reasons''.
    (6) Total actions. Enter the total number of FOIA actions taken 
during the calendar year. This number will be the sum of paragraphs 
(a)(2) through (a)(5) of this section.

[[Page 183]]

    (b) Item 2.
    (1) Exemptions invoked on initial determinations. Enter the number 
of times an exemption was claimed for each request that was denied in 
full or in part. Since more than one exemption may be claimed when 
responding to a single request, this number will be equal to or greater 
than the sum of paragraphs (a)(3) and (a)(4) of this section.
    (2) b(3) Status invoked on initial determinations. Identify the 
statutes cited and number of times invoked when you claim a (b)(3) 
exemption. The total number of instances will be equal to the total in 
paragraph (b)(1) of this section. Cite the specific sections when 
invoking the Atomic Energy of 1954 or the National Security Act of 1947. 
To qualify as a b(3) exemption, the statute must contain clear wording 
that the information covered will not be disclosed. The following 
examples are not b(3) statutes:
    (i) 5 U.S.C. 552a--Privacy Act.
    (ii) 17 U.S.C. 101 et. seq.--Copyright Act.
    (iii) 18 U.S.C. 793--Gathering, Transmitting or Losing Defense 
Information.
    (iv) 18 U.S.C. 794--Gathering or Delivering Defense Information to 
Aid Foreign Governments.
    (v) 18 U.S.C. 1905--Trade Secrets Act.
    (vi) U.S.C. 1498--Patent and Copyright Cases.
    (3) ``Other Reasons'' cited on initial determinations. Identify the 
``Other Reasons'' response cited when responding to a FOIA request and 
enter the number of times each was claimed.
    (i) Transferred request. Enter the number of times a request was 
transferred to another DoD Component or Federal Agency for action.
    (ii) Lack of records. Enter the number of times a search of files 
failed to identify records responsive to subject request and there was 
no statutory obligations to create a record.
    (iii) Failure of requester to reasonably describe record. Enter the 
number of times a FOIA request could not be acted upon since the 
requester failed to reasonably describe the record(s) being sought.
    (iv) Other failures by requester to comply with published rules and/
or directives. Enter the number of times a requester failed to follow 
published rules concerning time, place, fees, and procedures.
    (v) Request withdrawn by requester. Enter the number of times a 
requester withdrew a request and/or appeal.
    (vi) Not an agency record. Enter the number of times a requester was 
provided a request indicating the requested information was not an 
agency record.
    (vii) Total. Enter the sum of paragraphs (b)(3) (i) through (vi) of 
this section. This number will be equal to or greater than the number in 
paragraph (a)(5) of this section, since more than one reason may be 
claimed for each ``Other Reason'' response.
    (c) Item. 3.
    Initial denial authorities by participation. Enter the name, rank 
(if military), title, and activity of each individual who signed a 
partial or total denial response and give the number of instances of 
participation. The total number of instances will equal the sum of 
paragraphs (a)(3) and (a)(4) of this section. Show the individual's full 
title and complete organization (do not use acronyms or abbreviations, 
other than U.S.) See example below.

Smith, John G. BG Director, Personnel and Administration, 6 U.S. 
          European Command

    (d) Item 4.
    (1) Total requests. Enter the total number of FOIA appeals responded 
to during the calendar year.
    (2) Granted in full. Enter the total number of FOIA appeals 
responded to and granted in full during the year.
    (3) Denied in part. Enter the total number of FOIA appeals responded 
to and denied in part based on one or more of the nine FOIA exemptions.
    (4) Denied in full. Enter the total number of FOIA appeals responded 
to and denied in full based on one or more of the nine FOIA requests.
    (5) ``Other Reason'' responses. Enter the total number of FOIA 
appeals in which you were unable to provide the requested information 
based on ``Other Reason'' response. Item (b)(3) of this section explains 
the six possible ``Other Reasons.''
    (6) Total actions. Enter the total number of FOIA appeal actions 
taken during the calendar year. This number will

[[Page 184]]

be the sum of paragraphs (d)(2) and (d)(5) of this section.
    (e) Item 5.
    (1) Exemptions invoked on appeal determinations. Enter the number of 
times an exemption was claimed for each appeal that was denied in full 
or in part. Since more than one exemption may be claimed when responding 
to a single request, this number will be equal to or greater than the 
sum of paragraphs (d)(3) and (d)(4) of this section.
    (2) b(3) Statutes invoked on appeal determinations. Identify the 
statutes cited and number of times invoked when you claimed a(b)(3) 
exemption. The total number of instances will be equal to the total in 
paragraph (e)(1) of this section. Cite the specific sections when 
invoking the Atomic Energy Act of 1954 or the National Security Act of 
1947. To qualify as a b(3) exemption, the statute must contain clear 
wording that the information covered will not be disclosed. Examples 
which are not b(3) statues are listed in paragraph (b)(2) of this 
section.
    (3) ``Other Reasons'' cited on appeal determinations. Identify the 
``Other Reasons'' response cited when responding to a FOIA appeal and 
enter the number of times each was claimed. See paragraph (b)(3) of this 
section for description of ``Other Reasons''.
    (f) Item 6.
    Appeal denial authorities by participation. Enter the name, rank (if 
military), title, and activity of each individual who signed a partial 
or total appeal denial response and give the number of instances of 
participation. The total number of instances will equal the sum of 
paragraphs (d)(3) and (d)(4) of this section. Show the full title and 
complete organization (do not use acronyms or abbreviations, other than 
U.S.). See Item 3 of this section for example.
    (g) Item 7.
    Court opinions and actions taken. Briefly describe the results of 
each suit the Judge Advocate General and/or the General Counsel 
participated in during the calendar year. See following example:

Armed Forces Relief and Benefit Association v. Department of Defense, 
          Department of the Army, Department of the Air Force, and 
          Department of the Navy. C.A. 89-0689, U.S.D.C.D.C., March 15, 
          1989. Plaintiff filed suit for defendent's refusal to release 
          serviceman's name and duty address. Information was held 
          pursuant to 5 U.S.C. 552 (b)(2) and (b)(6). Plaintiff 
          voluntarily dismissed suit June 19, 1989.

    (h) Item 8.
    FOIA implementation rules and regulations. List all changes or 
revisions of FOIA rules or regulations affecting the implementation of 
the FOIA program, followed by the Federal Register reference (volume 
number, date, and page) that announces the change of revision to the 
public. Append a copy of each. See following example:

DoD Regulation 5400.7-R ``DoD Freedom of Information Act Program''--32 
          CFR 286, Vol. 54, No. 155, pg. 33190, 14 August 1989.

    (i) Item 9.
    Fee collected from the public. Enter the total amount of fees 
collected from the public during the calendar year. This includes 
search, review, and reproduction costs only.
    (j) Item 10.
    (1) Availability of records. Reports all new categories or 
segregable positions of records now being released upon request.
    (2) FOI Program costs.
    (i) Personnel costs. Items (b) and (c) of this section are used to 
captured manyears and salary costs of personnel primarily involved in 
planning, program management and/or administrative handling of FOIA 
requests. Determine salaries for military personnel by using the 
Composite Standard Pay rates (DoD 7229.9-M, Department of Defense 
Accounting Manual). For civilian personnel use Office of Personnel 
Management salary table and add 16 percent for benefits. A sample 
computation is shown as follows. Table G-1 shows how the cost 
computation is made.

                     Table G-1.--Sample Computation                     
------------------------------------------------------------------------
                                 No. of             Percentage          
            Grade              personnel   Salary     of time     Costs 
------------------------------------------------------------------------
O-5..........................         1    $88,463         10     $8,846
O-1..........................         1     37,219         30     11,165
GS-12........................         1     41,557         50     20.799
                                                   ---------------------
    Total....................  .........  ........         90     40,790
------------------------------------------------------------------------
Notes:                                                                  
1. To determine the manyear computation: Add the total percentages of   
  time and divide the percentage by 100.                                

[[Page 185]]

                                                                        
2. Sample Computation: Manyears=140% divided by 100=1.4 manyears.       

    (a) Estimated manyears. Add the total percentages of time for 
personnel involved in administering the FOI program and divide by 100. 
In the example shown above, (10+30+50)/100=.9 manyears.
    (b) Manyear costs. Total costs associated with salaries of 
individuals involved in administering FOIA program. In the example shown 
above, the total cost is $40,790.
    (c) Estimated manhour costs by Category. This section accounts for 
all other personnel not reported in (a) and (b) of this section who are 
involved in processing FOIA requests. Enter the total hourly cost for 
each of the five areas described below.
    (1) Search time. This includes only those direct costs associated 
with the time spent looking for material that is responsive to a 
request, including line by line identification of material within a 
document to determine if it is responsive to the request. Searches may 
be done manually or by computer using existing programming.
    (2) Review and existing. This includes all direct costs incurred 
during the process of examining documents located in response to a 
request to determine whether any portion of any document located is 
permitted to be withheld. It also includes excising document to prepare 
them for release. It does not include time spent resolving general legal 
or policy issues regarding the applications of exemptions.
    (3) Coordination and approval. This includes all costs involved in 
coordinating the release/denial of documents requested under the FOIA.
    (4) Correspondence/form preparation. This includes all costs 
involved in typing responses, filling out forms, etc., to respond to a 
FOIA request.
    (5) Other activities. This includes all other processing costs not 
covered above, such as processing time by the mail room.
    (6) Total. Enter the sum of (c)(1) through (c)(5) of this section.
    (d) Overhead. This is the cost of supervision, space, and 
administrative support. It is computed as 25% of the sum of (b) and (c) 
of this section.
    (e) Total. (1) Enter the sum of (b), (c), and (d) of this section.
    (2) Other case-related costs. Using the fee schedule, enter the 
total amounts incurred in each of the areas below.
    (i) Computer search time. This includes costs of central processing 
unit, input/output devices, memory, etc., of the computer system used, 
as well as the wage of the machine's operator/programmer.
    (ii) Office copy reproduction. This includes the cost of reproducing 
normal documents with office copying equipment.
    (iii) Microfiche reproduction. This includes the cost of reproducing 
normal documents with office copying equipment.
    (iv) Printed records. This is the cost of providing reproduced 
copies of forms, publications, or reports.
    (v) Computer copy. This is the actual cost of duplicating magnetic 
tapes, floppy diskettes, computer printouts, etc.
    (vi) Audiovisual materials. This is the actual cost of duplicating 
audio or video tapes or like materials, to include the wage of the 
person doing the work.
    (vii) Other. Reports all other costs which are easily identifiable, 
such as per diem, operation of courier vehicles, training courses, 
printing (indexes and forms), long distance telephone calls, special 
mail services, use of indicia, etc.
    (viii) Subtotal. Enter the sum of (e)(2)(i) through (vii) of this 
section.
    (ix) Overhead. This is the cost of supervision, space and 
administrative support. It is computed as 25% of (e)(2)(viii) of this 
section.
    (x) Total. Enter the sum of (e)(2)(viii) and (ix) of this section.
    (3) Cost of routing requests processed. This item optional. Some 
reporting activities may find it economical to develop an average cost 
factor for processing repetitive routine requests rather than tracking 
costs on each request as it is processed. Care should be exercised so 
that costs are comprehensive to include a 25% overhead, yet not 
duplicated elsewhere in the report. Multiply the number of routine 
requests processed items the cost factor to compute this amount.
    (4) Total costs. Enter the sum of (1) through (3) of this section.
    (f) Format time limit extension. Enter the total number of instances 
in which it was necessary to seek a formal 10 working day time extension 
for one of the reasons explained as follows:
    (1) Location. The need to search for and collect the requested 
records from another activity that as separate from the office 
processing the request.
    (2) Volume. the need to search for, collect, and appropriately 
examine a voluminous amount of separate and distinct records in a single 
request.
    (3) Consultation. The need for consultation with another agency 
having a substantial interest in the material requested.
    (4) Court involvement. Where court actions were taken on the basis 
of exhaustion of administrative procedures because the department/
activity was unable to comply with the request within the applicable 
time limits, and in which a court allowed additional time upon a showing 
of exceptional circumstances, provide a copy of each court opinion and 
court order containing such an extension of time.

[[Page 186]]

    (5) Total. Enter the sum of paragraphs (j)(2)(i) through (j)(2)(iv) 
above of this section.

    (ii) [Reserved]
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56011, Oct. 31, 1991]



                    Subpart H--Education and Training

                       Responsibility and Purpose



Sec. 518.100  Responsibility.

    The head of each DoD Component is responsible for the establishment 
of educational and training programs on the provisions and requirements 
of this Regulation. The educational programs should be targeted toward 
all members of the DoD Component, developing a general understanding and 
appreciation of the DoD FOIA Program; whereas, the training programs 
should be focused toward those personnel who are involved in the day-to-
day processing of FOIA requests, and should provide a thorough 
understanding of the procedures outlined in this Regulation.



Sec. 518.101  Purpose.

    The purpose of the educational and training programs is to promote a 
positive attitude among DoD personnel and raise the level of 
understanding and appreciation of the DoD FOIA Program, thereby 
improving the interaction with members of the public and improving the 
public trust in the Department of Defense.



Sec. 518.102  Scope and principles.

    Each Component shall design its FOIA educational and training 
programs to fit the particular requirements of personnel dependent upon 
their degree of involvement in the implementation of this Regulation. 
The Program should be designed to accomplish the following objectives:
    (a) Familiarize personnel with the requirements of the FOIA and its 
implementation by this Regulation.
    (b) Instruct personnel, who act in FOIA matters, concerning the 
provisions of this Regulation, advising them of the legal hazards 
involved and the strict prohibition against arbitrary and capricious 
withholding of information.
    (c) Provide for the procedural and legal guidance and instruction, 
as may be required, in the discharge of the responsibilities of initial 
denial and appellate authorities.
    (d) Advise personnel of the penalties for noncompliance with the 
FOIA.



Sec. 518.103  Implementation.

    To ensure uniformity of interpretation, all major educational and 
training programs concerning the implementation of this Regulation 
should be coordinated with the Director, Freedom of Information and 
Security Review, OASD(PA).



Sec. 518.104  Uniformity of legal interpretation.

    In accordance with DoD Directive 5400.7 (reference (b)), the General 
Counsel of the Department of Defense shall ensure uniformity in the 
legal position and interpretation of the DoD FOIA Program. This 
regulation provides procedures for contacting the DOD General Counsel 
where required.

                         Appendices to Part 518

Appendix A to Part 518--Unified Commands--Processing Procedures for FOI 
                                 Appeals

    1. General.
    a. In accordance with DoD Directive 5400.7 (reference (b)) and this 
Regulation, the Unified Commands are placed under the jurisdiction of 
the Office of the Secretary of Defense, instead of the administering 
Military Department, only for the purpose of administering the Freedom 
of Information (FOI) Programs. This policy represents an exception to 
the policies in DoD Directive 5100.3 (reference (f)).
    b. The policy change above authorizes and requires the Unified 
Commands to process FOI requests in accordance with DoD Directive 5400.7 
(reference (b)) and DoD Instruction 5400.10 (reference (hh)) and to 
forward directly to the OASD(PA) all correspondence associated with the 
appeal of an initial denial for information under the provisions of the 
FOIA.
    2. Responsibilities of Commands.
    Unified Commanders in Chief shall:
    a. Designate the officials authorized to deny initial FOIA requests 
for records.
    b. Designate an office as the point-of-contact for FOIA matters.
    c. Refer FOIA cases to the ASD(PA) for review and evaluation when 
the issues raised

[[Page 187]]

are of unusual significance, precedent setting, or otherwise require 
special attention or guidance.
    d. Consult with other OSD and DoD Components that may have a 
significant interest in the requested record prior to a final 
determination. Coordination with agencies outside of the Department of 
Defense, if required, is authorized.
    e. Coordinate proposed denials of records with the appropriate 
Unified Command's Office of the Staff Judge Advocate. Answer any request 
for a record within 10 working days of receipt. The requester shall be 
notified that his request has been granted or denied. In unusual 
circumstances, such notification may state that additional time, not to 
exceed 10 working days, is required to make a determination.
    f. Provide to the ASD(PA) when the request for a record is denied in 
whole or in part, a copy of the response to the requester or his 
representative, and any internal memoranda that provide background 
information or rationale for the denial.
    g. State in the response that the decision to deny the release of 
the requested information, in whole or in part, may be appealed to the 
Assistant Secretary of Defense (Public Affairs), the Pentagon, 
Washington, DC 20301-1400.
    h. Upon request, submit to ASD(PA) a copy of the records that were 
denied. ASD(PA) shall make such requests when adjudicating appeals.
    3. Fees for FOI Requests.
    The fees charged for requested records shall be in accordance with 
subpart F.
    4. Communications.
    Excellent communications capabilities currently exist between the 
OASD(PA) and the Public Affairs Offices of the Unified Commands. This 
communication capability shall be used for FOIA cases that are time 
sensitive.
    5. Reporting Requirements.
    a. The Unified Commands shall submit to the ASD(PA) an annual 
report. The instructions for the report are outlined in subpart G.
    b. The annual report shall be submitted in duplicate to the ASD(PA) 
not later than each February 1. This reporting requirement is assigned 
Report Control Symbol DD-PA(A)1365.

            Appendix B to Part 518--Addressing FOIA Requests

    1. General.
    a. The Department of Defense includes the Office of the Secretary of 
Defense and the Joint Staff, the Military Departments, the Unified 
Commands, the Defense Agencies, and the DoD Field Activities.
    b. The Department of Defense does not have a central repository for 
DoD records. FOIA requests, therefore, should be addressed to the DoD 
Component that has custody of the record desired. In answering inquiries 
regarding FOIA requests, DoD personnel shall assist requesters in 
determining the correct DoD Component to address their requests. If 
there is uncertainty as to the ownership of the record desired, the 
requester shall be referred to the DoD Component that is most likely to 
have the record.
    2. Listing of DoD Component Addresses for FOIA Requests.
    a. Office of the Secretary of Defense and the Joint Staff. Send all 
requests for records from the below listed offices to: Office of the 
Assistant Secretary of Defense (Public Affairs), Attn: Directorate for 
Freedom of Information and Security Review, room 2C757, The Pentagon, 
Washington, DC 20301-1400.
    (1) Executive Secretariat.
    (2) Under Secretary of Defense (Policy).
    (a) Assistant Secretary of Defense (International Security Affairs).
    (b) Assistant Secretary of Defense (International Security Policy).
    (c) Assistant Secretary of Defense (Special Operations/Low Intensity 
Conflict).
    (d) Principal Deputy Under Secretary of Defense (Strategy and 
Resources).
    (e) Deputy Under Secretary of Defense (Trade Security Policy).
    (f) Deputy Under Secretary of Defense (Security Policy).
    (g) Director of Net Assessment.
    (h) Director Defense Security Assistance Agency.
    (i) Defense Technology Security Administration.
    (3) Under Secretary of Defense (Acquisition).
    (a) Assistant Secretary of Defense (Production and Logistics).
    (b) Assistant Secretary of Defense (Command, Control, 
Communications, and Intelligence).
    (c) Assistant to the Secretary of Defense (Atomic Energy).
    (d) Director, Defense Research and Engineering.
    (e) Director, Small and Disadvantaged Business Utilization.
    (4) Comptroller of the Department of Defense.
    (5) Assistant Secretary of Defense (Force Management and Personnel).
    (6) Assistant Secretary of Defense (Health Affairs).
    (7) Assistant Secretary of Defense (Legislative Affairs).
    (8) Assistant Secretary of Defense (Public Affairs).
    (9) Assistant Secretary of Defense (Program Analysis and 
Evaluation).
    (10) Assistant Secretary of Defense (Reserve Affairs).
    (11) General Counsel, Department of Defense.

[[Page 188]]

    (12) Director, Operational Test and Evaluation.
    (13) Assistant to the Secretary of Defense (Intelligence Oversight).
    (14) Assistant to the Secretary of Defense (Intelligence Policy).
    (15) Defense Advanced Research Projects Agency.
    (16) Strategic Defense Initiative Organization.
    (17) Defense Systems Management College.
    (18) National Defense University.
    (19) Armed Forces Staff College.
    (20) Department of Defense Dependent Schools.
    (21) Uniformed Services University of the Health Sciences.
    b. Department of the Army. Army records may be requested from those 
Army officials who are listed in 32 CFR part 518 (reference (ii)), 
appendix B. Send requests to the Chief, Freedom of Information and 
Privacy Act Division, Information Systems Command--Pentagon, Attn: 
ASQNS-OP-F, room 1146, Hoffman I, 2461 Eisenhower Avenue, Alexandria, VA 
22331-0301 for records of the Headquarters, U.S. Army, or if there is 
uncertainty as to which Army activity may have the records. Send 
requests to particular installations or organizations as follows:
    (1) Current publications and records of DA field commands, 
installations, and organizations.
    (a) Send the request to the commander of the command, installation, 
or organization, to the attention of the Freedom of Information Act 
Official.
    (b) Consult AR 25-400-2 for more detailed listings of all record 
categories kept in DA offices.
    (c) Contact the installation or organization public affairs officer 
for help if you cannot determine the official within a specific 
organization to whom your request should be addressed.
    (2) Department of the Army publications.
    (a) Write to the U.S. Government Printing Office, which has many DA 
publications for sale. Address: Superintendent of Documents, U.S. 
Government Printing Office, Washington, DC 20402-0001.
    (b) Use the facilities of about 1,000 Government publication 
depository libraries throughout the United States. These libraries have 
copies of many DA publications. Obtain a list of these libraries from 
the Superintendent of Documents at the above address.
    (c) Send requests for current administrative, training, technical, 
and supply publications to the National Technical Information Service, 
U.S. Department of Commerce, Attn: Order Preprocessing Section, 5285 
Port Royal Road, Springfield, VA 22151-2171; commercial telephone, (703) 
487-4600. The National Technical Information Service handles general 
public requests for unclassified, uncopyrighted, and nondistribution-
restricted Army publications not sold through the Superintendent of 
Documents.
    (3) Military personnel records. Send requests for military personnel 
records of information as follows:
    (a) Army Reserve personnel not on active duty and retired 
personnel--Commander, U.S. Army Reserve Personnel Center, 9700 Page 
Blvd., St. Louis, MO 63132-5200; commercial telephone, (314) 263-7600.
    (b) Army officer personnel discharged or deceased after 1 July 1917 
and Army enlisted personnel discharged or deceased after 1 November 
1912--Director, National Personnel Records Center, 9700 Page Blvd., St. 
Louis, MO 63132-5100.
    (c) Army personnel separated before the dates specified in (ii) 
above--Textual Reference Division, Military Reference Branch, National 
Archives and Records Administration, Washington, DC 20408-0001.
    (d) Army National Guard officer personnel[EM]Chief, National Guard 
Bureau. Army National Guard enlisted personnel[EM]Adjutant General of 
the proper State.
    (e) Active duty commissioned and warrant officer personnel--
Commander, U.S. Total Army Personnel Command, Attn: TAPC-ALS, 
Alexandria, VA 22332-0405; commercial telephone, (703) 325-4053. Active 
duty enlisted personnel--Commander, U.S. Army Enlisted Records and 
Evaluation Center, Attn: PCRE-RF, Fort Benjamin Harrison, IN 46249-4701; 
commercial telephone, (317) 542-3643.
    (4) Medical records.
    (a) Medical records of non-active duty military personnel. Use the 
same addresses as for military personnel records.
    (b) Medical records of military personnel on active duty. Address 
the medical treatment facility where the records are kept. If necessary, 
request locator service per (e) above.
    (c) Medical records of civilian employees and all dependents. 
Address the medical treatment facility where the records are kept. If 
the records have been retired, send requests to the Director, National 
Personnel Records Center, 111 Winnebago St., St. Louis, MO 63118-4199.
    (5) Legal records.
    (a) Records of general courts-martial and special courts-martial in 
which a bad conduct discharge was approved. For cases not yet forwarded 
for appellate review, apply to the staff judge advocate of the command 
having jurisdiction over the case. For cases forwarded for appellate 
review and for old cases, apply to the U.S. Army Legal Service Agency, 
Attn: JALS-CC, Nassif Building, Falls Church, VA 22041-5013; AUTOVON 
289-1888, commercial telephone, (202) 756-1888.
    (b) Records of special courts-martial not involving a bad conduct 
discharge. These

[[Page 189]]

records are kept for 10 years after completion of the case. If the case 
was completed within the past 3 years, apply to the staff judge advocate 
of the headquarters where it was reviewed. If the case was completed 
from 3 to 10 years ago, apply to the National Personnel Records Center 
(Military Records), 9700 Page Blvd., St. Louis, MO 63132-5100. If the 
case was completed more than 10 years ago, the only evidence of 
conviction is the special courts-martial order in the person's permanent 
records. Request as in (3) above.
    (c) Records of summary courts-martial. Locally maintained records 
are retired 3 years after action of the supervisory authority. Request 
records of cases less than 3 yeas old from the staff judge advocate of 
the headquarters where the case was reviewed. After 10 years, the only 
evidence of conviction is the summary courts-martial order in the 
person's permanent records. Request as in (3) above.
    (d) Requests submitted under (b) and (c) above. These requests will 
be processed in accordance with chapter V. The IDA is The Judge Advocate 
General, HQDA (DAJA-CL), WASH DC 20310-2213; AUTOVON 225-1891, 
commercial telephone, (202) 695-1891.
    (e) Administrative settlement of claims. Apply to the Chief, U.S. 
Army Claims Service, Attn: JACS-TCC, Fort George G. Meade, MD 20755-
5360; AUTOVON 923-7860, commercial telephone, (301) 677-7860.
    (f) Records involving debarred or suspended contractors. Apply to 
HQDA (JALS-PF), WASH DC 20310-2217; AUTOVON 285-4278, commercial 
telephone, (202) 504-4278.
    (g) Records of all other legal matters (other than records kept by a 
command, installation, or organization staff judge advocate). Apply to 
HQDA (DAJA-AL), WASH DC 20310-2212; AUTOVON 224-4316, commercial 
telephone, (202) 694-4316.
    (6) Civil works program records. Civil works records include those 
relating to construction, operation, and maintenance for the improvement 
of rivers, harbors, and waterways for navigation, flood control, and 
related purposes, including shore protection work by the Army. Apply to 
the proper division or district office of the Corps of Engineers. If 
necessary to determine the proper office, contact the Commander, U.S. 
Army Corps of Engineers, Attn: CECC-K, WASH DC 20314-1000; commercial 
telephone, (202) 272-0028.
    (7) Civilian personnel records. Send requests for personnel records 
of current civilian employees to the employing installation. Send 
requests for personnel records of former civilian employees to the 
Director, National Personnel Records Center, 111 Winnebago St., St. 
Louis, MO 63118-4199.
    (8) Procurement records. Send requests for information about 
procurement activities to the contracting officer concerned or, if not 
feasible, to the procuring activity. If the contracting officer or 
procuring activity is not known, send inquiries as follows:
    (a) Army Materiel Command procurement: Commander, U.S. Army Materiel 
Command, Attn: AMCPA, 5001 Eisenhower Ave., Alexandria, VA 22333-0001.
    (b) Corps of Engineers procurement: Commander, U.S. Army Corps of 
Engineers, Attn: CECC-K, WASH DC 20314-1000; commercial telephone, (202) 
272-0028.
    (c) All other procurement: HQDA (DAJA-KL), WASH DC 20310-2208; 
AUTOVON 225-6209, commercial telephone, (202) 695-6209.
    (9) Criminal investigation files. Send requests involving criminal 
investigation files to the Commander, U.S. Army Criminal Investigation 
Command, Attn: CICR-FP, 2301 Chesapeake Ave., Baltimore, MD 21222-4099; 
commercial telephone, (301) 234-9340. Only the Commanding General, 
USACIDC, can release any USACIDC-originated criminal investigation file.
    (10) Personnel security investigation files and general Army 
intelligence records. Send requests for personnel security investigation 
files, intelligence investigation and security records, and records of 
other Army intelligence matters to the Commander, U.S. Army Intelligence 
and Security Command, Attn: IACSF-FI, Fort George G. Meade, MD 20755-
5995.
    (11) Inspector General records. Send requests involving records 
within the Inspector General system to HQDA (SAIG-ZXL), WASH DC 20310-
1714. AR 20-1 governs such records.
    (12) Army records in Government records depositories.
    (a) Noncurrent Army records are in the National Archives of the 
United States, WASH DC 20408-0001; in Federal Records Centers of the 
National Archives and Records Administration; and in other records 
depositories. Requesters must write directly to the heads of these 
depositories for copies of such records.
    (b) A list of pertinent records depositories is published in AR 25-
400-2, table 6-1.
    (c) Department of the Navy. Navy and Marine Corps records may be 
requested from any Navy or Marine Corps activity by addressing a letter 
to the Commanding Officer and clearly indicating that it is an FOIA 
request. Send requests to Chief of Naval Operations, Code OP-09B30, room 
5E521, Pentagon, Washington, DC 20350-2000, for records of the 
Headquarters, Department of the Navy, and to Freedom of Information and 
Privacy Act Office, Code MI-3, HQMC, room 4327, Washington, DC 20308-
0001, for records of the U.S. Marine Corps, or if there is uncertainty 
as to which Navy or Marine activities may have the records.
    (d) Department of the Air Force. Air Force records may be requested 
from the Commander of any Air Force installation, major command, or 
separate operating agency

[[Page 190]]

(Attn: FOIA Office). For Air Force records of Headquarters, United 
States Air Force, or if there is uncertainty as to which Air Force 
activity may have the records, send requests to Secretary of the Air 
Force, Attn: SAF/AAIS(FOIA), Pentagon, room 4A1088C, Washington, DC 
20330-1000.
    (e) Defense Contract Audit Agency (DCAA). DCAA records may be 
requested from any of its regional offices or from its headquarters. 
Requesters should send FOIA requests to the Defense Contract Audit 
Agency, Attn: CMR, Cameron Station, Alexandria, VA 22304-6178, for 
records of its headquarters or if there is uncertainty as to which DCAA 
region may have the records sought.
    (f) Defense Communications Agency (DCA). DCA records may be 
requested from any DCA field activity or from its headquarters. 
Requesters should send FOIA requests to Defense Communications Agency, 
Code H104, Washington, DC 20305-2000.
    (g) Defense Intelligence Agency (DIA). FOIA requests for DIA records 
may be addressed to Defense Intelligence Agency, Attn: RTS-1, 
Washington, DC 20340-3299.
    (h) Defense Investigative Service (DIS). All FOIA requests for DIS 
records should be sent to the Defense Investigative Service, Attn: 
V0020, 1900 Half St., SW., Washington, DC 20324-1700.
    (i) Defense Logistics Agency (DLA). DLA records may be requested 
from its headquarters or from any of its field activities. Requestors 
should send FOIA requests to defense Logistics Agency, Attn: DLA-XAM, 
Cameron Station, Alexandria, VA 22304-6100.
    (j) Defense Mapping Agency (DMA). FOIA requests for DMA records may 
be sent to the Defense Mapping Agency, 8613 Lee Highway, Fairfax, VA 
22031-2137.
    (k) Defense Nuclear Agency (DNA). FOIA requests for DNA records may 
be sent to the Defense Nuclear Agency, Public Affairs Office, room 113, 
6801 Telegraph Road, Alexandria, VA 22310-3398.
    (l) National Security Agency (NSA). FOIA requests for NSA records 
may be sent to the National Security Agency/Central Security Service, 
Attn: Q-43, Fort George G. Meade, MD 20755-6000.
    (m) Office of the Inspector General, Department of Defense (IG, 
DoD). FOIA requests for IG, DoD records may be sent to the Department of 
Defense Office of the Inspector General, Assistant Inspector General for 
Investigations, Attn: Deputy Director FOIA/PA Division, 400 Army Navy 
Drive, Arlington, VA 22202-2884.
    (n) Defense Finance and Accounting Service (DFAS). DFAS records may 
be requested from any of its regional offices or from its Headquarters. 
Requesters should send FOIA requests to Defense Finance and Accounting 
Service, Crystal Mall 3, room 416, Washington, DC 20376-5001 for records 
of its headquarters, or if there is uncertainty as to which DFAS region 
may have the records sought.
    3. Other Addressees.
    Although the below organizations are OSD and Joint Staff Components 
for the purposes of the FOIA, requests may be sent directly to the 
addresses indicated.
    (a) Office of Civilian Health and Medical Program of the Uniformed 
Services (OCHAMPUS). Director, OCHAMPUS, Attn: Freedom of Information 
Officer, Aurora, CO 80045-6900.
    (b) Chairman, Armed Services Board of Contract Appeals (ASBCA). 
Chairman, Armed Services Board of Contract Appeals, Skyline Six, 5109 
Leesburg Pike, Falls Church, VA 22041-3208.
    (c) U.S. Central Command. U.S. Central Command/CCJI/AG, MacDill Air 
Force Base, FL 33608-7001.
    (d) U.S. European Command. Headquarters, U.S. European Command/ECJ1-
AR(FOIA), APO New York 09128-4209.
    (e) U.S. Southern Command. U.S. Commander-in-Chief, Southern 
Command, Attn: SCJ1, APO Miami 34003-0007.
    (f) U.S. Pacific Command. U.S. Commander-in-Chief, Pacific Command, 
USPACOM FOIA Coordinator (J18A), Administrative Support Division, Joint 
Secretariat, Box 28, Camp H.M. Smith, HI 96861-5025.
    (g) U.S. Special Operations Command. U.S. Special Operations 
Command, Attn: SOJ6-SI (FOI Officer), MacDill, Air Force Base, FL 33608.
    (h) U.S. Atlantic Command. Commander-in-Chief, Atlantic Command, 
Code J02P6, Norfolk, VA 23511-5100.
    (i) U.S. Space Command. Chief Records Management Division, 
Directorate of Administration, United States Space Command Peterson Air 
Force Base, CO 80914-5001.
    (j) U.S. Transportation Command. U.S. Commander-in-Chief, 
Transportation Command, Attn: TCDA-RM, Scott Air Force Base, IL 62225-
7001.
    4. National Guard Bureau.
    FOIA requests for National Guard Bureau records may be sent to the 
Chief, National Guard Bureau (NGB-DAI), Pentagon, room 2C362, 
Washington, DC 20310-2500.
    5. Miscellaneous.
    If there is uncertainty as to which DoD component may have the DoD 
record sought, the requester may address a Freedom of Information 
request to the Office of the Assistant Secretary of Defense (Public 
Affairs), Attn: Directorate for Freedom of Information and Security 
Review, room 2C757, The Pentagon, Washington, DC 20301-1400.

[[Page 191]]

             Appendix C to Part 518--Litigation Status Sheet

1. Case Number* (Number used by Component for references (for DA, use 
          case name)
2. Requester
3. Document Title or Description
4. Litigation
a. Date Complaint Filed
b. Court
c. Case File Number*
5. Defendants (agency and individual)
6. Remarks: (brief explanation of what the case is about)
7. Court Action
a. Court's Finding
b. Disciplinary Action (as appropriate)
8. Appeal (as appropriate)
a. Date Complaint Filed
b. Court
c. Case File Number*
d. Court's Finding
e. Disciplinary Action (as appropriate)

             Appendix D to Part 518--Other Reason Categories

    1. Transferred Requests. This category applies when responsibility 
for making a determination or a decision on categories 2, 3, or 4 below 
is shifted from one Component to another, or to another Federal Agency.
    2. Lack of Records. This category covers those situations wherein 
the requester is advised the DoD Component has no record or has no 
statutory obligation to create a record.
    3. Failure of Requester to Reasonably Describe Record[EH]. This 
category is specifically based on section 552(a)(3)(a) of the FOIA 
(reference (a)).
    4. Other Failures by Requesters to Comply with Published Rules or 
Directives. This category is based on section 5529a)(3)(b) of the FOIA 
(reference (a)) and includes instances of failure to follow published 
rules concerning time, place, fees, and procedures.
    5. Request Withdrawn by Requester. This category covers those 
situations wherein the requester asks an agency to disregard the request 
(or appeal) or pursues the request outside FOIA channels.
    6. Not an Agency Record. This category covers situations where the 
information requested is not an agency record within the meaning of the 
FOIA and this regulation.

     Appendix E to Part 518--DoD Freedom of Information Act Program 
                               Components

Office of the Secretary of Defense/Joint Staff/Unified Commands,
Defense Agencies, and the DoD Field Activities
Department of the Army
Department of the Navy
Department of the Air Force
Defense Communications Agency
Defense Contract Audit Agency
Defense Finance and Accounting Service
Defense Intelligence Agency
Defense Investigative Service
Defense Logistics Agency
Defense Mapping Agency
Defense Nuclear Agency
National Security Agency
Office of the Inspector General, Department of Defense
Defense Finance and Accounting Service
[56 FR 48932, Sept. 26, 1991, as amended at 56 FR 56011, Oct. 31, 1991]

[[Page 192]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.030



[[Page 193]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.000



        Appendix G to Part 518--Internal Control Review Checklist

    Task: Army Information Management.
    Subtask: Records Management.
    This Checklist: Freedom of Information Act Program.
    Organization:
    Action Officer:
    Reviewer:
    Date Completed:
    Assessable Unit: The specific managers responsible for using this 
checklist (e.g., at applicable FOA, MACOM, SIO, and TOE division 
headquarters) will be designated by the cognizant headquarters' staff 
functional

[[Page 194]]

principal. The responsible principal and mandatory schedule for using 
the checklist will be shown in the annual updated Management Control 
Plan

    Event Cycle 1: Establish and Implement a Freedom of Information Act 
Program.
    Risk: If the prescribed policies, procedures, and responsibilities 
of the Freedom of Information Act Program are not followed the public 
would not have the ability to obtain access to and release of Army 
records.
    Control Objective: To ensure that prescribed policies, procedures, 
and responsibilities contained in 5 U.S.C. 552 are followed to allow 
access and release of Army records to the public.
    Control Technique: The document used to accomplish the control 
objective is AR 25-55, The Department of the Army Freedom of Information 
Act Program.
    1. Ensure that a Freedom of Information Act Program is established 
and implemented.
    2. Appoint an individual with Freedom of Information Act 
responsibilities and ensure designation of appropriate staff to assist 
him/her.
    3. Appoint an individual with Operations Security (OPSEC) 
responsibilities, if required.

                             Test Questions

    1. Is a Freedom of Information Act Program established and 
implemented in your organization?

Response: Yes ____ No ____ NA ____
Remarks: 1
    2. Is an individual appointed Freedom of Information Act 
Responsibilities?

Response: Yes ____ No ____ NA ____
Remarks: 1
    3. Is an individual appointed OPSEC responsibilities, if required?

Response: Yes ____ No ____ NA ____
Remarks: 1
    4. Is DA Form 4948-R, Freedom of Information Act (FOIA)/Operations
Security (OPSEC) Desk Top Guide used?

Response: Yes ____ No ____ NA ____
Remarks: 1
    5. Does DA Form 4948-R contain the current name and office telephone 
number of the FOIA/OPSEC advisor?

Response: Yes ____ No ____ NA ____
Remarks: 1
    6. Are provisions of AR 25-55 concerning the protection of OPSEC 
sensitive information regularly brought to the attention of managers 
responsible for responding to FOIA requests and those responsible for 
control of Army records?

Response: Yes ____ No ____ NA ____
Remarks: 1
    7. Are rules governing ``For Official Use Only'' information 
understood and properly applied by functional proponents?

Response: Yes ____ No ____ NA ____
Remarks: 1
    8. Are names and duty addresses of Army personnel (civilian and 
military) assigned to units that are sensitive, routinely deplorable, or 
stationed in foreign territories being denied or forwarded to the proper 
initial denial authority (IDA) for denial?

Response: Yes ____ No ____ NA ____
Remarks: 1
    9. Is the format contained in AR 25-55, used when preparing the 
annual FOIA report?

Response: Yes ____ No ____ NA ____
Remarks: 1
    10. Is the worksheet contained in AR 25-55 used when preparing the 
annual FOIA report?
Response: Yes ____ No ____ NA ____
Remarks: 1

    11. Is the input for the annual FOIA report forwarded to the Army 
Freedom of Information and Privacy Act Division, Information Systems 
Command by the second week of each January?

Response: Yes ____ No ____ NA ____
Remarks: 1

 EVENT__________________________________________________________________
    Cycle 2: Processing FOIA Requests.
    Risk: Failure to process FOIA requests correctly and release non-
exempt Army records to the public could subject the Department of the 
Army or individuals to litigation.
    Control Objective: FOIA requests are processed correctly.

                            Control Technique

    1. Ensure FOIA requests are logged into a formal control system.
    2. Ensure FOIA requests are answered promptly and correctly.
    3. Ensure Army records are withheld only when fall under the purview 
of one or more of the nine FOIA exemptions.
    4. Ensure FOIA requests are denied by properly delegated/designated 
IDAs.
    5. Ensure all appeals are forwarded to the Office of the Army 
General Counsel.

                             Test Questions

    1. Are FOIA requests logged into a formal control system?

Response: Yes ____ No ____ NA ____
Remarks: 1
    2. Are all FOIA requests date and time stamped upon receipt?

Response: Yes ____ No ____ NA ____
Remarks: 1
    3. Is the 10 working day time limit met when replying to FOIA 
requests?

Response: Yes ____ No ____ NA ____
Remarks: 1

[[Page 195]]

    4. When more than 10 working days are required to respond, is the 
FOIA requester informed, explaining the circumstances requiring the 
delay and provided an approximate date for completion?

Response: Yes ____ No ____ NA ____
Remarks: 1
    5. Are Army records withheld only when they fall under one or more 
of the nine FOIA exemptions?

Response: Yes ____ No ____ NA ____
Remarks: 1
    6. Is the FOIA requester informed when a FOIA request is referred to 
another Army activity or organization?

Response: Yes ____ No ____ NA ____
Remarks: 1
    7. Do denial letters contain the name and title or position of the 
official who made the denial determination; explain the basis for the 
denial determination; cite the exemptions on which the denial is based; 
and advise the FOIA requester of his or her right to appeal the denial 
within 60 days to the Secretary of the Army (Office of the Army General 
Counsel)?

Response: Yes ____ No ____ NA ____
Remarks: 1
    8. Is the FOIA requester informed of the appellate procedures when 
an IDA denies a record in whole or in part?

Response: Yes ____ No ____ NA ____
Remarks: 1
    9. Is the Chief of Legislative Liaison notified of all releases of 
information to members of Congress or staffs of congressional 
committees?

Response: Yes ____ No ____ NA ____
Remarks: 1
    10. Are FOIA requests denied only by properly delegated/designated 
IDAs?

Response: Yes ____ No ____ NA ____
Remarks: 1
    11. Is the servicing Judge Advocate consulted prior to forwarding a 
FOIA request to an IDA for action?

Response: Yes ____ No ____ NA ____
Remarks: 1
    12. Are the following items included when forwarding a FOIA request 
to an IDA for a determination of releasability?

    a. A copy of the legal review provided by the local legal advisor?

Response: Yes ____ No ____ NA ____
Remarks: 1
    b. The original copy of the FOIA request?

Response: Yes ____ No ____ NA ____
Remarks: 1
    c. Copies of the requested information indicating portions 
recommended for withholding?

Response: Yes ____ No ____ NA ____
Remarks: 1
    d. A copy of the acknowledgement of receipt to the requester?

Response: Yes ____ No ____ NA ____
Remarks: 1
    e. A telephone point of contact?

Response: Yes ____ No ____ NA ____
Remarks: 1
    f. The recommended FOIA exemption?

Response: Yes ____ No ____ NA ____
Remarks: 1
    g. Any recommendation to deny a request in whole or in part?

Response: Yes ____ No ____ NA ____
Remarks: 1
    13. Are all FOIA appeals forward to the Office of the General 
Counsel for a decision with a copy of denied and released records?

Response: Yes ____ No ____ NA ____
Remarks: 1
    14. Is a copy of the FOIA denial letter included when forwarding 
appeals to the Office of the General Counsel?

Response: Yes ____ No ____ NA ____
Remarks: 1
    15. Is DD Form 2086-R, Record of Freedom of Information (FOI) 
Processing Cost, used to record costs associated with the processing of 
a FOIA request?

Response: Yes ____ No ____ NA ____
Remarks: 1
    16. Is DD Form 2086-1-R, Record of Freedom of Information (FOI) 
Processing Cost for Technical Data, used to record costs associated with 
the processing of a FOIA request for technical data?

    17. Is the FOIA requester notified when charges will exceed $250.00?

Response: Yes ____ No ____ NA ____
Remarks: 1
    18. Are fees collected at the time the requester is provided the 
records?

Response: Yes ____ No ____ NA ____
Remarks: 1
    19. Are commercial requesters charged for all search, review, and 
duplication costs?

Response: Yes ____ No ____ NA ____
Remarks: 1
    20. Are educational institutions, noncommercial scientific 
institutions, or news media charged for duplication only, in excess of 
100 pages, if more than 100 pages of records are requested?

Response: Yes ____ No ____ NA ____
Remarks: 1
    21. Are the first 2 hours of search time, and the first 100 pages of 
duplication provided without charge to all ``other'' category 
requesters?

Response: Yes ____ No ____ NA ____
Remarks: 1
    22. Are FOIA fees collected and delivered to the servicing finance 
and accounting office within 30 calendar days after receipt?

Response: Yes ____ No ____ NA ____

[[Page 196]]

Remarks: 1
    23. Are FOIA fees collected for technical data retained by the 
organization providing the technical data?

Response: Yes ____ No ____ NA ____
Remarks: 1
    Event Cycle 3: Records Management.
    Risk: Valuable records needed for court actions are destroyed or 
cannot be located.
    Control Objective: Records containing ``For Official Use Only'' 
information are correctly marked and FOIA requests are properly 
maintained throughout their life cycle.
    Control Technique: Ensure the prescribed policies and procedures are 
followed during the life cycle of information.

                             Test Questions

    1. Are unclassified documents containing ``For Official Use Only'' 
information marked ``FOR OFFICIAL USE ONLY'' in bold letters at least 
\3/16\ of an inch high at the bottom of the outside of the front cover 
(if any), on the first page, and on the outside of the back cover (if 
any)?

Response: Yes ____ No ____ NA ____
Remarks: 1
    2. Are individual pages containing both ``For Official Use Only'' 
and classified information marked at the top and bottom with the highest 
security classification of information appearing on the page?

Response: Yes ____ No ____ NA ____
Remarks: 1
    3. Are photographs, films, tapes, slides, and microform containing 
``For Official Use Only'' information so marked ``For Official Use 
Only'' to ensure recipient or viewer is aware of the information 
therein?

Response: Yes ____ No ____ NA ____
Remarks: 1
    4. Is ``For Official Use Only'' material transmitted outside the 
Department of the Army properly marked ``This document contains 
information EXEMPT FROM MANDATORY DISCLOSURE under the FOIA. Exemption * 
* * applies''?

Response: Yes ____ No ____ NA ____
Remarks: 1
    5. Are permanently bound volumes of ``For Official Use Only'' 
information so marked on the outside of the front and back covers, title 
page, and first and last page?

Response: Yes ____ No ____ NA ____
Remarks: 1
    6. Is DA Label 87 (For Official Use Only Cover Sheet) affixed to 
``For Official Use Only'' documents when removed from a file cabinet?

Response: Yes ____ No ____ NA ____
Remarks: 1
    7. Do electrically transmitted messages contain the abbreviation 
``FOUO'' before the beginning of the text?

Response: Yes ____ No ____ NA ____
Remarks: 1
    8. Are ``For Official Use Only'' records stored properly during 
nonduty hours?

Response: Yes ____ No ____ NA ____
Remarks: 1
    9. Are FOIA records maintained and disposed of in accordance with AR 
25-400-2, The Modern Army Recordkeeping System (MARKS)?

Response: Yes ____ No ____ NA ____
Remarks: 1
    1. Explain rationale for YES responses or provide cross-reference 
where rationale can be found. For NO responses, cross-reference to where 
corrective action plans can be found. If response is NA, explain 
rationale.

 _______________________________________________________________________
I attest that the above-listed internal controls provide reasonable 
assurance that Army resources are adequately safeguarded. I am satisfied 
that if the above controls are fully operational, the international 
controls for this subtask throughout the Army are adequate.

Director of Information for Command, Control, Communications, and 
          Computers

                          Functional Proponent

    I have reviewed this subtask within my organization and have 
supplemented the prescribed internal control review checklist when 
warranted by unique environmental circumstances. The controls prescribed 
in this checklist, as amended, are in place and operational for my 
organization (except for the weaknesses described in the attached plan, 
which includes schedules for correcting the weaknesses).
 _______________________________________________________________________
Operating Manager



PART 519--PUBLICATION OF RULES AFFECTING THE PUBLIC--Table of Contents




                                 General

Sec.
519.51  Purpose.
519.52  Explanation of terms.
519.53  Responsibilities.
519.54  Designation of Rulemaking Coordinators.
519.55  Statement of compliance.
519.56  Submission of publications for printing.
519.57  Incorporation by reference.

           Information To Be Published in the Federal Register

519.58  General.
519.59  Information to be published.
519.60  Exceptions.
519.61  Procedures.
519.62  Effect of not publishing.

[[Page 197]]

  Inviting Public Comment on Certain Proposed Rules and Submission of 
                                Petitions

519.63  General.
519.64  Applicability.
519.65  Procedure when proposing rules.
519.66  Consideration of public comment.
519.67  Procedure when publishing adopted rules.
519.68  Submission of petitions.
519.69  Cases in which public comment is impractical.

    Authority: Sec. 3012, 70A Stat. 157, (10 U.S.C. 3012); sec. 3, 60 
Stat. 238, (5 U.S.C. 552).

    Source: 42 FR 26424, May 24, 1977, unless otherwise noted. 
Redesignated at 48 FR 35590, Aug. 16, 1982.

                                 General



Sec. 519.51  Purpose.

    This regulation prescribes procedures and responsibilities for 
publishing certain Department of the Army policies, practices and 
procedures in the Federal Register as required by statute, and for 
inviting public comment thereon, as appropriate. This regulation 
implements a portion of the Freedom of Information Act, 5 U.S.C. 
552(a)(1), and DoD Directive 5400.9, December 23, 1974 (32 CFR part 296, 
40 FR 4911).



Sec. 519.52  Explanation of terms.

    (a) Rule. The whole or a part of any Department of the Army 
Statement (regulation, circular, directive, or other media) of general 
or particular applicability and future effect, which is designed to 
implement, interpret, or prescribe law or policy or which describes the 
organization, procedure, or practice of the Army. See 5 U.S.C. 551(4).
    (b) Federal Register. A document published daily, Monday through 
Friday (except holidays), by the Office of the Federal Register, 
National Archives and Records Service, General Service Administration 
(GSA) to inform the public about the regulations of the executive branch 
and independent administrative agencies of the U.S. Government. The 
Federal Register includes Presidential proclamations, Executive orders, 
Federal agency documents having general applicability and legal effect 
or affecting the public, and documents required to be published by Act 
of Congress.
    (c) Code of Federal Regulations. A document published by GSA which 
contains a codification of the general and permanent rules published in 
the Federal Register by the executive departments and executive agencies 
of the Federal Government. It consists of 120 volumes, divided into 50 
titles. Each title represents a broad area that is subject to Federal 
regulation. Army documents are published in title 32, National Defense, 
and in title 33, Navigation and Navigable Waters. (The Federal Register 
and the Code of Federal Regulations must be used together to determine 
the latest version of any given rule.)



Sec. 519.53  Responsibilities.

    (a) The Adjutant General (TAG) is responsible for policies 
concerning Army rules, and proposed rules published in the Federal 
Register, and for ensuring Army compliance with this regulation. TAG 
will assist the officials listed in table 1 in the performance of their 
responsibilities. TAG will represent the Army in submitting to the 
Office of the Federal Register any matter published in accordance with 
this regulation.
    (b) The officials listed in table 1 (hereinafter referred to as 
proponents) are responsible for determining whether any rule originated 
in their areas of jurisdiction falls within the purview of Sec. 519.64, 
and for taking all actions specified in Secs. 519.65 through 519.69. 
They are also responsible for determining which matters within their 
areas of jurisdiction must be published in accordance with Sec. 519.59 
and for submission actions specified in Sec. 519.61.
    (c) Legal officers and staff judge advocates supporting the 
proponents will provide legal advice and assistance in connection with 
proponent responsibilities contained herein.

                     Table 1--Rulemaking proponents                     
------------------------------------------------------------------------
             Official                       Area of jurisdiction        
------------------------------------------------------------------------
Administrative Assistant to the    Office of the Secretary of the Army. 
 Secretary of the Army.                                                 
Director of the Army staff.......  Elements, Office of the Chief of     
                                    Staff, U.S. Army.                   
Head of each Army staff agency...  Headquarters of the agency and its   
                                    field operating and staff support   
                                    agencies.                           

[[Page 198]]

                                                                        
Commander, MA COM................  Headquarters of MA COM and all       
                                    subordinate installations,          
                                    activities and units.               
The Adjutant General.............  All other Army elements.             
------------------------------------------------------------------------



Sec. 519.54  Designation of Rulemaking Coordinators.

    The officials listed in table 1 will designate Rulemaking 
Coordinators to perform the duties listed in paragraphs (a) through (d) 
of this section for their areas of functional responsibility. At the 
time of designation, the Adjutant General (DAAG-AMR-R) will be informed 
of the name and telephone number of the designated individual. The 
designee will perform the following duties:
    (a) Editorial review of all rules, notices, and highlight statements 
required to be published in the Federal Register.
    (b) Transmitting material to TAG and providing TAG with the name, 
office symbol, and telephone number of the action officer for each rule 
or general notice for inclusion in the Federal Register.
    (c) Coordinating with Publication Control Officers to ensure 
submission of Statements of Compliance required by Sec. 519.55.
    (d) Notifying HQDA (DAAG-AMR-R), WASH DC 20314, when a regulation 
published in the Federal Register becomes obsolete or is superseded by 
another regulation.



Sec. 519.55  Statement of compliance.

    In order to ensure compliance with the regulation, no rule will be 
issued unless there is on file with The Adjutant General (DAAG-AMR-R) a 
statement to the effect that it has been evaluated in terms of this 
regulation. If the proponent determines that the provisions of this 
regulation are inapplicable, such determination shall be explained in 
the statement.



Sec. 519.56  Submission of publications for printing.

    When Army-wide publications or directives are transmitted to The 
Adjutant General (DAAG-PAP) for publication, the DA Form 260 (Request 
for Printing of Publication) or other transmittal paper will contain a 
statement that the directive has been processed for publication in the 
Federal Register or that it falls within the exempted category. DAAG-PAP 
will not publish any rule unless this statement is on DA Form 260. A 
copy of DA Form 260 may be submitted to DAAG-AMR-R in lieu of the 
statement required by Sec. 519.55.



Sec. 519.57  Incorporation by reference.

    (a) With the approval of the Director of the Federal Register, the 
requirements for publication in the Federal Register may be satisfied by 
reference in it to other publications, provided they are reasonably 
available to the class of persons affected and contain the information 
which must otherwise be published. For example, it can be purchased from 
the Superintendent of Documents, Government Printing Office or GPO 
bookstores at a reasonable cost, or is available for review at Army 
installations, or depository libraries. Therefore, before a document can 
be incorporated by reference, the proponent must determine that it is 
available to the public. See 5 U.S.C. 552(a)(1); 1 CFR part 51; 37 FR 
23614 (4 Nov 1972).
    (b) Incorporation by reference is not acceptable as a complete 
substitute for promulgating in full the material required to be 
published. It may, however, be utilized to avoid unnecessary repetition 
of published information already reasonably available to the class of 
persons affected. Examples include:
    (1) Construction standards issued by a professional association of 
architects, engineers, or builders,
    (2) Codes of ethics issued by professional organizations, and,
    (3) Forms and formats publicly or privately published and readily 
available to the persons required to use them.
    (c) Proposals for incorporation by reference will be submitted to 
HQDA (DAAG-AMR-R), WASH DC 20314 by letter giving an identification and 
subject description of the document, statement of availability, 
indicating document will be reasonably available to the class of persons 
affected, where and

[[Page 199]]

how copies may be purchased or examined, and justification for the 
requirement to incorporate by reference. The request will be submitted 
to TAG at least 20 working days before the proposed date for submission 
of the incorporation by reference notice for the Federal Register.
    (d) TAG will consult with the Director, Office of the Federal 
Register (OFR) concerning each specific request and will notify the 
proponent of the outcome of the consultation.
    (e) If the Director, OFR agrees to the proposal for incorporation by 
reference, a general notice will be submitted to HQDA (DAAG-AMR-R), WASH 
DC 20314.

           Information To Be Published in the Federal Register



Sec. 519.58  General.

    The Administrative Procedure Act, as amended by the Freedom of 
Information Act, 5 U.S.C. 552(a), requires that certain policies, 
practices, procedures, and other information concerning the Department 
of the Army be published in the Federal Register for the guidance of the 
public. In general, this information explains where, how, and by what 
authority the Army performs any of its functions that affect the public. 
The following sections describe that information and the effect of 
failing to publish it.



Sec. 519.59  Information to be published.

    In deciding which information to publish, consideration shall be 
given to the fundamental objective of informing all interested persons 
of how to deal effectively with the Department of the Army. Information 
to be currently published will include:
    (a) Descriptions of the Army's central and field organization and 
the established places at which, the officers from whom, and the methods 
whereby the public may obtain information, make submittals or requests, 
or obtain decisions;
    (b) The procedures by which the Army conducts its business with the 
public, both formally and informally;
    (c) Rules of procedure, descriptions of forms available or the 
places at which forms may be obtained, the instructions as to the scope 
and contents of all papers, reports, or examinations;
    (d) Substantive rules of applicability to the public adopted as 
authorized by law, and statements of general policy or interpretations 
of general applicability formulated and adopted by the Army; and
    (e) Each amendment, revision, or repeal of the foregoing.



Sec. 519.60  Exceptions.

    It is not necessary to publish in the Federal Register any 
information which comes within one or more of the exemptions to the 
Freedom of Information Act, 5 U.S.C. 552(b), as implemented by paragraph 
2-12, AR 340-17.



Sec. 519.61  Procedures.

    All matters to be published in accordance with Sec. 519.59 will be 
submitted to The Adjutant General (DAAG--AMR--R), WASH DC 20314, in the 
proper format prescribed in Sec. 519.65.



Sec. 519.62  Effect of not publishing.

    Except to the extent that a person has actual and timely notice of 
the terms thereof, a person may not in any manner be required to resort 
to, comply with, or be adversely affected by, a matter required to be 
published in the Federal Register and not so published.

  Inviting Public Comment on Certain Proposed Rules and Submission of 
                                Petitions



Sec. 519.63  General.

    Public comment must be sought on certain of those proposed rules 
which are required to be published in accordance with Sec. 519.59. The 
following sections set forth the criteria and procedures for inviting 
public comment before publication.



Sec. 519.64  Applicability.

    (a) These provisions apply only to those Department of the Army 
rules or portions thereof which:
    (1) Are promulgated after the effective date of this regulation; and
    (2) Must be published in the Federal Register in accordance with 
Sec. 519.59; and

[[Page 200]]

    (3) Have a substantial and direct impact on the public or any 
significant portion of the public; and
    (4) Do not merely implement a rule already adopted by a higher 
element within the Department of the Army or by the Department of 
Defense.
    (b) Subject to the policy in paragraph (a) of this section and 
unless otherwise required by law, the requirement to invite advance 
public comment on proposed rules does not apply to those rules or 
portions thereof which:
    (1) Do not come within the purview of paragraph (a) of this section; 
or
    (2) Involve any matter pertaining to a military or foreign affairs 
function of the United States which has been determined under the 
criteria of an Executive Order or statute to require a security 
classification in the interests of national defense or foreign policy; 
or
    (3) Involve any matter relating to Department of the Army 
management, personnel, or public contracts, e.g., Armed Services 
Procurement Regulation, including nonappropriated fund contracts; or
    (4) Constitute interpretative rules, general statements of policy or 
rules of organization, procedure or practice; or
    (5) The proponent of the rule determines for good cause that 
inviting public comment would be impracticable, unnecessary, or contrary 
to the public interest. This provision will not be utilized as a 
convenience to avoid the delays inherent in obtaining and evaluating 
prior public comment. See also Sec. 519.69.



Sec. 519.65  Procedure when proposing rules.

    (a) A proposed rule to which this section applies will be published 
along with a preamble, in the Proposed Rules Section of the Federal 
Register. Public comment will be invited within a designated time, at 
least 30 days prior to the intended adoption of the proposed rule.
    (b) The proposed rule and preamble will be prepared for publication 
by the proponent of the rule. Preparation will be in accordance with 
guidance contained in Federal Register Handbook on Document Drafting.
    (c) Rulemaking proponents will submit the original and three copies 
of the proposed rules and preamble, in the proper format, to HQDA (DAAG-
AMR-R), WASH DC 20314. The Adjutant General will prepare the required 
certification and submit the documents to the Office of the Federal 
Register for publication as a notice of proposed rulemaking.



Sec. 519.66  Consideration of public comment.

    (a) Following publication of a notice of proposed rulemaking, all 
interested persons will be given an opportunity to participate in the 
rulemaking through the submission of written data, views and arguments 
to the proponent of the proposed rulemaking concerned.
    (b) If the proponent of the rule determines that it is in the public 
interest, a hearing or other opportunity for oral presentation of view 
may be allowed as a means of facilitating public comment. Informal 
consultation by telephone or otherwise may also be utilized to 
facilitate presentation of oral comments by interested persons. All 
hearings or other oral presentations will be conducted by the proponent 
of the rule in a manner prescribed by him. A hearing file shall be 
established for each hearing. The hearing file shall include any public 
notices issued, the request for the hearing, any data or material 
submitted in justification thereof, materials submitted in opposition to 
the proposed action, the hearing transcript, and any other material as 
may be relevant or pertinent to the subject matter of the hearing.
    (c) There is no requirement to respond either orally or in writing, 
individually to any person who submits comments with respect to a 
proposed rule. The proponent of the rule, however, may do so as a matter 
within his discretion.



Sec. 519.67  Procedure when publishing adopted rules.

    (a) After careful consideration of all relevant material submitted, 
the proponent of the rule will make such revisions in the proposed rule 
as appear necessary in light of the comments received.
    (b) The proponent will also prepare a preamble for publication with 
the

[[Page 201]]

adopted rule. The proponent shall discuss in the preamble the comments 
received in response to the proposed rule and the decision to accept or 
reject the comments in revisions to the proposed rule. Preparation will 
be in accordance with guidance contained in the Federal Register 
Handbook on Document Drafting.
    (c) The original and three copies of the preamble and revised rule 
will be forwarded to HQDA (DAAG-AMR-R), WASH DC 20314 in the proper 
format. The Adjutant General will then prepare the required 
certification and submit the documents to the Office of the Federal 
Register for publication in the form of an adopted rule.



Sec. 519.68  Submission of petitions.

    Each proponent of a rule will grant to any interested person the 
right to submit a written petition calling for the issuance, amendment, 
or repeal of any rule to which Secs. 519.64 through 519.67 applies or 
would apply if issued, as specified in Sec. 519.64. Any such petition 
will be given full and prompt consideration by the proponent. If 
compatible with the orderly conduct of public business, the appropriate 
official may, at his descretion, allow the petitioner to appear in 
person for the purpose of supporting this petition. After consideration 
of all relevant matters by the proponent, the petitioner will be advised 
in writing by the proponent of the disposition of any petition, together 
with the reasons supporting that disposition. This provision does not 
apply to comments submitted on proposed rules in Sec. 519.66.



Sec. 519.69  Cases in which public comment is impractical.

    (a) Whenever a rulemaking proponent determines for good cause that 
inviting public comment regarding a proposed rule would be impractical, 
unnecessary, or contrary to the public interest, he will prepare a brief 
statement of the reasons supporting this determination for incorporation 
in the preamble to the adopted rule. The preamble and adopted rule will 
then be published in the form outlined in Sec. 519.67 (b) and (c).
    (b) Alternatively, the proponent may request The Adjutant General 
(DAAG-AMR-R) (by letter or disposition form, as appropriate) to adopt 
and publish in the Federal Register a separate rule exempting from the 
prepublication notice provisions of this regulation those specific 
categories of rules which the rulemaking proponent has determined that 
public comment would be unnecessary, impractical, or contrary to the 
public interest. The request to The Adjutant General will contain an 
explanation of the reasons why the proponent believes that a particular 
category of rule or rules should not be published in proposed form for 
public comment. If The Adjutant General agrees that public comment 
should not be invited with respect to the cited category, he will adopt 
and publish a separate rule in the Federal Register exempting such rule 
or rules from the requirements of this regulation. This separate rule 
will include an explanation of the basis for exempting each particular 
category from the provisions of this regulation.



PART 525--ENTRY AUTHORIZATION REGULATION FOR KWAJALEIN MISSILE RANGE--Table of Contents




Sec.
525.1  General.
525.2  Background and authority.
525.3  Criteria.
525.4  Entry authorization (policy).
525.5  Entry authorization (procedure).

    Authority: 44 U.S.C. 1681, 50 U.S.C. 797, 18 U.S.C. 1001, and E.O. 
11021.

    Source: 48 FR 34028, July 27, 1983, unless otherwise noted.



Sec. 525.1  General.

    (a) Purpose. This regulation prescribes policies and procedures 
governing entry of persons, ships, and aircraft into the Kwajalein 
Missile Range (KMR), Kwajalein Atoll, Marshall Islands.
    (b) Scope. (1) This regulation is applicable to all persons, ships 
and aircraft desiring entry into KMR.
    (2) The entry authorizations issued under this authority are limited 
to KMR and do not apply to entry to any other areas of the Marshall 
Islands.
    (3) In addition to the controls covered by this regulation movement 
within the Kwajalein Missile Range, the territorial sea thereof and 
airspace

[[Page 202]]

above, is subject to local control by the Commander, Kwajalein Missile 
Range, and as installation commander.
    (4) This regulation is not applicable to entry authorized by the 
President of the United States pursuant to the United Nations (U.N.) 
Charter and to Article 13 of the Trusteeship Agreement for the Former 
Japanese Mandated Islands.
    (c) Explanation of terms--(1) Department of Defense. A department of 
the executive branch of the U.S. Government which includes the 
Departments of the Army, the Navy, and the Air Force.
    (2) Entry Authorization. Authorization by designated authority for a 
person, a ship, or an aircraft to enter Kwajalein Missile Range, the 
surrounding territorial sea, and the airspace above.
    (3) National Range Commander. The Commander, Ballistic Missile 
Defense Systems Command, is the National Range Commander.

    Address: National Range Commander, Kwajalein Missile Range, 
Ballistic Missile Defense Systems Command, ATTN: BDMSC-R, P.O. Box 1500, 
Huntsville, Alabama 35807.
    Electrical Address: CDRBMDSCOM HUNTSVILLE AL//BMDSC-R//.

    (4) Commander. KMR. The Commander of the Kwajalein Missile Range is 
located at Kwajalein Island, Republic of the Marshall Islands.

    Address: Commander, Kwajalein Missile Range, P.O. Box 26, APO San 
Francisco 96555.
    Electrical Address: CDRKMR MI //BMDSC-RK//

    (5) Excluded person. A person who has been notified by the National 
Range Commander or the Commander, KMR, that authority for said person to 
enter Kwajalein Missile Range or to remain in Kwajalein Missile Range 
has been denied or revoked.
    (6) Unauthorized person. A person who does not hold a currently 
valid entry authorization for the Kwajalein Missile Range and does not 
possess entry rights under authority of paragraph 4-1.a.
    (7) Aliens. Persons who are neither citizens of, nor nationals of, 
nor aliens to the United States of America.
    (8) Permanent resident aliens. Persons who are not citizens of the 
United States of America but who have entered the United States under an 
immigrant quota.
    (9) Military installation. A military (Army, Navy, Air Force, Marine 
Corps, and/or Coast Guard) activity ashore, having a commanding officer, 
and located in an area having fixed boundaries, within which all persons 
are subject to military control and to the immediate authority of a 
commanding officer.
    (10) Public ship or aircraft. A ship, boat, or aircraft owned by or 
belonging to a Government and not engaged in commercial activity.
    (11) Kwajalein Missile Range. Kwajalein Missile Range is defined as 
all those defense sites in the Kwajalein Atoll, Marshall Islands, 
including airspace and adjacent territorial waters, to which the United 
States Government has exclusive rights and entry control by agreement 
with the Trust Territory of the Pacific Islands and the Republic of the 
Marshall Islands.
    (12) Territorial waters. In accordance with title 19, chapter 3, 
section 101 of the Code of the Trust Territory of the Pacific Islands 
territorial waters mean, ``that part of the sea comprehended within the 
envelope of all arcs of circles having a radius of three marine miles 
drawn from all points of the barrier reef, fringing reef, or other reef 
system of the Trust Territory, measured from the low water line, or, in 
the absence of such a reef system, the distance to be measured from the 
low water line of any island, islet, reef, or rocks within the 
jurisdiction of the Trust Territory.''
    (13) Kwajalein Missile Range Airspace. The air lying above the 
Kwajalein Atoll, including that above the territorial waters.
    (14) Trust Territory Republic of the Marshall Islands Registry. 
Registration of a ship or aircraft in accordance with the laws of the 
Trust Territory of the Pacific Islands or the Republic of the Marshall 
Islands.
    (15) U.S. Registry. Registration of a ship or aircraft in accordance 
with the laws and regulations of the United States.
    (16) U.S. Armed Forces. Military personnel of the Department of 
Defense and the United States Coast Guard.

[[Page 203]]

    (17) Principal. A resident of Kwajalein Missile Range who is 
authorized to have his or her dependent(s) reside or visit with him 
(her) on Kwajalein Missile Range.
    (18) Dependent.
    (i) Spouse of principal.
    (ii) Unmarried child of principal less than 21 years of age.
    (iii) Sponsored individual meeting the dependency criteria of 
section 152, Internal Revenue Code (26 U.S.C. 152), and approved by the 
Commander, Kwajalein Missile Range.



Sec. 525.2  Background and authority.

    (a) Background. (1) Certain areas, due to their strategic nature or 
for purposes of defense, have been subjected to restrictions regarding 
the free entry of persons, ships, and aircraft. Free entry into the 
areas listed and defined in this regulation, and military installations 
contiguous to or within the boundaries of defense site areas, is subject 
to control as provided for in the Executive Order 11021 of May 7, 1962 
and Departments of Interior and Defense Agreement effective July 1, 
1963, or other regulations. Such restrictions are imposed for defense 
purposes because of the unique strategic nature of the area and for the 
protection of the United States Government military bases, stations, 
facilities, and other installations, and the personnel, property, and 
equipment assigned to or located therein. Persons, ships, and aircraft 
are excluded from KMR unless and until they are granted permission to 
enter under applicable regulations.
    (2) The control of entry into or movement within KMR by persons, 
ships, or aircraft will be exercised so as to protect fully the physical 
security of, and insure the full effectiveness of, bases, stations, 
facilities, other installations, and individuals within KMR. However, 
unnecessary interference with the free movement of persons, ships, and 
aircraft is to be avoided.
    (3) This regulation will be administered to provide the prompt 
processing of all applications and to insure uniformity of 
interpretation and application insofar as changing conditions permit.
    (4) In cases of doubt, the determination will be made in favor of 
the course of action which will best serve the interests of the United 
States and national defense as distinguished from the private interests 
of an individual or group.
    (b) Authority. (1) The Trust Territory of the Pacific Islands is a 
strategic area administered by the United States under the provisions of 
the Trusteeship Agreement for the Former Japanese Mandated Islands, 
approved by the United Nations April 2, 1947. Congress, by 48 U.S.C. 
Sec. 1681, gave responsibility for this area to the President. By 
Executive Order 11021, the President delegated this authority to the 
Secretary of Interior. By agreement between the Secretary of Interior 
and Secretary of Defense, the Navy became responsible for all entry 
control July 1, 1963. With approval of the Secretary of Defense and 
Director of the Office of Territories, the authority to control entry 
into KMR was transferred to the Army in July of 1964.
    (2) The authority of the Department of the Army to control entry of 
persons, ships, and aircraft into Kwajalein Missile Range is exercised 
through the Commander, Ballistic Missile Defense Systems Command, who is 
the National Range Commander.
    (3) Penalties are provided by law for:
    (i) Violation of regulations imposed for the protection or security 
of military or naval aircraft, airports, air facilities, vessels, 
harbors, ports, piers, waterfront facilities, bases, forts, posts, 
laboratories, stations, vehicles, equipment, explosives, or other 
property or places subject to the jurisdiction of, administration of, or 
in the custody of the Department of Defense (sec. 21 of the Internal 
Security Act of 1950 (50 U.S.C. 797) and Department of Defense Directive 
5200.8 of 29 July 1980.
    (ii) Knowingly and willfully making a false or misleading statement 
or representation in any matter within the jurisdiction of any 
department or agency of the United States (18 U.S.C. 1001).



Sec. 525.3  Criteria.

    (a) General. (1) Entry authorizations may be issued only after the 
National Range Commander, the Commander, KMR, or a duly authorized 
subordinate has determined that the presence of the person, ship, or 
aircraft will not,

[[Page 204]]

under existing or reasonably forseeable future conditions, endanger, 
place an undue burden upon, or otherwise jeopardize the efficiency, 
capability or effectiveness of any military installation located within 
Kwajalein Missile Range or areas contiguous thereto. Factors to be 
considered shall include, but not be limited to, the true purpose of the 
entry, the possible burdens or threats to the defense facilities which 
the presence of the ship, aircraft, or the individual or individuals 
involved impose or might reasonably be expected to impose on those 
islands in the Kwajalein Atoll under U.S. Army jurisdiction.
    (2) Request for entry authorizations will be evaluated and adjudged 
as to whether the entry at the time and for the purpose stated will or 
will not be inimical to the purposes of U.S. national defense.
    (b) Aliens and permanent resident aliens. (1) Entry of aliens for 
employment or residence (except as specified in paragraph 3-2.b.) in an 
area entirely within the borders of Kwajalein Missile Range is not 
authorized except when such entry would serve the interests of the U.S. 
Government, and then only for specified periods and under prescribed 
conditions. Entry application shall include the name and nationality of 
the person desiring entry.
    (2) Alien and immigrant spouses and dependents of U.S. citizen 
sponsors or principals assigned to Kwajalein Missile Range may be 
granted entry authorization by the National Range Commander so long as 
U.S. sponsor or principal remains on duty or resides within Kwajalein 
Missile Range.
    (c) Excluded persons. Excluded persons, as defined in 1-3.e., are 
normally prohibited from entering Kwajalein Missile Range. Excluded 
persons may enter Kwajalein Missile Range only when a bona fide 
emergency exists and the Commander, Kwajalein Missile Range, grants 
permission for them to enter or transit the Kwajalein Missile Range. 
While they are within the jurisdiction of the Commander, Kwajalein 
Missile Range, they will be subject to such restrictions and regulations 
as he may impose.
    (d) Unauthorized persons. Persons not authorized to enter Kwajalein 
will not normally be allowed to debark from authorized ships or aircraft 
at Kwajalein Island or other islands in the Kwajalein Atoll to which the 
U.S. Government has lease rights, except that continuing aircraft 
passengers may be allowed at the discretion of the Commander, Kwajalein 
Missile Range, to debark during aircraft ground time to remain within 
specified portions of the terminal building designated by the Commander, 
Kwajalein Missile Range. In emergency situations, entry of unauthorized 
personnel may be granted by the Commander, Kwajalein Missile Range.
    (e) Entrance to other areas of the Trust Territory. No person, 
unless a citizen, national, or permanent resident alien of the Marshall 
Islands, will be permitted to debark at Kwajalein Missile Range for the 
purpose of transiting to areas under the jurisdiction of the Republic of 
the Marshall Islands without possessing a permit issued by its Chief of 
Immigration.

    Address: Chief of Immigration, Office of the Attorney General, 
Republic of the Marshall Islands, Majuro, MI 96960.

    (f) Unauthorized marine vessels and aircraft. No unauthorized marine 
vessel or aircraft shall enter Kwajalein Missile Range unless a bona 
fide emergency exists and the Commander, Kwajalein Missile Range, has 
granted such permission. The Commander, Kwajalein Missile Range, shall 
use all means at his disposal to prevent unauthorized vessels and 
aircraft from entering Kwajalein Missile Range. Unauthorized marine 
vessels and aircraft will be seized for prosecution along with the crew, 
passengers, and cargo.
    (g) Military areas. Entries authorized under this instruction do not 
restrict the authority of the Commander, Kwajalein Missile Range, to 
impose and enforce proper regulations restricting movement into or 
within portions of Kwajalein Missile Range reserved for military 
operations.
    (h) Waivers. No one except the National Range Commander, or his duly 
authorized representative, has authority to waive the requirements of 
this regulation. Any waiver shall be in writing and signed.

[[Page 205]]

    (i) Security clearances. Organizations, including U.S. Government 
contractors, responsible for the assignment of personnel to KMR on 
either a temporary or permanent basis will comply with security 
clearance requirements for the assignment. A copy of the security 
clearance notification will be forwarded to Cdr, BMDSCOM, ATTN: BMDSC-
AU.



Sec. 525.4  Entry authorization (policy).

    (a) Personnel. (1) Persons in the following categories may enter 
Kwajalein Missile Range without obtaining specific entry authorization 
provided the Commander, Kwajalein Missile Range, is notified of 
impending entry 14 days prior to entry date:
    (i) Personnel being assigned to Kwajalein Missile Range as 
permanent-party and traveling on official orders.
    (ii) Personnel being temporarily assigned to Kwajalein Missile Range 
and who are traveling on official orders.
    (iii) Dependents of permanent-party personnel who are accompanying 
their sponsors and are traveling on official orders.
    (iv) Crew members on ships and aircraft authorized to enter 
Kwajalein Missile Range.
    (2) Persons in the following categories will submit request for 
entry authorization to the Commander, Kwajalein Missile Range, ATTN: 
BMDSC-RKE-S:
    (i) Dependents of KMR-based permanent-party personnel for the 
purpose of joining their sponsors (already stationed at KMR) on either a 
permanent or temporary basis.
    (ii) Citizens, nationals and permanent resident aliens of the 
Republic of the Marshall Islands except those who deplaned for the 
purpose of transiting Kwajalein Defense Site.
    (iii) Citizens of the Trust Territory of the Pacific Islands.
    (iv) U.S. citizen employees and officials of the Trust Territory of 
the Pacific Islands.
    (3) All other personnel, except news media representatives, will 
submit request for entry authorization to the National Range Commander, 
BMDSCOM, ATTN: BMDSC-R (electrical address: CDRBMDSCOM HUNTSVILLE AL //
BMDSC-RA//).
    (4) All requests and notifications will include the following data 
(as applicable):
    (i) Full name(s).
    (ii) Citizenship.
    (iii) Organization.
    (iv) Purpose of entry.
    (v) Point of contact at Kwajalein Missile Range.
    (vi) Inclusive dates of stay.
    (vii) Return address.
    (viii) Proof of security clearance (if access to classified 
information is required).
    (5) News media representatives require authority from the National 
Range Commander to visit Kwajalein Missile Range (news media 
representatives wishing to transit Kwajalein Island to visit any island 
not within the Kwajalein Missile Range must obtain entry authorization 
from the Republic of the Marshall Islands and present same to the air 
carrier at the point of departure to Kwajalein Island). Requests should 
be addressed to the National Range Commander, BMDSCOM, ATTN: BMDSC-S 
(electrical address: CDRBMDSCOM HUNTSVILLE AL//BMDSC-S//) and contain 
the following information:
    (i) Name.
    (ii) Date and place of birth.
    (iii) Citizenship.
    (iv) Organization(s) represented.
    (v) Objective(s) of visit.
    (vi) Desired and alternative arrival and departure dates.
    (vii) Address(es) and telephone number(s) for additional information 
and/or reply.
    (b) Ship. (1) Ships or other marine vessels in the following 
categories, except those which have been denied entry or have had a 
prior entry authorization revoked, may enter the Kwajalein Missile Range 
territorial waters upon request to and approval of the Commander, 
Kwajalein Missile Range:
    (i) U.S. private ships which are:
    (A) Under charter to the Military Sealift Command, or
    (B) Employed exclusively in support of and in connection with a 
Department of Defense construction, maintenance, or repair contract.

[[Page 206]]

    (ii) Trust Territory of the Pacific Islands/RMI ships which have 
been approved by the resident representative on Kwajalein.
    (iii) Any ship in distress.
    (iv) U.S. public ships which are providing a service to the 
Kwajalein Atoll in accordance with their agency responsibilities.
    (2) All other ships or marine vessels must obtain an entry 
authorization from the National Range Commander before entering the 
Kwajalein Atoll territorial sea. The entry authorization application 
should reach the National Range Commander at least 14 days prior to the 
desired entry date and should include the following information:
    (i) Name of ship.
    (ii) Place of registry and registry number.
    (iii) Name, nationality, and address of operator.
    (iv) Name, nationality, and address of owner.
    (v) Gross tonnage of ship.
    (vi) Nationality and numbers of officers and crew (include crew list 
when practicable).
    (vii) Number of passengers (include list when practicable).
    (viii) Last port of call prior to entry into area for which 
clearance is requested.
    (ix) Purpose of visit.
    (x) Proposed date of entry and estimated duration of stay.
    (xi) Whether ship is equipped with firearms or photographic 
equipment.
    (xii) Whether crew or passengers have in their possession firearms 
or cameras.
    (3) Entry authorizations may be granted for either single or 
multiple entries.
    (4) Captains of ships and/or marine vessels planning to enter 
Kwajalein Missile Range shall not knowingly permit excluded persons to 
board their vessels.
    (5) U.S. public ships which are authorized to enter defense areas by 
the controlling Defense Department agency may enter the Kwajalein Atoll 
territorial sea without the specific approval of either the National 
Range Commander or the Commander, KMR, provided that the Commander, KMR, 
is notified as far in advance of the impending entry as is consistent 
with the security requirements pertaining to such movement.
    (c) Aircraft. (1) Aircraft in the following categories, except those 
aircraft which have been denied entry or have had a prior entry 
authorization revoked, may enter Kwajalein Atoll airspace upon request 
to and approval of the Commander, KMR:
    (i) U.S. private aircraft which are under charter to the Military 
Airlift Command.
    (ii) Public aircraft of the Trust Territory of the Pacific Islands/
RMI which have been approved by the resident representative on 
Kwajalein.
    (iii) Private aircraft registered with and approved by the 
Commander, KMR, which are based on Kwajalein Island.
    (iv) Any aircraft in distress.
    (v) Private aircraft operated by a common carrier which is providing 
scheduled air service to or through the Kwajalein Atoll under a current 
license issued by the Department of the Army.
    (vi) U.S. public aircraft which are providing a service to the 
Kwajalein Atoll in accordance with their agency responsibilities.
    (2) All aircraft, except those categorized in paragraph 4-3.a., must 
obtain an entry authorization from the National Range Commander before 
entering Kwajalein Atoll airspace. The entry authorization application 
should reach the National Range Commander at least 14 days prior to the 
desired entry date and should include the following information:
    (i) Type and serial number of aircraft.
    (ii) Nationality and name of registered owner.
    (iii) Name and rank of senior pilot.
    (iv) Nationality and number of crew (include crew list when 
practicable).
    (v) Number of passengers (include list when practicable).
    (vi) Purpose of flight.
    (vii) Plan of flight route, including the point of origin of flight 
and its designation and estimated date and times of arrival and 
departure of airspace covered by this procedure.
    (viii) Radio call signs of aircraft and radio frequencies available.

[[Page 207]]

    (ix) Whether aircraft is equipped with firearms or photographic 
equipment.
    (x) Whether crew or passengers have in their possession firearms or 
cameras.
    (3) Entry authorizations may be granted for either single or 
multiple entries.
    (4) Captains of aircraft planning to enter Kwajalein Missile Range 
airspace shall not knowingly permit excluded persons to board their 
aircraft.
    (5) U.S. public aircraft which are authorized to enter defense areas 
by the controlling Defense Department agency may enter the Kwajalein 
Atoll airspace with the specific approval of either the National Range 
Commander or the Commander, KMR, provided that the Commander, KMR, is 
notified as far in advance of the impending entry as is consistent with 
the security requirement pertaining to such movements.



Sec. 525.5  Entry authorization (procedure).

    (a) Processing. (1) Upon receipt of an application, the appropriate 
officer (either the National Range Commander, the Commander, Kwajalein 
Missile Range or the designated representative) shall take the following 
actions:
    (i) Determine that the entry of the applicant is, or is not, in 
accordance with the criteria set forth in chapter 3. After having made a 
determination, the reviewing authority shall either:
    (A) Issue an entry authorization as requested, or with modifications 
as circumstances require; or
    (B) Deny the request and advise the applicant of his/her right to 
appeal in accordance with the provisions of paragraph 5-2.
    (ii) If the reviewing authority feels that additional information is 
required before reaching a decision, the reviewing authority will 
request that information from the applicant and then proceed as in 
paragraph 5-1.a.(1).
    (iii) If, after having obtained all pertinent information, the 
reviewing authority cannot reach a decision, he/she will forward the 
application to the next higher headquarters. A statement containing the 
following information shall accompany the application:
    (A) A summary of the investigation conducted by the reviewing 
organization.
    (B) The reason the application is being forwarded.
    (C) Appropriate comments and/or recommendations.
    (2) All applicants will be kept fully informed of actions/decisions 
pertaining to his/her application. Normally a response will be forwarded 
to the applicant within ten working days after receipt of an 
application. When the National Range Commander responds to an 
application, he/she will send a copy of that response to the Commander, 
KMR. When the Commander, Kwajalein Missile Range, responds to an 
application, and the National Range Commander has an interest in the 
visit, the Commander, KMR, will concurrently send a copy of that 
response to the National Range Commander.
    (3) Entry authorizations shall state the purpose for which the entry 
is authorized and such other information and conditions as are pertinent 
to the particular authorization.
    (b) Revocations. (1) Entry authorizations may be revoked by the 
National Range Commander or the Commander, Kwajalein Missile Range, for 
misconduct, or termination of status, or upon being advised of the 
discovery of information which would have been grounds for denial of the 
initial request. Such a revocation will be confirmed in writing to the 
holder of an entry authorization. When an entry authorization is 
revoked, a one-way permit will be normally issued as appropriate, to 
permit the ship, aircraft, or person to depart the area.
    (2) When Commander, Kwajalein Missile Range revokes an entry 
authorization, he shall forward a copy of such revocation with 
supporting documentation to the National Range Commander.
    (c) Appeals. (1) Appeals from entry denial or revocation by 
Commander, Kwajalein Missile Range will be filed with the National Range 
Commander. An appeal shall contain a complete statement of the purpose 
of the proposed entry and a statement or reasons why the entry should be 
authorized, or why revocation of entry authorization should not be 
enforced.

[[Page 208]]

    (2) Final appeal letters will be forwarded promptly by the National 
Range Commander to the BMD Program Manager with an indorsement setting 
forth in detail the facts and circumstances surrounding the action 
taken.
    (d) Renewals. Entry authorizations having been granted and utilized 
may be extended or renewed upon request at the expiration of the period 
for which the entry was originally authorized or extended provided the 
justification for remaining in the area or for making a reentry meets 
the criteria set forth in this procedure. It shall be the responsibility 
of every applicant to depart Kwajalein Missile Range upon expiration of 
the time prescribed in the entry authorization, unless such 
authorization has been extended or renewed. Failure to comply herewith 
will be considered as evidence or violation of this procedure and may 
result in denial of future authorizations.



PART 527--PERSONAL CHECK CASHING CONTROL AND ABUSE PREVENTION--Table of Contents




                         Subpart A--Introduction

                           Section I--General

Sec.
527.1  Purpose and scope.
527.2  References.
527.3  Explanation of abbreviations and terms.
527.4  Department of the Army (DA) objective.

                      Section II--Responsibilities

527.5  Director, Finance & Accounting, Assistant Secretary of the Army 
          (Financial Management).
527.6  Deputy Chief of Staff for Personnel/U.S. Army Community and 
          Family Support Center.
527.7  Heads of Headquarters, Department of the Army and field operating 
          agencies.
527.8  Commanders of major Army commands (MACOMs).
527.9  Commanding General, U.S. Army Training and Doctrine Command.
527.10  Installation commanders.
527.11  Unit commanders.
527.12  Supervisors of civilians.
527.13  Installation check control officer.
527.14  Finance officer.
527.15  Personnel administration center.
527.16  Director of Personnel and Community Activities.
527.17  Heads of check-cashing facilities.
527.18  Persons with check-cashing privileges.

                           Subpart B--Controls

                            Section I--Policy

527.19  Authority.
527.20  General.
527.21  Two party checks.
527.22  Sponsor responsibility.

                   Section II--Offenses and Penalties

527.23  Offense and related offense.
527.24  Bank or other excusable error.
527.25  First offense.
527.26  Second offense.
527.27  Third offense.
527.28  Fourth or greater offense.

                          Subpart C--Procedures

527.29  Check-cashing facility.
527.30  Unit commander.
527.31  Supervisor of civilians.
527.32  Installation check control officer.
527.33  Identification card issuing facility.
527.34  Personnel of other Services.
527.35  Appeals.
527.36  Disposal and transfer of records.

       Subpart D--Monthly Dishonored Check Report, RCS: CSCOA-105

527.37  Purpose.
527.38  Source of data.
527.39  Preparation.
527.40  Frequency, routing, and due dates.
527.41  Relinquishing data.

                           Subpart E--Training

527.42  Ethics and military competence.
527.43  Personal financial readiness/soldier money management (PFR/SMM).
527.44  Initial entry training.
527.45  Remedial training.


Appendix A to Part 527--References

    Authority: 5 U.S.C. 5511-5512; 37 U.S.C. 1007; 18 U.S.C. 1382; 
Articles 123a, 133, and 134, Uniform Code of Military Justice (UCMJ, Art 
123a, 133, and 134).

    Source: 53 FR 19286, May 27, 1988, unless otherwise noted.



                         Subpart A--Introduction

                           Section I--General



Sec. 527.1  Purpose and scope.

    (a) This regulation prescribes policies and procedures to--
    (1) Control and prevent abuse of check-cashing privileges.

[[Page 209]]

    (2) Reduce losses to appropriated fund (AF) and nonappropriated fund 
(NAF) activities.
    (b) Policies and procedures for cashing checks or redeeming 
dishonored checks at check-cashing facilities are not within the scope 
of this regulation. These are prescribed by the proponent agencies of 
the activities providing check-cashing services to patrons for their 
facilities in--
    (1) AR 60-20/AFR 147-14 and Exchange Service Manual 55-21 for Army 
and Air Force Exchange Service (AAFES) facilities.
    (2) AR 30-19 and the Commissary Operating Manual for commissary 
resale activities.
    (3) AR 215-1 and AR 215-2 for U.S. Army Community and Family Support 
activities.
    (4) AR 37-103 for finance and accounting offices.
    (c) Policies and procedures for all suspensions of check-cashing 
privileges and appeal actions on such suspensions, regardless of where 
the dishonored check was returned on the installation, are governed by 
this regulation.



Sec. 527.2  References.

    Required and related publications are listed in appendix A to this 
part.



Sec. 527.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this regulation are 
explained in the glossary.



Sec. 527.4  Department of the Army (DA) objective.

    Prevention of abuse of check-cashing privileges includes all 
measures taken to reduce acts of abuse or misuse to the lowest possible 
level. Factors leading to this abuse stem mainly from lack of education 
and experience in managing personal finances. The DA objective is to 
ensure all soldiers acquire and maintain knowledge, skills, and 
motivation needed to practice responsible personal financial management.

                      Section II--Responsibilities



Sec. 527.5  Director, Finance & Accounting, Assistant Secretary of the Army (Financial Management).

    The Director, Finance & Accounting, Assistant Secretary of the Army 
(Financial Management) (OASA (FM)) establishes and administers the 
Department of the Army (DA) program to control and prevent abuse of 
check-cashing privileges on Army installations by Department of Defense 
(DOD) personnel. The Director, Finance & Accounting (OASA(FM)) will--
    (a) Give technical assistance to major Army commands (MACOMs) and 
installations with regard to their dishonored check programs.
    (b) Coordinate with Deputy Chief of Staff, Personnel (DCSPER)/
USACFSC on aspects of the check-cashing abuse prevention program 
pertaining to morale and welfare.
    (c) Maintain liaison with the Deputy Chief of Staff for Operations 
and Plans and the Commanding General, U.S. Army Training and Doctrine 
Command (TRADOC) on Personal Financial Readiness/Soldier Money 
Management (PFR/SMM) in DA service schools and training centers.



Sec. 527.6  Deputy Chief of Staff for Personnel/U.S. Army Community and Family Support Center.

    The Deputy Chief of Staff for Personnel/U.S. Army Community and 
Family Support Center (DCSPER/USACFSC) will--
    (a) Advise the Director, Finance & Accounting (OASA (FM)) on 
personnel aspects of the program affecting the morale and welfare of DA 
members.
    (b) Establish, maintain, and administer PFR/SMM and counseling 
services for DA personnel and their family members within the Army 
Community Service (ACS) Center program.
    (c) Coordinate with the Director, Finance & Accounting (OASA(FM)) on 
the PFR/SMM aspect of the ACS consumer education training and budget 
counseling.
    (d) Include PFR/SMM in the curriculum of the Army Continuing 
Education

[[Page 210]]

System and other DA schools administered by DSCPER that serve DA 
personnel and their family members.



Sec. 527.7  Heads of Headquarters, Department of the Army and field operating agencies.

    Heads of Headquarters, Department of the Army (HQDA) and field 
operating agencies will--
    (a) Prescribe procedures and conditions for providing check-cashing 
service to patrons of their facilities.
    (b) Coordinate with the Director, Finance & Accounting (OASA(FM)) on 
policies and procedures to control and prevent dishonored checks. (See 
AR 310-3, para 1-9.)



Sec. 527.8  Commanders of major Army commands (MACOMs).

    MACOM commanders will--
    (a) Support and monitor the Dishonored Check Control Program--
    (1) At intermediate or subordinate commands.
    (2) At installations reporting directly to their headquarters.
    (b) Give policy and procedural guidance to subordinate elements 
within their jurisdictions.
    (c) Monitor effectiveness of the command Dishonored Check Control 
Program.
    (d) Evaluate the Dishonored Check Control Program monthly.
    (e) Ensure all subordinate elements within their jurisdiction 
conduct ongoing PFR/SMM training and educational programs. (See Training 
Circular 21-7)
    (f) Establish a monitoring and evaluation system to ensure--
    (1) Training programs are managed effectively.
    (2) Training programs agree with DA goals, objectives, and 
guidelines.



Sec. 527.9  Commanding General, U.S. Army Training and Doctrine Command.

    The Commanding General, U.S. Army Training Doctrine Command (TRADOC) 
will--
    (a) Develop and maintain the course of instruction for the PFR/SMM 
training of all soldiers.
    (b) Ensure time is allotted in basic training, advanced individual 
training, or one station unit training for--
    (1) Training of enlistees.
    (2) Repeat of the course for trainees not achieving the lesson 
standard.
    (c) Ensure programs of instruction (POI) of the Army Finance School 
include courses that equip finance officers and noncommissioned officers 
to assist in providing PFR/SMM to soldiers and units in the field. (See 
Training Circular 21-7).



Sec. 527.10  Installation commanders.

    Installation commanders (or equivalent) or designated 
representatives will--
    (a) Maintain, support, and monitor installation programs to control 
and prevent abuse of check-cashing privileges.
    (b) Set up check control offices under the direct control of active 
duty commissioned or warrant officers, senior noncommissioned officers, 
or DA civilians GS-7 and above. Prior to the appointment of an 
installation check control officer (ICCO), the commander should review 
the provisions of Secs. 527.13 and 527.31, and consider which major 
organizational element has staff supervision over--
    (1) The majority of check-cashing facilities.
    (2) The extension or withdrawal of installation privileges.
    (3) The overstamping of identification (ID) cards.
    (c) Ensure that if responsibility of ICCO is transferred from one 
organizational element to another, that resources are transferred also.
    (d) Approve/disapprove appeals of suspended check-cashing privileges 
when checkwriter has committed four or more offenses.
    (e) Appoint an individual or individuals serving at an installation 
staff directorate level to act on appeals of suspended check-cashing 
privileges when the checkwriter has committed 3 offenses.
    (f) Appoint an individual or individuals serving at an installation 
staff division level to act on appeals of suspended check-cashing 
privileges when the checkwriter has committed 2 offenses.
    (g) Ensure the priority of educational efforts is based on the needs 
of personnel under their command.

[[Page 211]]

    (h) Ensure the POI for suspended personnel will stress--
    (1) Career consequences of abuse of check-cashing privileges.
    (2) Referral to individual and family counseling sources, when 
required.
    (i) During inprocessing at permanent change of station for the 
following:
    (1) Soldiers (E1 through E5). Emphasis will be on--
    (i) Basics of checkbook management.
    (ii) Check to financial organization pay option.
    (iii) Consequences of abuse of check-cashing privileges.
    (iv) Counseling services.
    (2) Leaders (E6 through E9 and officers). Education will stress--
    (i) The command unique elements of the dishonored check problem.
    (ii) Leaders' responsibilities for role setting, training troops, 
and applying discipline.
    (3) DA civilians and Family members. Education and counseling will 
be offered on a voluntary basis in accordance with AR 608-1.



Sec. 527.11  Unit commanders.

    Unit commanders will assist the post/installation commander in the 
control and prevention of check-cashing privilege abuse. Unit commanders 
will--
    (a) Advise all newly arrived personnel during the initial interview 
of their responsibilities for the proper use of personal checking 
accounts and check-cashing privileges and ensuring that their family 
members are aware of the same. Also determine the capabilities of the 
soldier for maintaining their checking account.
    (b) Deliver notices of dishonored check offenses and suspensions to 
unit members and counsel them within 2 days of written notification.
    (c) Take actions to properly settle the personal debts of soldiers 
if soldiers under their command issue dishonored checks. Articles 15, 
121, 123a, and 133 or 134 of the UCMJ may be applied as stated in AR 
600-20, para 5-10.
    (d) Approve/disapprove appeals of suspended check-cashing privileges 
if a soldier or family member has committed a first offense.
    (e) Recommend approval or disapproval of appeal actions to the 
individual appointed by the installation commander for 2 or more 
offenses.
    (f) Determine whether the overstamping of an ID card is necessary if 
this is the checkwriter's first or second offense. As a disciplinary and 
control action this is advised.
    (g) Schedule soldiers for remedial training and encourage family 
members who have written dishonored checks to attend this training.



Sec. 527.12  Supervisors of civilians.

    Where DOD civilians are authorized check-cashing privileges the 
supervisors of these civilians will--
    (a) Deliver notices of dishonored check offenses and suspensions to 
employees and counsel them.
    (b) Approve/disapprove appeals of suspended check-cashing privileges 
if the employee has committed a first offense.
    (c) Recommend approval or disapproval of appeal actions to the 
individual appointed by the installation commander for 2 or more 
offenses.
    (d) Schedule employees for remedial training when the checkwriter 
has committed an offense.



Sec. 527.13  Installation check control officer.

    The ICCO is the primary contact for dishonored check matters The 
ICCO will--
    (a) Serve as liaison between commander and check-cashing facilities.
    (b) Be authorized to suspend check-cashing privileges.
    (c) Maintain and circulate a dishonored check list. (See 
Sec. 527.32(c))
    (d) Maintain a central file of dishonored checkwriters (See 
Sec. 527.32(a))
    (e) Establish a grace period of 10 calendar days. The grace period 
will be 10 calendar days from the date of the written dishonored check 
notification. The ICCO may allow additional time on a case by case basis 
(i.e. checkwriter is TDY or no leave away from the installation.). There 
will be a standard grace period for all check-cashing facilities.
    (f) Establish an installation test on checkbook maintenance. Those 
attending remedial training will have to pass this test prior to being 
removed from the dishonored check list. The test

[[Page 212]]

may be open book. The test criteria should include:
    (1) Posting samples of: checks written, deposits (direct deposits, 
interest, cash, and checks), check charges, printing fees, and bank card 
transactions.
    (2) Maintaining the check register balance.
    (3) Reconciling check register to bank statement.
    (4) Scoring 70 or greater to pass.
    (g) Evaluate the effectiveness of the installation Dishonored Check 
Control Program using the Monthly Dishonored Check Report (RCS: CSCOA-
105). Distribute the report in accordance with Sec. 527.40.
    (h) Set up points of contact with all installation facilities 
providing financial management and consumer awareness training and 
counseling. Make unit commanders aware of these resources.
    (i) Notify installation commander and military police or Army 
criminal investigation office of any pattern of check-cashing abuse 
suggesting fraud, forgery, or improper use of ID cards.
    (j) Set up liaison with installation ID card issuing facility.
    (k) Reinstate check-cashing privileges when an appeal has been 
approved in accordance with Secs. 527.25 through 527.28 or when the 
suspension period is over. The checkwriter must have redeemed the 
dishonored check, paid the administrative/service charges, attended 
remedial training, and passed the installation test on checkbook 
maintenance.
    (l) Maintain and conduct an effective installation PFR/SMM program, 
as required by subpart E. (See Training Circular 21-7).
    (m) Maintain a counseling or counseling referral service to help 
personnel solve personal financial problems, develop budgets, formulate 
debt liquidation plans, get consumer protection, and buy on credit 
wisely. All installation resources will be used to develop this service; 
for example, ACS centers and on post financial institutions. Counseling 
services will be open to personnel and their families on a voluntary 
basis.
    (n) Ensure DA issued articles are published in post media in 
coordination with the public affairs office. Publicize benefits of the 
counseling service, with emphasis on the preventive nature of the 
program.



Sec. 527.14  Finance officer.

    The finance officer will assist the ICCO in the control and 
prevention of check-cashing privilege abuse. The finance officer will--
    (a) Assist the unit commander in conducting training for personnel 
in checkbook maintenance by providing instructional material.
    (b) Provide installation commander with management information 
concerning the level of dishonored checks using the Monthly Dishonored 
Check Report (Fig 4-1).
    (c) Cash a soldier's personal check when the soldier is on the 
dishonored check list, is on SURE-PAY, has a non-local checking account, 
and the soldier has a written request from his/her commander to the 
finance officer requesting this service. If the check is returned due to 
insufficient funds, collection action will occur IAW DODPM and AR 37-103 
for the amount of the check, plus any administrative or service charge.
    (d) Establish procedures in Central Accounting Office for accounting 
for nonappropriated fund dishonored checks.
    (e) Process DD Form 139 (Pay Adjustment Authorization) received from 
the check-cashing facility and return completed copy to the ICCO.
    (f) Distribute amounts collected from soldier's or civilian's pay to 
the appropriate check-cashing facility.
    (g) Analyze the RCS CSCOA-105 received from the ICCO.
    (h) Inform the installation commander of dishonored check analysis.



Sec. 527.15  Personnel Administration Center.

    The Personnel Administration Center (PAC) will assist unit 
commanders by completing some of the paperwork and other administrative 
details. Where PACs do not exist the unit commander will be responsible 
for completing these actions as well as those listed in Sec. 527.11. The 
PAC will--
    (a) Schedule soldiers and family members for remedial training when

[[Page 213]]

the checkwriter has committed an offense.
    (b) Notify the ICCO when timely notification of dishonored check or 
suspension cannot be made because the soldier is absent from duty due to 
TDY, hospitalization, etc.
    (c) Verify ID card overstamping has occurred and notify ICCO in 
writing.



Sec. 527.16  Director of Personnel & Community Activities.

    The Director of Personnel & Community Activities (DPCA) will--
    (a) Overstamp ID cards when requested by the ICCO.
    (b) Ensure the quality of PFR/SMM training taught at the 
installation.



Sec. 527.17  Heads of check-cashing facilities.

    In addition to the requirements of their proponent agencies, heads 
of check-cashing facilities will--
    (a) Coordinate with the ICCO on administrative matters relating to 
the Dishonored Check Control Program.
    (b) Ensure all personnel under their supervision know the 
installation policies and procedures for cashing checks and review the 
ICCO dishonored checklist prior to approving checks for encashment.
    (c) Prominently display the sign cited below at each check-cashing 
point:

NOTICE TO CHECK CASHERS: DISCLOSURE OF SOCIAL SECURITY NUMBER (SSN) AND 
OTHER PERSONAL INFORMATION IS SOLICITED BY AUTHORITY OF SECTION 3012 AND 
8012, TITLE 10, UNITED STATES CODE, AND IS MANDATORY IF YOU WISH TO CASH 
A CHECK.
    ALL INFORMATION FURNISHED, INCLUDING SSN, WILL BE USED TO IDENTIFY 
WRITERS OF CHECKS RETURNED UNPAID.

    (d) Require a consent statement authorizing immediate collection 
from pay for a dishonored check be placed on each check and signed by 
the individual. The consent statement to use is: ``If this check is 
returned as dishonored, I consent to immediate collection from my pay 
for the amount of the dishonored check plus any related service or 
administrative charges.'' A prominently displayed consent sign at check 
cashing points may be used in lieu of the statement placed on each 
check.
    (e) Obtain a stamp for recording additional information on the back 
of all personal checks if the information is not on the face of the 
check. This information is: name, rank, SSN, duty station, home address, 
home/duty phone number, and branch of service.
    (f) Notify checkwriters in writing through their unit commander or 
first line supervisor for civilian employees of a dishonored check that 
has been returned by the financial institution.



Sec. 527.18  Persons with check-cashing privileges.

    All persons with check-cashing privileges will--
    (a) Fill out check properly and legibly. Include all information to 
be recorded on the back. Checks should be completed in black or blue/
black ink, not water soluble. A pencil or any other type of writing 
instrument that can be erased, changed, or modified should not be used.
    (b) Maintain sufficient funds in their checking account to cover the 
full amount of the checks.
    (c) Notify the ICCO, unit commander, military police, and bank upon 
discovery of any lost/stolen personal checks.
    (d) Provide check-cashing facilities with required information when 
attempting to cash a check.
    (e) Have their ID card overstamped when directed to do so.
    (f) Take full responsibility for any check cashed on their checking 
account including those cashed by family members.
    (g) Redeem all checks written against their checking account which 
have been returned for insufficient funds.
    (h) Attend remedial training when directed to do so by the ICCO.
    (i) Distribute copies of disclaimer notices to check-cashing 
facilities.



                           Subpart B--Controls

                            Section I--Policy



Sec. 527.19  Authority.

    (a) Policies in this regulation are based on statutory authority 
including, but not limited to, the following:
    (1) Sections 5511-5512, title 5, United States Code.

[[Page 214]]

    (2) Section 1007, title 37, United States Code.
    (3) Section 1382, title 18, United States Code.
    (4) Articles 123a, 133, 134, Uniform Code of Military Justice (UCMJ, 
Art. 123a, 133, and 134).
    (b) Debts to instrumentalities and agencies of the United States can 
be collected from military personnel by involuntary deductions from 
their pay when such action is authorized by law. (See Department of 
Defense Military Pay and Allowances Entitlements Manual (DODPM), part 
seven, chapter 7, and Department of Defense Retired Pay Manual 
(DODRPM).)



Sec. 527.20  General.

    (a) DA policy is to give maximum service to persons entitled to use 
Army facilities. Installation activities extend check-cashing privileges 
for the convenience of their customers.
    (b) The personal check is more than a simple promise to pay. By 
signing a check, the person makes a binding agreement to the receiver 
(in exchange for goods, services, or cash) that enough money to cover 
the check is in the person's account.
    (c) The number of dishonored checks and the subsequent loss of funds 
to Army facilities call for firm measures to control and prevent 
dishonored checkwriting. Timely administrative action will be taken in 
all cases involving abuse or misuse of check-cashing privileges. Moral 
persuasion and command supervision will be used as primary measures to 
ensure dishonored checks are promptly redeemed and dishonored 
checkwriting ceases. Commanders will not tolerate or make excuses for 
dishonored checks issued by soldiers and their family members. Soldiers, 
their eligible family members, and other authorized patrons of Army 
facilities are expected to pay their just financial debts. Commanders 
will take immediate action to ensure prompt redemption of dishonored 
checks. They will counsel and take disciplinary action where appropriate 
to prevent abuse or fraud by soliders under their command.
    (d) Patrons who have abused check-cashing privileges will be given a 
chance to present evidence in their behalf. (See Secs. 527.24 and 
527.35.)
    (e) Patrons may have their check-cashing privileges suspended 
indefinitely if they show a chronic attitude of personal and financial 
irresponsibility.
    (f) If a person is found using an unstamped ID card during their 
suspension period and when they are required to have their card 
overstamped, the person's check-cashing privileges may be suspended 
indefinitely.
    (g) Suspension procedures in this chapter do not preclude action 
under the UCMJ.
    (h) All persons who abuse check-cashing privileges are subject to 
pertinent civil laws. Reported check-cashing abuses may be referred to 
civil law enforcement authorities or, if applicable under local U.S. 
procedures, to a U.S. magistrate. (See AR 190-29.)



Sec. 527.21  Two party checks.

    When a two party check is returned ``unpaid'', the endorser may be 
subject to the dishonored check provision of this regulation only if the 
endorser fails to redeem the check within the grace period. If the 
original maker of the check is proven to have written a previous 
dishonored check, then an additional offense will be charged to the 
original maker and appropriate suspension imposed. If the endorser is 
currently under suspension, an additional offense will be charged and 
the suspension period will be increased. The endorser will be required 
to execute a consent statement to authorize collection from his/her pay 
if the two party check is returned for insufficient funds. The consent 
statement to be executed by the endorser is stated in Sec. 527.17(d).



Sec. 527.22  Sponsor responsibility.

    (a) Sponsors may be held liable for acts of family members when a 
family member uses their dependent ID card and their sponsor's SSN for 
check cashing. If a family member commits an offense under these 
conditions, the sponsor may then be placed on the dishonored checklist. 
The family member may be placed on the dishonored checklist in their own 
right if they used a civilian ID card with their own

[[Page 215]]

SSN as identification and the check becomes dishonored.
    (b) Sponsors who wish to disclaim responsibility for dishonored 
checks written by family members may do so by filing a letter of 
disclaimer with the ICCO. (See fig. 2-1 for a sample letter.) This 
letter announces a sponsor's voluntary withdrawal of responsibility for 
acts of family members. It will be updated annually. Absence of a 
disclaimer does not prove agency relationship between sponsor and family 
members.
    (c) Some facilities may deny check-cashing privileges to family 
members of sponsors who have filed a letter of disclaimer. The sponsor 
will inform family members of this denial.

                   Section II--Offenses and Penalties



Sec. 527.23  Offense and related offense.

    (a) Offense. An offense has been committed when an individual does 
not redeem a dishonored check or redeems 3 or more checks within the 
grace period.
    (b) Related offense. An individual may write several dishonored 
checks which are related. For example one error in the checkbook could 
cause several dishonored checks. All of these dishonored checks are 
considered related to each other and if not redeemed will be considered 
as a single offense. The individual must prove to the ICCO that the 
dishonored checks are related. If proof is not provided, each dishonored 
check will be considered an offense if not redeemed within the grace 
period. Related checks normally occur within a 10 day period.



Sec. 527.24  Bank or other excusable error.

    If an individual can prove bank or other excusable error, dishonored 
checks resulting from these errors will not be considered offenses. The 
checkwriter's name will not be added to any list or central file.



Sec. 527.25  First offense.

    (a) An individual who writes a check which later becomes dishonored 
and does not redeem it within the grace period has committed a first 
offense.
    (b) An individual who writes 3 dishonored checks which are unrelated 
to each other and redeems them all within the grace period has committed 
a first offense.
    (c) The penalty for a first offense is required attendance at 
remedial training and suspension of check-cashing privileges for 6 
months from date of suspension letter. The ID card may be overstamped.
    (d) The individual may be removed from the dishonored checklist 
prior to the end of the suspension period if the check has been 
redeemed, all charges have been paid, remedial training has been 
completed, the individual has passed the installation checkbook 
maintenance test, and the unit commander (for soldiers and family 
members) or first line supervisor (for civilians) approves.



Sec. 527.26  Second offense.

    (a) An individual who writes a second dishonored check, unrelated to 
the first dishonored check, and does not redeem it within the grace 
period has committed a second offense.
    (b) An individual who writes 4 dishonored checks which are unrelated 
to each other and redeems them all within the grace period has committed 
a second offense.
    (c) The penalty for a second offense is required attendance at 
remedial training and suspension of check-cashing privileges for 12 
months from date of suspension letter if checkwriter is not currently on 
the dishonored checklist. If the checkwriter is currently on the 
dishonored checklist, the suspension period will be increased by 12 
months. The ID card may be overstamped.
    (d) The individual may be removed from the dishonored checklist 
prior to the end of the suspension period if the check has been 
redeemed, all charges have been paid, remedial training has been 
completed, the individual passed the installation checkbook maintenance 
test, and the individual appointed by the installation commander 
(Sec. 527.10(f)) so approves.



Sec. 527.27  Third offense.

    (a) An individual who writes a third dishonored check, unrelated to 
the previous dishonored checks, and does not redeem it within the grace 
period has committed a third offense.

[[Page 216]]

    (b) An individual who writes 5 dishonored checks which are unrelated 
to each other and redeems them all within the grace period has committed 
a third offense.
    (c) The penalty for a third offense is required attendance at 
remedial training overstamping of the ID card, and suspension of check-
cashing privileges for 18 months from date of suspension letter if the 
checkwriter is not currently on the dishonored checklist. If the 
checkwriter is currently on the dishonored checklist, the suspension 
period will be increased by 18 months.
    (d) The individual may be removed from the dishonored checklist 
prior to the end of the suspension period if the check has been 
redeemed, all charges have been paid, remedial training has been 
completed, the individual passed the installation checkbook maintenance 
test, and the individual appointed by the installation commander 
(Sec. 527.10(c)) so approves.



Sec. 527.28  Fourth or greater offense.

    (a) An individual who writes a fourth dishonored check, unrelated to 
the previous checks, and does not redeem it within the grace period has 
committed a fourth offense.
    (b) An individual who writes 6 dishonored checks which are unrelated 
to each other and redeems them all within the grace period has committed 
a fourth offense.
    (c) The penalty for a fourth offense is required attendance at 
remedial training, overstamping of the ID card, and suspension of check-
cashing privileges indefinitely from the date of suspension letter.
    (d) The individual may be removed from the dishonored checklist if 
the check has been redeemed, all charges have been paid, remedial 
training has been completed, the individual passed the installation 
checkbook maintenance test, and the installation commander 
(Sec. 527.10(d)) so approves.



                          Subpart C--Procedures



Sec. 527.29  Check-cashing facility.

    In addition to the requirements of its proponent agency, the head of 
the facility to which a check is returned unpaid will do the following:
    (a) Notify the checkwriter through the checkwriter's unit commander 
(for soldier or family member) or checkwriter's supervisor (for 
civilian) of the dishonored check. See figure 3-1 for a sample 
notification letter. A copy of the notification will be furnished to the 
ICCO. Sufficient copies will be sent to the commander or supervisor so a 
copy can be returned to the ICCO acknowledging receipt and indicating 
action to be taken. Notices will include, but are not limited to, the 
following:
    (1) Name of checkwriter (or endorser, if a two party check).
    (2) Date and amount of check.
    (3) SSN of checkwriter.
    (4) Status (active duty, retired, Reserve, National Guard, family 
member, civilian employee, etc.) and service (Army, Navy, Air Force, 
Marine Corps, or Coast Guard).
    (5) Name, grade, SSN, and duty station of sponsor, if applicable.
    (6) Home address and telephone number.
    (7) Clear instructions covering--.
    (i) Method of redemption.
    (ii) Time allowed in which redemption must be made.
    (iii) Administrative/service charges.
    (iv) Appeal rights.
    (b) Notify the ICCO as soon as--
    (1) The check is redeemed. Provide date of redemption.
    (2) Written evidence is furnished proving a bank or other error 
clearing the checkwriter of fault.
    (3) The checkwriter fails to redeem the check within the grace 
period.
    (4) The check is written off.
    (c) Begin action for collection from pay when authorized, if all 
efforts at direct collection fail. (See AR 37-108, AR 37-104-3, and AR 
37-104-10.)



Sec. 527.30  Unit commander.

    On receipt of notice that a soldier or a soldier's family member of 
a commander's unit has written a dishonored check or has been placed on 
the dishonored checklist, the unit commander will (Some of these actions 
may be done by the PAC where PACs exist.)--
    (a) Deliver the notice and counsel the checkwriter to comply with 
the requirements of the notice. See figure  3-2 for a sample counseling 
statement.

[[Page 217]]

    (b) Return copy of notification letter to the ICCO within 10 
calendar days stating whether the dishonored check was redeemed within 
the grace period.
    (c) Assist the checkwriter in determining the cause of the 
dishonored check. Make proper referral if budget counseling or financial 
assistance is needed.
    (d) Assist the checkwriter in obtaining proof of bank or other 
excusable error clearing the checkwriter of fault.
    (e) Schedule remedial checkbook maintenance training and ensure the 
checkwriter attends the training.
    (f) Determine if checkwriter should have ID card overstamped if this 
is the first or second offense. If the decision is to overstamp the ID 
card, the unit commander will--
    (1) Ensure the checkwriter receives notification and is counseled to 
comply with the instructions.
    (2) Refer checkwriter to ID card issuing facility for reissuing of 
new ID card with overstamp.
    (3) Ensure that the checkwriter received an overstamped ID card.
    (4) Notify ICCO within 15 days from date of notification letter 
which notified the checkwriter of placement on dishonored checklist that 
ID card was overstamped.
    (g) Work with the finance officer to cash checks for a soldier who 
is on the dishonored check list, is on SURE-PAY, and has a non-local 
bank account.
    (h) Ensure checkwriter redeems the check and pays any 
administrative/service charge.
    (i) Take administrative or disciplinary action, when proper. (See AR 
600-31 and AR 600-37.)
    (j) Approve/disapprove appeal actions on first offense if remedial 
training has been completed, the checkwriter passed the installation 
checkbook maintenance test, the check has been redeemed, and the 
administrative/service charges have been paid. If approval is given, 
send a letter to the ICCO stating that approval is granted to remove the 
soldier or family member from the dishonored checklist. Letter must 
indicate action taken on counseling and training, that the checkwriter 
passed the installation test on checkbook maintenance, that checks have 
been redeemed, and administrative/service charges have been paid.
    (k) Forward appeal actions on second and greater offenses to the 
individual designated by the installation commander to handle such 
appeal actions if the conditions in paragraph (j) of this section.
    (l) Maintain soldier on SURE-PAY if at all possible.



Sec. 527.31  Supervisor of civilians.

    On receipt of notice that a civilian employee under his/her 
supervision has written a dishonored check or has been placed on the 
dishonored checklist, the first line supervisor will--
    (a) Deliver the notice and counsel the checkwriter to comply with 
the requirements of the notice.
    (b) Return a copy of the notification to ICCO within 10 calendar 
days of date of notice indicating receipt and proposed action to be 
taken.
    (c) Schedule remedial checkbook maintenance training and ensure the 
checkwriter attends the training.
    (d) Ensure checkwriter redeems check(s) and pays any administrative 
service charges.
    (e) Approve/disapprove appeal actions on first offense if training 
has been completed, the checkwriter passed the installation checkbook 
maintenance test, the check has been redeemed, and the administrative/
service charges have been paid. If approval is given, send a letter to 
ICCO stating that approval is granted to remove the checkwriter from the 
dishonored checklist. Letter must indicate action taken on counseling 
and training, that the checkwriter passed the installation checkbook 
maintenance test, that the check has been redeemed, and that 
administrative/service charges have been paid.
    (f) Forward appeal actions of second or greater offenses to 
individual designated by the installation commander if the conditions in 
paragraph (e) above have been met.



Sec. 527.32  Installation check control officer.

    (a) On receipt of notice from the check-cashing facility that a 
check was returned as dishonored, the ICCO

[[Page 218]]

will update the central file on dishonored checkwriters. (See 
Sec. 527.13(d)). This file will contain, as a minimum, the following 
information:
    (1) Name and SSN.
    (2) Status (active duty, retired, Reserve, National Guard, family 
member, civilian employee, etc.) and Service (Army, Navy, Air Force, 
Marine Corps, or Coast Guard).
    (3) Name, grade, and SSN of sponsor, if applicable.
    (4) Organization address and telephone number.
    (5) Home address and telephone number.
    (6) Amount of dishonored check.
    (7) Date check was returned as dishonored.
    (8) Date check was redeemed.
    (9) Effective date of suspension of check-cashing privileges.
    (10) Date check-cashing privileges are restored.
    (b) The central file on dishonored checkwriters will be maintained 
on all personnel, including those who redeem the dishonored check within 
the grace period. The file will be used for reference to identify repeat 
offenders.
    (c) The dishonored checklist will be updated at least monthly to 
accurately show the current status of suspensions. The list will include 
suspension expiration dates and will be circulated at least monthly to 
installation check-cashing and ID card issuing facilities. On post banks 
and credit unions may also receive a copy of the dishonored checklist. 
The list may not be circulated to any other institution on or off the 
installation.
    (d) The ICCO may be provided terminal access to an electronic check 
verification system. The ICCO may use this system to verify check-
cashing privileges of individual checkwriters at the request of 
installation check-cashing facilities.
    (e) If the checkwriter commits a first offense (see Sec. 527.25), 
the ICCO will--
    (1) Add the checkwriter's name to the dishonored check list.
    (2) Suspend check-cashing privileges for 6 months.
    (3) Inform the commander (supervisor if checkwriter is a civilian) 
and checkwriter by letter that check-cashing privileges are suspended 
for 6 months from the date of letter and that the checkwriter must 
attend remedial training. (See figure 3-3.) The check writing privileges 
will be restored when the suspension period is over or earlier if the 
checkwriter has met the conditions in Sec. 527.25(d) and the unit 
commander for soldiers and their family members or the first line 
supervisor for civilians decides to restore check-cashing privileges 
sooner.
    (f) If the checkwriter commits a second offense (See Sec. 527.26), 
the ICCO will--
    (1) Add the checkwriter's name to the dishonored checklist if 
currently not on the list.
    (2) Suspend check-cashing privileges for 12 months or increase 
suspension by 12 months if checkwriter is currently under suspension.
    (3) Inform the unit commander (supervisor if checkwriter is a 
civilian) and checkwriter by letter that check-cashing privileges are 
suspended for 12 months from date of letter or increased by 12 months 
and that the checkwriter must attend remedial training. (See figure 3-
4.) The check cashing privileges may be restored when the suspension 
period is over or earlier if the checkwriter has met the conditions in 
Sec. 527.26(d) and the individual appointed by the installation 
commander to act on appeals of second offenses approves.
    (g) If the checkwriter commits a third offense (see Sec. 527.27), 
the ICCO will--
    (1) Add the checkwriter's name to the dishonored checklist if 
currently not on the list.
    (2) Suspend check-cashing privileges for 18 months or increase 
suspension by 18 months if checkwriter is currently under suspension.
    (3) Inform the commander (supervisor if checkwriter is a civilian) 
and checkwriter by letter that check-cashing privileges are suspended 
for 18 months from date of letter or increased by 18 months, that the 
checkwriter must attend remedial training, and that the ID card must be 
overstamped. (See figure 3-5.) The check-cashing privileges may be 
restored when the suspension period is over or earlier if the 
checkwriter has met the conditions in Sec. 527.27(d) and the

[[Page 219]]

individual appointed by the installation commander to act on appeals of 
third offenses approves.
    (h) If the checkwriter commits a fourth offense (see Sec. 527.28), 
the ICCO will--
    (1) Add checkwriter's name to the dishonored checklist if currently 
not on the list.
    (2) Suspend check-cashing privileges indefinitely.
    (3) Inform the commander (supervisor if checkwriter is a civilian) 
and checkwriter by letter that check-cashing privileges have been 
suspended indefinitely, that the checkwriter must attend remedial 
training, and that the ID card must be overstamped. (See figure 3-6.) 
The installation commander may reinstate check-cashing privileges if the 
checkwriter has met the conditions in Sec. 527.28(d).
    (i) If the checkwriter continues to write dishonored checks after 
the fourth offense, the ICCO will follow guidance in paragraph (h) of 
this section.
    (j) The ICCO will remove an individual from the dishonored checklist 
at the end of the suspension period or at the request of the individual 
having appeal approval authority. The checkwriter must have redeemed the 
dishonored checks, paid the administrative/service charges, attended 
remedial training, and passed the installation checkbook maintenance 
test.
    (k) If proof of bank error or other excusable error is given, the 
ICCO will--
    (1) Clear checkwriter's name from central file of offenders.
    (2) Cancel any suspension imposed because of this error.
    (3) Inform checkwriter by letter of action taken.



Sec. 527.33  Identification card issuing facility.

    (a) When informed by the ICCO or the unit commander that an 
authorized user of the installation check-cashing facilities is 
suspended for issuing a dishonored check and is required to have their 
ID card overstamped, the ID card issuing facility will take action under 
AR 640-3, paragraph 4-10, to overstamp the offender's ID card.
    (b) When reissuing ID cards lost, stolen, etc., the dishonored 
checklist will be examined to determine if the individual applying for a 
new or replacement card is on it. The individual's unit or civilian's 
supervisor should be contacted to determine whether the ID card should 
be overstamped.



Sec. 527.34  Personnel of other Services.

    DA officials may not overstamp ID cards issued by other Services. DA 
officials may suspend check-cashing privileges of members of other 
Services, or their family members, by placing them on the dishonored 
checklist. Repeated abuse of check cashing privileges may result in 
barring from the installation persons not assigned thereto, except for 
needed medical services (See figs 3-7 and 3-8.) This barring may apply 
to family members and retirees of any Service.



Sec. 527.35  Appeals.

    (a) Any person whose check-cashing privileges are suspended may 
submit a written appeal for removal of the suspension. Active duty 
soldiers or their family members will send the appeal to their unit 
commander. Civilian employees will send their appeals to their first 
line supervisor. The appeal will include the following:
    (1) Date check-cashing privileges were suspended.
    (2) Check-cashing facility where check was cashed.
    (3) Date and where full payment, including administrative/service 
charges, was made.
    (4) Date remedial training was completed.
    (5) Grade received on installation checkbook maintenance test.
    (6) Reasons privileges should be restored.
    (b) ICCOs will not restore privileges if the checkwriter has not 
attended required training, has not passed the installation checkbook 
maintenance test, or has not paid in full all dishonored checks and 
administrative/service charges that did not result from bank or other 
excusable error.
    (c) If appeal was approved, the ICCO will--
    (1) Remove checkwriter's name from dishonored checklist.
    (2) Inform checkwriter promptly of action taken.

[[Page 220]]



Sec. 527.36  Disposal and transfer of records.

    ICCOs will--
    (a) Dispose of inactive files as required by AR 25-400-2 for file 
number 210-60a (Check-cashing Privileges).
    (b) Ensure that the ICCO is added to the installation out-processing 
checklist.
    (c) Send active dishonored check files directly to the ICCO of the 
gaining installation when offenders are reassigned before the end of 
their or their family member's suspension period.
    (d) Place incoming individuals on check cashing suspensions, if 
their existing suspensions have not expired. These individuals will 
remain on suspension until the suspension expires or an appeal is 
approved.



       Subpart D--Monthly Dishonored Check Report, RCS: CSCOA-105



Sec. 527.37  Purpose.

    The Monthly Dishonored Check Report, RCS: CSCOA-105, provides data 
needed for control and management purposes.



Sec. 527.38  Source of data.

    Data for preparation of the report will be obtained from records 
kept at each installation.



Sec. 527.39  Preparation.

    (a) The Monthly Dishonored Check Report will be prepared by the ICCO 
in the format at figure 4-1 for ICCOs with automated systems. For ICCOs 
with manual systems, the report need only contain the total number of 
dishonored checks and total dollar value. Figure 4-1 is preferred. 
Negative reports are required. Items, such as corrective actions taken, 
may improve the report as needed.
    (b) Statistics for transferred personnel will be dropped by the 
losing installation and picked up by the gaining installation for 
suspension purposes.



Sec. 527.40  Frequency, routing, and due dates.

    The ICCO will--
    (a) Prepare the report monthly.
    (b) Send the original report to their MACOM.
    (c) Send copy of the report to finance and accounting officer for 
evaluation (see Sec. 527.14(b)) and ultimate routing to installation 
commander.
    (d) Send copy of the report to the Office of the Director of Finance 
and Accounting, ATTN: SAFM-FAP-B, Indianapolis, IN 46249-1016, due no 
later than 15 calendar days (30 days for overseas) after the end of the 
reporting period.
    (e) Provide unit commander with unit dishonored check data.



Sec. 527.41  Relinquishing data.

    Data in the Monthly Dishonored Check Report may be provided to banks 
and credit unions operating on military installations.



                           Subpart E--Training



Sec. 527.42  Ethics and military competence.

    Ethics and military competence are closely related. Poor performance 
in one area contributes to poor performance in another. Therefore, a 
major element in personal financial management is ethics. 
Responsibility, integrity, and high standards of conduct will be 
stressed. This aspect of responsible financial management is considered 
a part of leader development and should be included in leadership 
instruction.



Sec. 527.43  Personal financial readiness/soldier money management (PFR/SMM).

    PFR/SMM training will be conducted throughout the Army training 
system as shown in Secs. 527.44 and 527.45.



Sec. 527.44  Initial entry training.

    Emphasis during initial entry training will be on prevention of 
abuse of check-cashing privileges. Recruits will be--
    (a) Given overview of basic pay entitlements, DA Form 3686 (JUMPS-
Army Leave and Earnings Statement), and maintenance of a checkbook.
    (b) Made aware of counseling resources and procedures.
    (c) Instructed on their financial responsibilities to themselves, 
their family members, and their peers.

[[Page 221]]

    (d) Made aware of the disciplinary and career consequences of the 
abuse of check-cashing privileges.



Sec. 527.45  Remedial training.

    Remedial training is mandatory for checkwriters committing an 
offense. Emphasis will be on checkbook management skills. This training 
is a prerequisite for removal from check-cashing suspensions. (See 
Secs. 527.25 through 527.28.) Remedial training will include budget 
counseling when budget problems exist. After completion of the remedial 
training the individual will be given a test on checkbook maintenance. 
The ICCO will require 70% or greater correct responses for passing the 
test. The individual must be able to demonstrate successful completion 
of the training and that he/she has the ability to properly maintain a 
checking account.

(Office Symbol)        (Date)

MEMORANDUM THRU (Installation Check Control Officer)
FOR (All Installation Check-cashing Facilities)
SUBJECT: Disclaimer of Responsibility
    1. Effective this (date) day of (month and year) I, (name), disclaim 
responsibility for any check issued by the person(s) listed below:

 Name___________________________________________________________________
 SSN____________________________________________________________________
 Address________________________________________________________________
 Relationship___________________________________________________________
    2. I have advised the individual(s) named above that I have 
disclaimed responsibility for check(s) presented by them to military 
check-cashing facilities. I have also advised the above named person(s) 
that their check-cashing privileges in these facilities may no longer be 
authorized.

        (Signature)
        (SSN)
        (Address)
        (Unit)


    Note. --This memorandum must be notarized by a licensed notary 
public prior to submission.


Figure 2-1. Sample of Notice of Disclaimer of Responsibility By Sponsor

(Office Symbol)        (Date)

MEMORANDUM THRU (unit commander of active duty check writer or sponsor, 
          State adjutant general for members of the Army National Guard, 
          or supervisor for civilians)
FOR (Check writer)
SUBJECT: Notification of Dishonored Check

    1. Reference AR 210-60, Personal Check-cashing Control and Abuse 
Prevention, dated (date of regulation).
    2. Your check(s) in the amount of ($), dated (date), was/were 
returned to (name of check-cashing facility) as dishonored.
    3. You have 10 calendar days from the date of this letter to make 
redemption and pay any administrative/service fee. Failure to make full 
restitution will result in a suspension of your check-cashing 
privileges. Restitution for the above check(s) must be made by cash, 
certified check, or money order to (where redemption should be made).
    4. If you can furnish proof of bank or other excusable error to the 
installation check control officer at (installation), your installation 
check-cashing privileges will be restored immediately. If proof is 
furnished, this would not be considered an offense, and no record of 
this transaction will be kept.


    Note. --MEMORANDUM THRU of address applies when two or more offenses 
occurred.


Figure 3-1. Sample of Notification of Dishonored Check
(Office Symbol)        (Date)

MEMORANDUM FOR (Check writer)
SUBJECT: Counseling Statement for Dishonored Check(s)
    1. A Notification of Dishonored Check, dated (date), has been 
received and is given to you in conjunction with this counseling 
statement. The Notification requires you to perform one of the 
following:
    a. Make restitution.
    b. Furnish proof of bank error or other extenuating circumstances.
    2. I have discussed the reason for the dishonored check with you, 
which is as follows:
    3. Several offices are available to provide budgeting or financial 
assistance. I am/am not scheduling you for this training.
    4. Consequences for abusing check-cashing privileges include the 
following:
    a.  Suspension of check-cashing privileges.
    b.  Letter of reprimand.
    c.  Appropriate comments in evaluation reports.
    d.  Administrative separation.
    e.  Bar to enlistment.
    f.  Denial of promotion.
    g.  Reduction in grade for inefficiency.
    5. These consequences may be avoided by performing the requirements 
in paragraph 1 above. Subsequent offenses may be dealt with more 
severely.

      (Signature of commander)

    Soldier's Comments:

      (Signature of check writer)

Figure 3-2. Sample Counseling Statement for Dishonored Check

(Office Symbol)        (Date)

MEMORANDUM THRU (Unit commander of active duty check writer/sponsor, 
          State

[[Page 222]]

          adjutant general for members of the Army National Guard, or 
          supervisor for civilians)
FOR (Check writer)
SUBJECT: Suspension of Check-Cashing Privileges--First Offense

    1. Reference AR 210-60, Personal Check-cashing Control and Abuse 
Prevention, (date of regulation).
    2. Your dishonored check(s) in the amount of (dollar amount), dated 
(date), and returned to (name of check-cashing facility) as dishonored 
was/were not redeemed within the grace period. Therefore, your 
installation check-cashing privileges are suspended for 6 months and you 
are required to attend remedial training on checkbook maintenance. The 
suspension period will end 6 months from the date of this letter, 
provided the check(s) has/have been redeemed and all administrative/
service charges have been paid, you have attended remedial training, and 
you have passed the installation checkbook maintenance test. Failure to 
make redemption will result in collection action being taken against 
your pay account. A record of this occurrence will be kept in the check 
control office. Future dishonored check instances may result in more 
severe restrictions and/or disciplinary action against you.
    3. You may appeal the suspension of your installation check-cashing 
privileges to your unit commander (if military or family member) or 
first line supervisor (if civilian). Your unit commander (if military or 
family member) or first line supervisor (if civilian) may approve 
restoring your check-cashing privileges prior to the end of 6 months. 
However, the check(s) must have been redeemed, all administrative/
service charges paid, remedial training completed, and you must have 
passed the installation checkbook maintenance test.

(Installation check control officer)

Figure 3-3. Sample of Suspension Notification--first offense

(Office Symbol)        (Date)

MEMORANDUM THRU (Unit commander of active duty check writer/sponsor, 
          State adjutant general for members of the Army National Guard, 
          or supervisor for civilians)
FOR (Check writer)
SUBJECT: Suspension of Check-Cashing Privileges--Second Offense
    1. Reference AR 210-60, Personal Check-cashing Control and Abuse 
Prevention, (date of regulation).
    2. Your dishonored check(s) in the amount of (dollar amount), dated 
(date), and returned to (name of check-cashing facility) as dishonored 
was/were not redeemed within the grace period. Therefore, your 
installation check-cashing privileges are suspended for 12 months and 
you are required to attend remedial training, since this is your second 
offense. The suspension period will end 12 months from the date of this 
letter, provided the check(s) has/have been redeemed and all 
administrative/service charges have been paid, you have attended 
remedial training, and you have passed the installation checkbook 
maintenance test. Failure to make redemption will result in collection 
action being taken against your pay account. A record of this occurrence 
will be kept in the check control office. Future dishonored check 
instances may result in more severe restrictions and/or disciplinary 
action.
    3. You may appeal the suspension of your installation check-cashing 
privileges to your unit commander (if military or family member) or 
first line supervisor (if civilian). Your unit commander (if military or 
family member) or first line supervisor (if civilian) may approve 
restoring your check-cashing privileges prior to the end of 12 months. 
However, the check(s) must have been redeemed, all administrative/
service charges paid, remedial training completed, and you must have 
passed the installation checkbook maintenance test.

(Installation check control officer)

    Note. --If the check writer is currently on the dishonored check 
list, change paragraph 2 to indicate that current suspension is 
increased by 12 months.


Figure 3-4. Sample of Suspension Notification--second offense
(Office Symbol)        (Date)

MEMORANDUM THRU (Unit commander of active duty check writer/sponsor, 
          State adjutant general for members of the Army National Guard, 
          or supervisor for civilians)
FOR (Check writer)
SUBJECT: Suspension of Check-Cashing Privileges--Third Offense
    1. Reference AR 210-60, Personal Check-cashing Control and Abuse 
Prevention, (date of regulation).
    2. Your dishonored check(s) in the amount of (dollar amount), dated 
(date), and returned to (name of check-cashing facility) as dishonored 
was/were not redeemed within the grace period. Therefore, your 
installation check-cashing privileges are suspended for 18 months, you 
must have your ID card overstamped, and you are required to attend 
remedial training, since this is your third offense. The suspension 
period will end 18 months from the date of this letter, provided the 
check(s) has/have been redeemed and all administrative/service charges 
have been paid, you have attended remedial training, and you have passed 
the installation checkbook maintenance test. Failure to make redemption 
will result in collection action being taken against your pay account. A

[[Page 223]]

record of this occurrence will be kept in the check control office. 
Future dishonored check instances may result in more severe restrictions 
and/or disciplinary action against you.
    3. You may appeal the suspension of your installation check-cashing 
privileges to your unit commander (if military or family member) or 
first line supervisor (if civilian). Your unit commander (if military or 
family member) or first line supervisor (if civilian) may approve 
restoring your check-cashing privileges prior to the end of 18 months. 
However, the check(s) must have been redeemed, all administrative/
service charges paid, remedial training completed, and you must have 
passed the installation checkbook maintenance test.

(Installation check control officer)


    Note. --If the check writer is currently on the dishonored check 
list, change paragraph 2 to indicate that current suspension is 
increased by 18 months.


Figure 3-5. Sample of Suspension Notification--third offense

(Office Symbol)        (Date)

MEMORANDUM THRU (Unit commander of active duty check writer/sponsor, 
          State adjutant general for members of the Army National Guard, 
          or supervisor for civilians)
FOR (Check writer)
SUBJECT: Suspension of Check-Cashing Privileges--Fourth Offense
    1. Reference AR 210-60, Personal Check-cashing Control and Abuse 
Prevention, (date of regulation).
    2. Your dishonored check(s) in the amount of (dollar amount), dated 
(date), and returned to (name of check-cashing facility) as dishonored 
was/were not redeemed within the grace period. Therefore, your 
installation check-cashing privileges are suspended indefinitely, and 
you are required to attend remedial training, and you must have your ID 
card overstamped since this is your fourth offense. You must report to 
the ID card issuing facility to receive an overstamped ID card. The 
suspension period will end only at the approval of the installation 
commander, provided the check(s) has/have been redeemed and all 
administrative/service charges have been paid, you have attended 
remedial training, and you have passed the installation checkbook 
maintenance test. Failure to make redemption will result in collection 
action being taken against your pay account. A record of this occurrence 
will be kept in the check control office. Future dishonored check 
instances may result in more severe restrictions and/or disciplinary 
action against you.
    3. You may appeal the suspension of your installation check-cashing 
privileges to your unit commander (if military or family member) or 
first line supervisor (if civilian). The installation commander may 
approve restoring your check-cashing privileges. However, the check(s) 
must have been redeemed, all administrative/service charges paid, 
remedial training completed, and you must have passed the installation 
checkbook maintenance test.

(Installation check control officer)

Figure 3-6. Sample of Suspension Notification--fourth offense

(Office Symbol)        (Date)

MEMORANDUM FOR (Check writer)
SUBJECT: Intent to Debar from United States Military Installation
    1. You are hereby notified of intent to bar you from entering or 
reentering the limits of (name of installation), except to enter and 
exit the installation by the most direct route for needed medical 
treatment at (name of hospital of clinic). This bar to the installation 
is because (reason for debarment). This bar to the installation will be 
removed (date or when certain actions are completed).
    2. Section 1382, title 18, United States Code, states: ``Whoever 
within the jurisdiction of the United States, goes upon any military, 
Naval, or Coast Guard Reservation, Post, Fort, Arsenal, Yard, Station or 
Installation, after having been removed therefrom or ordered not to 
reenter by any officer or person in command or charge thereof shall be 
fined not more than $500 or imprisoned not more than 6 months, or 
both.''
    3. After debarment, if you are found within the limits of (name of 
installation) without having received prior approval to enter the 
installation, except for the purpose of obtaining needed medical care, 
you will be detained by military authorities and turned over to Federal 
authorities for prosecution under the above law.
    4. Prior to final action barring you from entering or reentering the 
limits of (name of installation), you are hereby given an opportunity to 
present evidence on your behalf and to comply with the requirements set 
forth in paragraph 1 above. This information may be presented to (ICCO). 
If a reply is not received within (number of) days of the date you 
receive this letter, a letter of debarment will automatically be sent to 
you.

(Installation commander)

Figure 3-7. Sample Notice of Intent to Debar From Installation
(Office Symbol)        (Date)
MEMORANDUM FOR (Check writer)
SUBJECT: Debarment from United States Military Installation

    1. You are hereby prohibited as of this date from entering or 
reentering the limits of (name of installation), except to enter and 
exist the installation by the most direct route for needed medical 
treatment at (name

[[Page 224]]

of hospital of clinic). This bar to the installation is because (reason 
for debarment). This bar to the installation will be removed (date or 
when certain actions are completed).
    2. Section 1382, title 18, United States Code, states: ``Whoever 
within the jurisdiction of the United States, goes upon any Military, 
Naval, or Coast Guard Reservation, Post, Fort, Arsenal, Yard, Station or 
Installation, after having been removed therefrom or ordered not to 
reenter by any officer or person in command or charge thereof shall be 
fined not more than $500 or imprisoned not more than 6 months, or 
both.''
    3. If you are hereafter found within the limits of (name of 
installation) without having received prior approval to enter the 
installation, except for the purpose of obtaining needed medical care, 
you will be detained by military authorities and turned over to Federal 
authorities for prosecution under the above law.
    4. If you wish to appeal this debarment, a written request for a 
hearing on the matter should be sent to (ICCO) within (number of) days 
of the date of this letter. You will be informed by letter of the date, 
time, and place of the hearing for your appeal.

(Installation commander)

CF:
PM
SJA

Figure 3-8. Sample Notice of Debarment From Installation

                                         Monthly Dishonored Check Report                                        
----------------------------------------------------------------------------------------------------------------
                                               AAFES       Commissary      FAO        NAF       Other     Total 
----------------------------------------------------------------------------------------------------------------
 1. E1-E4......................  A                                                                              
                                 B                                                                              
                                 C                                                                              
 2. E5-E6......................  A                                                                              
                                 B                                                                              
                                 C                                                                              
 3. E7-E9......................  A                                                                              
                                 B                                                                              
                                 C                                                                              
 4. W01/05.....................  A                                                                              
                                 B                                                                              
                                 C                                                                              
 5. 06/Above...................  A                                                                              
                                 B                                                                              
                                 C                                                                              
 6. Total (Line 1-5)...........  A                                                                              
                                 B                                                                              
                                 C                                                                              
 7. Other Services.............  A                                                                              
                                 B                                                                              
                                 C                                                                              
 8. Retired Military...........  A                                                                              
                                 B                                                                              
                                 C                                                                              
 9. NG/Res.....................  A                                                                              
                                 B                                                                              
                                 C                                                                              
10. Family Member..............  A                                                                              
                                 B                                                                              
                                 C                                                                              
11. All Other (DOD Civ)........  A                                                                              
                                 B                                                                              
                                 C                                                                              
12. Total (Line 7-11)..........  A                                                                              
                                 B                                                                              
                                 C                                                                              
13. Grand Total (Line 6+12)....  A                                                                              
                                 B                                                                              
                                 C                                                                              
----------------------------------------------------------------------------------------------------------------
Row A=Number of dishonored checks by category for the month.                                                    
Row B=Total dollar value of dishonored checks by category for the month. (Dollar values will be rounded to the  
  nearest dollar.)                                                                                              
Row C=Number of dishonored check writers by category for the month.                                             
                                                                                                                
Figure 4-1. Sample format of Monthly Dishonored Check Report, RCS: CSCOA-105.                                   


[[Page 225]]

                   Appendix A to Part 527--References

    *Army publications referenced in this document are available from 
the National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161, Telephone: (703) 487-4684.

                                Section I

                          Required Publications

AR 30-19
    Army Commissary Store Operating Policies. (Cited in Sec. 527.1(b))
AR 37-103
    Finance and Accounting for Installations: Disbursing Operations. 
(Cited in Sec. 527.1(b))
AR 37-104-3
    Military Pay and Allowances Procedures: Joint Uniform Military Pay 
System (JUMPS-Army). (Cited in Sec. 527.29(c))
AR 37-104-10
    Military Pay and Allowances Procedures for Inactive Duty Training: 
Joint Uniform Military Pay System--Reserve Components (JUMPS-(RC)-Army). 
(Cited in Sec. 527.29(c))
AR 37-109
    General Accounting and Reporting for Finance and Accounting Offices. 
(Cited in Sec. 527.29(C))
AR 60-20/AFAR 147-14
    Army and Air Force Exchange Service (AAFES) Operating Policies. 
(Cited in Sec. 527.1(b))
AR 190-29
    Minor Offenses and Uniform Violation Notices Referred to U.S. 
District Courts. (Cited in Sec. 527.19(h))
AR 215-1
    Administration of Morale, Welfare, and Recreation Activities and 
Nonappropriated Fund Instrumentalities. (Cited in Sec. 527.1(b))
AR 215-2
    The Management and Operation of Morale, Welfare, and Recreation 
Activities and Nonappropriated Fund Instrumentalities. (Cited in 
Sec. 527.1(b)) Preparation, Coordination, and Approval of Department of 
the Army Publications. (Cited in Sec. 527.7(b))
AR 600-20
    Army Command Policy and Procedures. (Cited in Sec. 527.11(c))
AR 600-31
    Suspension of Favorable Personnel Actions for Military Personnel in 
National Security Cases and Other Investigations or Proceedings. (Cited 
in Sec. 527.30(i))
AR 600-37
    Unfavorable Information. (Cited in Sec. 527.30(i)) Identification 
Cards, Tags, and Badges. (Cited in Sec. 527.33(a))

                               Section II

                          Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand this regulation.
    Department of Defense Military Pay and Allowances Entitlements 
Manual (DODPM). Exchange Service Manual 55-21.

                               Section III

                            Referenced Forms

DA Form 3686
    JUMPS-Army Leave and Earnings Statement
DD Form 2A (Act)
    Active Duty Military ID Card
DD Form 2A (Res)
    Armed Forces of the United States ID Card (Reserve).
DD Form 2A (Ret)
    United States Uniformed Services ID Card (Retired)
DD Form 139
    Pay Adjustment Authorization

                                Glossary

                                Section I

                              Abbreviations

AAFES--Army and Air Force Exchange Service
ACS--Army Community Service
AF--appropriated fund
ASA(FM)--Assistant Secretary of the Army (Financial Management)
CG--commanding general
DA--Department of the Army
DCSPER--Deputy Chief of Staff, Personnel
DOD--Department of Defense
DODPM--Department of Defense Military Pay and Allowances Manual
DODRPM--Department of Defense Retired Pay Manual
DPCA--Deputy for Personnel and Community Activities
HQDA--Headquarters, Department of the Army
ICCO--installation check control office(r)
ID--identification
MACOM--major Army command
NAF--nonappropriated fund
OASA(FM)--Office of the Assistant Secretary of the Army (Financial 
          Management)
PAC--Personnel Administration Center
PFR/SMM--personal financial readiness/soldier money management
POI--program of instruction
RCS--requirement control symbol
SSN--social security number
TDY--temporary duty
TRADOC--U.S. Army Training and Doctrine Command

[[Page 226]]

UCMJ--Uniform Code of Military Justice
USACFSC--U.S. Army Community and Family Support Center

                               Section II

                                  Terms

Agency relationship. Relationship that exists when an individual 
          authorizes a person (or persons) to act on the individual's 
          behalf
Check-cashing facility. Appropriated fund or non appropriated fund 
          activity that accepts or cashes checks for merchandise, 
          services, cash, or payment of debts to the Government
Dishonored check. Check returned unpaid by the financial institution on 
          which it was drawn due to insufficient funds, closed account, 
          no account, or other like cause
Central file of offenders. A file maintained by the installation check 
          control officer listing all persons that have written a 
          dishonored check. This file is not published for use by any of 
          the check-cashing facilities
Dishonored check list. Manual list or listing stored in an electronic 
          check verification system of persons whose check-cashing 
          privileges are suspended
Electronic check verification system. Automated system that identifies 
          persons whose check-cashing privileges have been denied; for 
          example, the AAFES' TRW system, or the commissary's National 
          Cash Register electronic point of sales system
Grace period. Time allowed (10 calendar days from date of notification 
          letter) in which redemption of a dishonored check must be made
Offense. An offense occurs when a check writer does not redeem a 
          dishonored check within the grace period. The dishonored check 
          was not the result of a bank or other excusable error
Habitual dishonored check writer. A soldier who writes dishonored checks 
          on a regular basis but redeems the check within the grace 
          period, thus never being placed on the dishonored check list
Overstamped ID card. DD Form 2A (Act) (Active Duty Military ID Card), DD 
          Form 2A (Res) (Armed Forces of the United States ID Card 
          (Reserve)), DD Form 2A (Ret) (United States Uniformed Services 
          ID Card (Retired)), or other form of identification for 
          Active, Reserve Components, retired or civilian personnel 
          stamped on the face to show check-cashing privileges are 
          revoked
Proof of bank or other excusable error. Written admission of error by a 
          financial institution or other responsible party clearing 
          check writer of fault
Related offense. Any group of dishonored checks which resulted from a 
          common error (for example, a subtraction error in the 
          checkbook). The check writer must prove to the ICCO that these 
          dishonored checks are related. If none of the checks are 
          redeemed, they will be called one offense
Two-party check. A written order dated and signed by the maker directing 
          the bank to pay a certain sum of money to the order of a 
          second party.

[[Page 227]]



                    SUBCHAPTER B--CLAIMS AND ACCOUNTS





PART 534--MILITARY COURT FEES--Table of Contents




Sec.
534.1  General.
534.2  Allowable expenses for reporters.
534.3  Allowable expenses for witnesses.
534.4  Other fees.

    Authority: Sec. 3012, 70A Stat. 157; 10 U.S.C. 3012.

    Cross Reference: General Accounting Office, see 4 CFR chapter I.

    Source: 26 FR 9989, Oct. 25, 1961, unless otherwise noted.



Sec. 534.1  General.

    (a) Applicability. This part applies to court reporters and 
interpreters appointed under the Uniform Code of Military Justice, 
Article 28 (10 U.S.C. 828), and witnesses both in Government employ and 
those not in Government employ when subpoenaed to appear before a court.
    (b) Use of term ``court''. The term ``court'' as used in this part 
will be construed to include court-martial, court of inquiry, military 
commission, or retiring board. ``Military commission'' includes any 
United States tribunal, by whatever name described, convened in the 
exercise of military government, martial law, or the laws of war.



Sec. 534.2  Allowable expenses for reporters.

    (a) General. Reporters appointed under the Uniform Code of Military 
Justice, Article 28, are entitled to payment for their services in such 
capacity at the rates specified in paragraphs (b) through (i) of this 
section, or at such lower rates as may be stated in the appointing 
instrument.
    (b) Per diem pay. A reporter is entitled to a per diem payment of 
not to exceed $5 for each day or fraction thereof in attendance at 
court. Only one such payment is authorized for any 1 day even if the 
reporter attends two or more courts. For the purpose of this payment, 
the day ends at midnight and any fraction will be considered a whole 
day.
    (c) Hourly pay. A reporter is entitled to an hourly payment of not 
to exceed 50 cents for each hour, or fractional part equal to or greater 
than one-half hour, actually spent in court during the trial or hearing. 
A fractional part of an hour, less than one-half hour, will be 
disregarded, except that if the total time in attendance in one day or 
at one court in one day is less than 1 hour, such time will be 
considered as 1 hour. Time will be computed separately for each day if 
only one court is attended in such day. If more than one court is 
attended in 1 day, time in attendance at each court will be computed 
separately. The hourly pay is in addition to the per diem prescribed in 
paragraph (b) of this section.
    (d) Piece-work pay--(1) Rates. In addition to per diem and hourly 
pay prescribed in paragraphs (b) and (c) of this section, a reporter 
will be paid on a piece-work basis for transcribing notes and copy work 
based on the following rates:
    (i) Transcribing notes and making that portion of the original 
record which is required to be typewritten--25 cents for each 100 words.
    (ii) Each carbon copy of the record when authorized by the convening 
authority--10 cents for each 100 words.
    (iii) Copying papers material to the inquiry--15 cents for each 100 
words.
    (iv) Each carbon copy of the papers referred to in paragraph 
(d)(1)(iii) of this section when ordered by the court for its use--2 
cents for each 100 words.
    (2) Counting number of words. The certifying officer may determine 
the total number of words by counting the words on a sufficient number 
of pages to arrive at a fair average of words per page and multiplying 
such average by the total number of pages. Abbreviations ``Q'' and ``A'' 
for ``Questions'' and ``Answer'' and all dates such as ``25th'' and 
``1957'' will each be counted as one word. Punctuation marks will not be 
counted as words.
    (e) Mileage. A reporter is entitled to 8 cents a mile for travel 
from his home or usual place of employment to the court and for his 
return journey, computed on the basis of the Rand McNally

[[Page 228]]

Standard Highway Mileage Guide. Mileage is not authorized for return 
trips each night unless the sessions of the court are held on 
nonconsecutive days. The fact that a reporter may serve two or more 
courts in the same day does not warrant a duplication of his mileage 
allowance.
    (f) Allowance in lieu of subsistence--(1) General. When the official 
of the court having control in such matters keeps the reporter at his 
own expense away from his usual place of employment for 24 hours or more 
on public business referred to the court, a per diem allowance of not to 
exceed $4 in lieu of subsistence will be paid to the reporter for 
himself. A like allowance when ordered by the court will be paid to the 
reporter for each necessary assistant. The fact that a reporter returns 
each night to his home does not preclude the view that he is kept away 
from his usual place of employment for 24 hours. Service as reporter 
before two or more courts in the same day does not warrant duplication 
of the per diem allowance in lieu of subsistence.
    (2) Computation. The time for which the per diem allowance for 
expenses is to be paid will be computed in the manner prescribed in 
Sec. 534.3(b)(3) for a civilian witness not in Government employ.
    (g) Allowance for constructive attendance. A reporter duly employed 
but who after arrival at court performs no service because of 
adjournment is entitled to mileage; to a day's pay as prescribed in 
paragraph (c) of this section; and also to the per diem allowance 
prescribed in paragraph (f) of this section if kept away from his usual 
place of employment for 24 hours.
    (h) Detail of enlisted members. Enlisted members may be detailed to 
serve as stenographic reporters for military courts, boards, and 
commissions, but will receive no extra pay for such service.
    (i) Persons receiving pay from Government. Compensation for clerical 
duties performed for a court will not be paid to a person who is in the 
pay of the Government, except retired military members to the extent 
permitted under the dual compensation laws.



Sec. 534.3  Allowable expenses for witnesses.

    (a) Military members--(1) On active duty. Members in the military 
service, on active duty, when required to appear as witnesses before 
courts will receive the appropriate travel and transportation allowances 
prescribed in chapter 4, Joint Travel Regulations.
    (2) Retired members. Retired military members, not on active duty, 
when called as witnesses (other than expert witnesses), are entitled for 
their services as such to the mileage and other fees prescribed in 
paragraph (b)(3) of this section, for civilian witnesses not in 
Government employ.
    (b) Civilians--(1) General. (i) Persons not subject to military law 
when called as witnesses are entitled to the fees and mileage allowed to 
wintesses attending courts of the United States.

(Article 47, Uniform Code of Military Justice (10 U.S.C. 847; 1 Comp. 
Gen. 347))


    (ii) When the court is sitting in a foreign country, the oversea 
commander within whose command the court is convened will fix fees and 
allowances to be paid to witnesses, not in excess of maximum rates 
permitted to witnesses attending the courts of the United States or the 
courts of the foreign country, whichever rates may be higher.
    (2) In Government employ. Any officer or employee of the United 
States or any agency thereof, summoned as a witness on behalf of the 
United States, shall be paid his necessary expenses incident to travel 
by common carrier, or, if travel is made by privately owned automobile, 
mileage at a rate not to exceed 10 cents per mile, together with a per 
diem allowance not to exceed the rate of $12 a day.


(62 Stat. 950, 63 Stat. 103, 704, 69 Stat. 394; 28 U.S.C. 1823(a))


    (3) Not in Government employ--(i) Excluding Alaska and Canal Zone. A 
witness attending in any court of the United States or before a United 
States commissioner or person taking his deposition pursuant to any 
order of the court of the United States, will receive $4 for each day's 
attendance and for the time necessarily occupied in going to and 
returning from the same, and 8

[[Page 229]]

cents per mile for going from and returning to his place of residence. 
Witnesses who are not salaried employees of the Government and who are 
not in custody and who attend at point so far removed from their 
respective residences as to prohibit return thereto from day to day will 
be entitled to an additional allowance of $8 per day for expenses of 
subsistence including the time necessarily occupied in going to and 
returning from the place of attendance. In lieu of the mileage allowance 
provided for herein, witnesses who are required to travel between the 
Territories, possessions, or to and from the continental United States, 
will be entitled to the actual expenses of travel at the lowest first-
class rate available at the time of reservation for passage, by means of 
transportation employed. When a witness is detained in prison for want 
of security for his appearance, he will be entitled, in addition to his 
subsistence, to a compensation of $1 a day.
    (ii) In Alaska and Canal Zone. (a) In Alaska such witnesses are 
entitled to the witness fees and mileage prescribed for witnesses before 
the United States district court in the judicial division in which the 
trial or hearing is held. Fees vary in the different judicial divisions.
    (b) In the Canal Zone such witnesses are entitled to the witness 
fees and mileage as are prescribed for witnesses before the United 
States court in the Canal Zone.
    (c) Responsible officers in Alaska and in the Panama Canal Zone will 
keep informed as to the fees payable in United States courts in those 
places.
    (c) Mileage--(1) General. A civilian witness not in Government 
employ, when furnished transportation in kind by the Government, is 
entitled to 8 cents per mile less the cost of transportation furnished. 
A civilian witness residing within the jurisdiction of the court, who is 
subpoenaed and attends the trial in obedience to such subpoena, is 
entitled to mileage between his residence and the place of trial, 
regardless of whether both are in the same city.
    (2) Computation. Mileage at the rate of 8 cents per mile will be 
computed on the basis of the Rand McNally Standard Highway Mileage Guide 
regardless of the mode of transportation used.
    (d) Subsistence per diem allowance--(1) When payable. The 
subsistence per diem allowance is payable only when the place of trial 
is so far removed from the place of residence as to prohibit return of 
the witness thereto from day to day and such fact is properly certified. 
(See 6 Comp. Gen. 835.)
    (2) Computation. In computing the subsistence per diem allowance 
prescribed in paragraph (b)(3)(i) of this section, the calendar day 
beginning at midnight is the unit, and the subsistence per diem 
allowance accrues from the time it is necessary for the witness to leave 
his home in order to arrive at the place of trial at the appointed time 
until the time he could arrive at his home by first available 
transportation after his discharge from attendance, any fractional part 
of a day under such transportation to be regarded as a day for per diem 
purposes. (See 5 Comp. Gen. 1028, as modified by 6 Comp. Gen. 480 and 6 
id. 835.)
    (e) Attendance fees--(1) Attendance at more than one case on same 
day. A person attending as a witness in more than one case on the same 
day under a general subpoena to appear and testify is entitled to only 
one per diem for each day's attendance. If separate subpoenas are issued 
in each case, the defendants being different, the witness is entitled to 
separate per diem for actual attendance in each case. The duplication of 
fees on account of attendance as witness in more than one case on the 
same day does not apply to the 8-cent mileage allowance and does not 
apply to the per diem on $8 in lieu of subsistence.
    (2) Attendance before officer taking deposition. A witness who is 
required to appear before an officer (civil or military) empowered to 
take depositions and there to give testimony under oath to be used 
before a court is entitled for such service and for the necessary travel 
incident thereto, including return travel, to the allowances prescribed 
in paragraphs (a) and (b) of this section, the same as though his 
appearance were before a court. (See 8 Comp. Gen. 18.)
    (3) Attendance before military courts or boards of limited 
jurisdiction. A subpoena

[[Page 230]]

or other compulsory process addressed to a civilian by a military court 
or board which has not express statutory authority to issue such 
process, such as a board of officers convened to investigate and report 
upon the facts connected with the death of an enlisted member while on 
temporary duty, is void. Civilian witnesses who appear before such a 
board in response to such void process must be regarded as having done 
so voluntarily and are not entitled to witness fees, in the absence of a 
specific appropriation therefor. (See 8 Comp. Gen. 64.)
    (4) Computation. The provisions of paragraph (d)(2) of this section 
are equally applicable for computation of the attendance fee.
    (f) Expert--(1) Fees paid. An expert witness employed in accordance 
with Manual for Courts-Martial, 1951, paragraph 116, may be paid 
compensation at the rate prescribed in advance by the official empowered 
to authorize his employment. (See 11 Comp. Gen. 504.) In the absence of 
such advance authorization no fees, other than ordinary witness fees, 
may be paid for the employment of an individual as an expert witness. 
(See paragraph 116, Manual for Courts-Martial (Executive Order 10214).)
    (2) Limitations. (i) An expert while employed on behalf of the 
Government is an officer or employee of the United States within the 
laws affecting traveling and subsistence expenses of officers and 
employees of the Government generally. His traveling allowances are 
therefore subject to the limitations prescribed in the Travel Expense 
Act of 1949 (63 Stat. 166; 5 U.S.C. 835-842) and the Standardized 
Government Travel Regulations. (See 6 Comp. Gen. 712.)
    (ii) There is no authority for payment by the Government of fees to 
an expert, who was employed by an officer or employee of the Government 
to aid in the performance of his duties, other than an expert witness 
who actually appears as such (paragraph (b)(2) of this section).
    (iii) A retired officer, not on active duty, employed as an expert 
witness is not entitled to any compensation in addition to his retired 
pay for such service. The traveling allowances of such a retired 
officer, so employed, are subject to the limitations prescribed in the 
Travel Expense Act of 1949 and the Standardized Government Travel 
Regulations. (See 6 Comp. Gen 712.)
    (g) Witness not subpoenaed--(1) Compelled to testify. A person who, 
although not subpoenaed, is present at trial or hearing before a court 
or other body authorized to compel the attendance of witnesses by 
compulsory process, and who is compelled or required to testify at such 
hearing, is entitled to fees and mileage allowances payable to 
witnesses.
    (2) Voluntarily testifies. A person who was neither subpoenaed nor 
requested to appear as a witness, but who voluntarily requested and was 
granted permission to testify to certain matters considered pertinent to 
an inquiry being conducted, is not entitled to mileage and witness fees. 
(See 9 Comp. Gen. 255.)



Sec. 534.4  Other fees.

    (a) Service of subpoena. Fees or compensation for the service of a 
subpoena by a civilian are not prescribed by the laws of the United 
States. Fees and mileage allowed by the local law for similar services 
may be paid. If no specific fee or mileage is fixed by local law, 
reasonable allowances may be paid. (See Dig. Op. JAG, 1912-40, sec. 
379.)
    (b) Taking of depositions--(1) Fees of civil officers. A civil 
officer before whom a deposition is taken may be paid the fees allowed 
by law of the place where the deposition is taken (or a reasonable fee 
if no specific fee is fixed by local laws), but no mileage or other 
allowance for travel of the civil officer to the witness is provided for 
or authorized by law. (See 2 Comp. Gen. 65.)
    (2) Travel of witnesses. If the witness and the civil officer before 
whom the deposition is to be taken do not reside at the same place, the 
witness should be required to perform the necessary travel, and he is 
entitled to mileage or other travel allowance therefor as prescribed in 
Sec. 534.3(e)(2).
    (3) Oaths in matters of military administration. Where the service 
of one of the officers designated in the Uniform Code of Military 
Justice, Article 136, is not available, fees may be paid to civil 
officers for administering oaths in matters

[[Page 231]]

relating to military administration, subject to the conditions indicated 
in paragraph (b)(1) of this section.
    (c) Interpreters. An interpreter appointed under the Uniform Code of 
Military Justice, Article 28 (10 U.S.C. 828), is entitled for his 
services as such to the allowances prescribed for witnesses 
(Sec. 534.3).
    (d) Furnishing copies of official records or documents. The fees 
provided by the local laws may be paid to the proper officials for 
furnishing such certified copies of public records or documents and 
expenses in connection with the procurement of photostatic copies, 
photographs, and negatives as are required by the court.
    (e) Attendance upon civil courts--(1) Cases involving performance of 
official duties. A military member on active duty or a civilian in 
Government employ appearing on behalf of the United States in cases 
arising out of the performance of their official duties is entitled to 
transportation and per diem as prescribed in Sec. 534.3(a)(1) and 
(b)(1). Payment may be made by Department of the Army finance and 
accounting officers and will be charged to Department of the Army 
appropriations available for travel expenses of military personnel and 
civilian employees.
    (2) Cases involving other than performance of official duties. A 
military member on active duty or a civilian in Government employ 
appearing on behalf of the United States in cases involving other than 
the performance of their official duties is entitled to transportation 
or transportation allowances and per diem as may be prescribed by The 
Attorney General. The subpoena or letter requesting attendance will 
specify the rates payable and will cite the appropriation chargeable. 
Payment may be made by a Department of the Army finance and accounting 
officer and reimbursement obtained from the Department of Justice.
    (3) Cases in which civilians not in Government employ are called as 
witnesses. Payments to civilians out of Government employ will not be 
made by Department of the Army finance and accounting officers. Such 
payments will be made by the Department of Justice.



PART 536--CLAIMS AGAINST THE UNITED STATES--Table of Contents




                      Subpart A--General Provisions

Sec.
536.1  Purpose and scope.
536.2  Information and assistance.
536.3  Definitions and explanations.
536.4  Treaties and international agreements.
536.5  Claims.
536.6  Determination of liability.
536.7  Incident to service exclusionary rule.
536.8  Use of appraisers and independent medical examinations.
536.9  Effect on award of other payments to claimant.
536.10  Settlement agreement.
536.11  Appeals and notification to claimant as to denial of claims.
536.12  Effect of payment.
536.13  Advance payments.

   Subpart B--Claims Arising From Activities of Military or Civilian 
              Personnel or Incident to Noncombat Activities

536.20  Statutory authority.
536.21  Definitions.
536.22  Scope.
536.23  Claims payable.
536.24  Claims not payable.
536.25  Claims also cognizable under other statutes.
536.26  Presentation of claims.
536.27  Procedures.
536.28  Law applicable.
536.29  Compensation for property damage, personal injury, or death.
536.30  Structured settlements.
536.31  Claims over $100,000.
536.32  Settlement procedures.
536.33  Attorney fees.
536.34  Payment of costs, settlements, and judgments related to certain 
          medical and legal malpractice claims.
536.40  Claims under Article 139, Uniform Code of Military Justice.
536.50  Claims based on negligence of military personnel or civilian 
          employees under the Federal Tort Claims Act.
536.60  Maritime claims.

 Subpart C--Claims Arising From Activities of National Guard Personnel 
                    While Engaged in Duty or Training

536.70  Statutory authority.
536.71  Definitions.
536.72  Scope.
536.73  Claims payable.
536.74  Claims not payable.
536.75  Notification of incident.
536.76  Claims in which there is a State source of recovery.

[[Page 232]]

536.77  Claims against the ARNG tortfeasor individually.
536.78  When claim must be presented.
536.79  Where claim must be presented.
536.80  Procedures.
536.81  Settlement agreement.

   Subpart D--Claims Incident to Use of Government Vehicles and Other 
      Property of the United States not Cognizable Under Other Law

536.90  Statutory authority.
536.91  Scope.
536.92  Claims payable.
536.93  Claims not payable.
536.94  When claim must be presented.
536.95  Procedures.
536.96  Settlement agreement.
536.97  Reconsideration.

    Authority: 10 U.S.C. 939, 2733, 2734, 2734a, 2736, 2737, 3012, 4801 
through 4804, and 4806; 28 U.S.C. 1346(b), 2401(b), 2402, 2671 through 
2680; and 32 U.S.C. 715.

    Source: 54 FR 43892, Oct. 27, 1989, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 536.1  Purpose and scope.

    (a) Purpose. Part 536 prescribes policies and procedures to be 
followed in the filing, investigation, processing and administrative 
settlement of Department of Army (DA) generated noncontractual claims. 
Sections 536.1 through 536.13 contain general instructions and guidance 
for the investigation and processing of claims and apply to all claims 
unless other laws or regulations specify other procedures. They are 
intended to ensure that incidents that may result in claims are promptly 
and efficiently investigated under supervision adequate to ensure a 
sound basis for official action and that all claims resulting from such 
incidents are expeditiously settled. The Secretary of the Army has 
delegated authority to The Judge Advocate General (TJAG) to assign areas 
of responsibility and designate functional responsibility for claims 
purposes. TJAG has delegated authority to the Commander, U.S. Army 
Claims Service (USARCS) to carry out these responsibilities. USARCS is 
the agency through which the Secretary of the Army and TJAG discharge 
their responsibilities for claims administration. The proper mailing 
address of USARCS is Commander, U.S. Army Claims Service, Office of The 
Judge Advocate General, Fort George G. Meade, Maryland 20755-5360.
    (b) Scope--(1) Applicability. (i) Sections 536.20 through 536.35 
apply in the settlement of claims under the Military Claims Act (MCA) 
(10 U.S.C. 2733) for personal injury, death or property damage that was 
either caused by members or employees of the DA acting within the scope 
of their employment or otherwise incident to noncombat activities of the 
DA.
    (ii) Section 536.40 sets forth the procedures to be followed and the 
standards to be applied in the processing of claims cognizable under 
Article 139, Uniform Code of Military Justice (UCMJ) (10 U.S.C. 939) for 
property willfully damaged or wrongfully taken or withheld by members of 
the DA.
    (iii) Section 536.50 governs the administrative settlement of claims 
under the Federal Tort Claims Act (FTCA) (28 U.S.C. 1346(b), 2671-2680) 
for personal injury, death or property damage caused by the negligent 
act or omissions of members or employees of the DA while acting within 
the scope of their employment.
    (iv) Section 536.60 provides the procedures to be followed in the 
settlement of claims under the Army Maritime Claims Settlement Act (10 
U.S.C. 4801-4804, 4806) for damage caused by a vessel of or in the 
service of the Army.
    (v) Sections 536.70 through 536.81 provide instructions for 
settlement of claims under the National Guard Claims Act (NGCA) (32 
U.S.C. 715) for personal injury, death or property damage that was 
either caused by a member or employee of the Army National Guard (ARNG) 
while in training or duty under Federal law, and acting within the scope 
of their employment; or otherwise incident to noncombat activities of 
the ARNG not in active Federal service.
    (vi) Sections 536.90 through 536.97 provide instructions for 
settlement of claims under 10 U.S.C. 2737 for personal injury, death or 
property damage (not cognizable under any other law) incident to the use 
of Government property by members or employees of the DA.

[[Page 233]]

    (2) Nonappropriated fund activities. Claims arising from acts or 
omissions of employees of nonappropriated fund activities within the 
United States, its Territories, and possessions, are processed in the 
manner prescribed by applicable regulations. In oversea areas, such 
claims will be processed in accordance with treaties or agreements 
between the United States and foreign countries with respect to the 
settlement of claims arising from acts or omissions of military and 
civilian personnel of the United States in such countries, or in 
accordance with applicable regulations as appropriate.
    (3) Nonapplicability. Sections 536.1 through 536.13 do not apply to:
    (i) Contractual claims which are under the provisions of Public Law 
85-804, 28 August 1958 (72 Stat. 972) and AR 37-103, AR 37-103 and other 
Army Regulations referenced herein are available thru: National 
Technical Information Services, U.S. Department of Commerce, 5285 Port 
Royal Road, Springfield, VA 22161, or other regulations including 
acquisition regulations.
    (ii) Maritime claims (Sec. 536.60).



Sec. 536.2  Information and assistance.

    (a) Government personnel may not represent any claimant or receive 
any payment or gratuity for services rendered. They may not accept any 
share or interest in a claim or assist in its presentation, under 
penalty of Federal criminal law (18 U.S.C. 203, 205). They are 
prohibited from disclosing information which may be the basis of a 
claim, or any evidence of record in any claims matter, except as 
prescribed in Secs. 518.1 through 518.4 of this chapter or other 
pertinent regulations. A person lacking authority to approve or 
disapprove a claim may not advise a claimant or his representative as to 
the disposition recommended.
    (b) The prohibitions against furnishing information and assistance 
do not apply to the performance of official duty. Any person who 
indicates a desire to file a claim against the United States will be 
instructed concerning the procedure to follow. He will be furnished 
claim forms, and, when necessary, will be assisted in completing the 
forms and assembling evidence. He will not be assisted in determining 
what amount to claim. In the vicinity of a field exercise, maneuver, or 
disaster, information may be disseminated concerning the right to 
present claims, the procedure to be followed, and the names and 
locations of claims officers, and engineer repair teams. When the 
government of a foreign country in which the U.S. Armed Forces are 
stationed has assumed responsibility for the settlement of certain 
claims against the United States, officials of that country will be 
furnished pertinent information and evidence so far as security 
considerations permit.



Sec. 536.3  Definitions and explanations.

    The following terms as used in Secs. 536.1 through 536.13 and the 
matters referred to in Sec. 536.1(b) will have the meanings here 
indicated:
    (a) Affirmative Claims. The government's statutory right to recover 
money, property, or repayment in kind incurred as a result of property 
loss, damage, or destruction by any individual, partnership, association 
or other legal entity, foreign or domestic, except an instrumentality of 
the United States. Also, the Government's statutory right to recover the 
reasonable medical costs expended for hospital, medical, surgical, or 
dental care and treatment (including prostheses and medical appliances) 
incurred under circumstances creating tort liability upon some third 
person.
    (b) Civilian Employees. Civilian employee means a person whose 
activities the Government has the right to direct and control, not only 
as to the result to be accomplished but also as to the means used; this 
includes, but is not limited to, full-time Federal civilian officers and 
employees. The term should be distinguished from the term ``independent 
contractor'' for whose actions the Government generally is not liable. 
The determination of who is a civilian employee is a Federal question 
determined under Federal law and not under local law.
    (c) Claim. A demand for payment of a specified sum of money (other 
than the ordinary obligations incurred for services, supplies or 
equipment) and, unless otherwise specified in this regulation, in 
writing and signed by the claimant

[[Page 234]]

or a properly designated representative.
    (d) Claim file. The claim, report of the claims officer or other 
report of investigation, supporting documentation, and pertinent 
correspondence.
    (e) Claim approval authority. Except for claims under 10 U.S.C. 939, 
31 U.S.C. 3721, and treaties or international agreements such as the 
North Atlantic Treaty Organization (NATO), Status of Forces Agreement 
(SOFA), and subject to any limitations found in specific provisions of 
these regulations, the authority to approve and pay a claim in the 
amount presented or in a lesser amount upon the execution of a 
settlement agreement by the claimant. A person with approval authority 
may not disapprove a claim in its entirety nor make a final offer, 
subject to any limitations found in specific provisions of this 
regulation.
    (f) Claim settlement authority. The authority to approve a claim, to 
deny a claim in its entirety, or to make a final offer subject to any 
limitations found in specific provisions of this regulation.
    (g) Claims attorney. DA or DOD civilian attorney assigned to a judge 
advocate or legal office, who has been designated by the Commander, 
USARCS.
    (h) Claims judge advocate. An officer of the Judge Advocate 
General's Corps designated by a command or staff judge advocate (SJA) to 
be in immediate charge of claims activities of the command.
    (i) Claims Officer. A commissioned officer, warrant officer, or 
qualified civilian employee detailed by the commander of an installation 
or unit who is trained or experienced in the investigation of claims.
    (j) Claimant. An individual, partnership, association, corporation, 
country, state, territory, or other political subdivision of such 
country; does not include the U.S. Government or any of its 
instrumentalities, except as prescribed by statute. Indian tribes are 
not proper party claimants but individual Indians can be claimants.
    (k) Combat activities. Activities resulting directly or indirectly 
from action by the enemy, or by U.S. Armed Forces engaged in, or in 
immediate preparation for, impending armed conflict.
    (l) Disaster. A sudden and extraordinary calamity occasioned by 
activities of the Army, other than combat, resulting in extensive 
civilian property damage or personal injuries and creating a large 
number of potential claims.
    (m) Federal agency. A federal agency includes the executive 
departments and independent establishments of the United States and 
corporations acting as instrumentalities or agencies of the United 
States but does not include any contractor with the United States.
    (n) Final offer. An offer of payment by a settlement authority in 
full and final settlement of a claim which, if not accepted, constitutes 
a final action for purposes of filing suit under Sec. 536.50 or filing 
an appeal under Secs. 536.20 through 536.35 and 536.70 through 536.81, 
provided such offer is made in writing and meets the other requirements 
of a final action as set forth in this regulation.
    (o) Government vehicle. A vehicle owned or on loan to any agency of 
the Government of the United States or privately owned, and operated by 
members or civilian employees of the DA in the scope of their office or 
employment with the Government of the United States including vehicles 
being operated on joint operations of the U.S. Armed Forces.
    (p) Medical claims judge advocate. A judge advocate (JA) assigned to 
an Army Medical Center, under an agreement between TJAG and The Surgeon 
General, to perform the primary duty of investigating and processing 
medical malpractice claims.
    (q) Medical claims investigator. A senior legal specialist or 
qualified civilian assigned to assist a medical claims JA on a full-time 
basis. A medical claims investigator is authorized to administer oaths 
under the provisions of Article 136(b)(6), UCMJ, 10 U.S.C. 936(b)(6) 
when performing investigative duties.
    (r) Medical malpractice claim. A claim arising out of substandard or 
inadequate care of an Army patient.
    (s) Military personnel. Military personnel means members of the DA 
on active duty for training, or inactive duty training as defined in AR 
310-25 and 10 U.S.C. 101(22), 101(23), and 101(30). This includes 
members of the District

[[Page 235]]

of Columbia ARNG while performing active duty or training under 32 
U.S.C. 316, 502, 503, 504 or 505.
    (t) Noncombat activities. A noncombat activity arises from 
authorized activities essentially military in nature, having little 
parallel in civilian pursuits and which historically have been 
considered as furnishing a proper basis for payment of claims, such as 
practice firing of missiles and weapons, training and field exercises, 
and maneuvers, including, in connection therewith, the operation of 
aircraft and vehicles, and use and occupancy of real estate, and 
movement of combat or other vehicles designed especially for military 
use. Activities incident to combat, whether in time of war or not, and 
use of military personnel and civilian employees in connection with 
civil disturbances, are excluded.
    (u) Personal property. Property consisting solely of corporeal 
personal property, that is, tangible things. Personal property does not 
consist of the loss or forfeiture of a security deposit or a contingent 
financial benefit.



Sec. 536.4  Treaties and international agreements.

    (a) The governments of some foreign countries have by treaty or 
agreement waived or assumed, or may hereafter waive or assume, certain 
claims against the United States. In such instances claims will not be 
settled under laws or regulations of the United States.
    (b) The prohibition stated in paragraph (a) of this section is not 
applicable to claims within the purview of Article VIII of the Agreement 
Regarding the Status of Forces of Parties to the North Atlantic Treaty 
or similar type agreements which normally will be investigated and 
settled as therein provided.



Sec. 536.5  Claims.

    (a) Who may present. (1) A claim may be presented by the owner of 
the property, or in his name by a duly authorized agent or legal 
representative. As used in this regulation an owner includes the 
following:
    (i) For real property. The mortgagor, or the mortgagee, if he or she 
can maintain a cause of action in the local courts involving a tort to 
that specific property. When notice of divided interests in real 
property is received, the claim should, if feasible, be treated as a 
single claim or a release from all interests must be obtained.
    (ii) For personal property. A bailee, leasee, mortgagee, and 
conditional vendor, or others having title for purposes of security 
only, are not proper claimants unless specifically authorized by the 
statute and implementing regulations in question. If more than one party 
has a real interest in the property, all must join in the claim or a 
release from all interests must be obtained.
    (2) A claim for personal injury may be presented by the injured 
person or duly authorized agent or legal representative.
    (3) A claim based on death may be presented by the executor or 
administrator of the deceased's estate, or by any person determined to 
be legally or beneficially entitled. The amount allowed will, to the 
extent practicable, be apportioned among the beneficiaries in accordance 
with the law applicable to the incident.
    (4) A claim for medical, hospital, or burial expenses may be 
presented by any person who by reason of family relationship has in fact 
incurred the expenses for which the claim is made. However, for claims 
cognizable under the provisions of the FTCA, see Sec. 536.50, and for 
claims cognizable under the provisions of the Nonscope of Employment 
Claims Act, see Secs. 536.90 through 536.97.
    (5) A claim presented by an agent or legal representative will be 
made in the name of the claimant and signed by the agent or legal 
representative showing the title or capacity. Written evidence of the 
authority of such person to act is mandatory except when controlling law 
does not require such evidence.
    (6) A claim normally will include all damages that accrue by reason 
of the incident. Where the same claimant has a claim for damage to or 
loss of property and a claim for personal injury or a claim based on 
death arising out of the same incident, each of the foregoing or any 
combination of them ordinarily represent only an integral part

[[Page 236]]

or parts of a single claim or cause of action. Under Secs. 536.20 
through 536.35 and the Foreign Claims Act (FCA) (10 U.S.C. 2734), a 
single claimant is entitled to be compensated only one time for all 
damages or injuries arising out of an incident.
    (b) Subrogation. A claim may be presented by a subrogee in his own 
name if authorized by the law of the place where the incident giving 
rise to the claim occurred, provided subrogation is not barred by the 
regulation applicable to the type of claim involved.
    (1) The claims of the subrogor (insured) and subrogee (insurer) for 
damages arising out of the same incident constitute separate claims, and 
it is permissible for the aggregate of such claims to exceed the 
monetary jurisdiction of the approving or settlement authority.
    (2) A subrogor and a subrogee may file a claim jointly or 
individually. A fully subrogated claim will be paid only to the 
subrogee. Whether a claim is fully subrogated is a matter to be 
determined by local law. Some jurisdictions permit the property owner to 
file for property damage even though the owner has been compensated for 
the repairs by an insurer. In such instances a release should be 
obtained from both parties in interest or be released by both of them. 
The approved payment in a joint claim will be by joint check which will 
be sent to the subrogee unless both parties specify otherwise. If 
separate claims are filed, payment will be by check issued to each 
claimant to the extent of his undisputed interest.
    (3) Where a claimant has made an election and accepted workmen's 
compensation benefits, both statutory and case law of the jurisdiction 
should be scrutinized to determine to what extent the claim of the 
injured party against third parties has been extinguished by acceptance 
of compensation benefits. While it is infrequent that the claim is fully 
extinguished, it is true in some jurisdictions, and the only proper 
party claimant is the workmen's compensation carrier. Even where the 
injured party's claim has not been fully extinguished, most 
jurisdictions provide that the compensation insurance carrier has a lien 
on any recovery from the third party, and no settlement should be 
reached without approval by the carrier where required by local law. 
Additionally, claims from the workmen's compensation carrier as subrogee 
or otherwise will not be considered payable where the United States has 
paid the premiums, directly or indirectly, for the workmen's 
compensation insurance. Applicable contract provisions holding the 
United States harmless should be utilized.
    (4) Whether medical payments paid by an insurer to its insured can 
be subrogated depends on local law. Some jurisdictions prohibit these 
claims to be submitted by the insurer notwithstanding a contractual 
provision providing for subrogation. Therefore, local law should be 
researched prior to deciding the issue, and claims forwarded to higher 
headquarters for adjudication should contain the results of said 
research. Such claims, where prohibited by state law, will also be 
barred by the Antiassignment Act.
    (5) Care will be exercised to require insurance disclosure 
consistent with the type of incident generating the claim. Every 
claimant will, as a part of his claim, make a written disclosure 
concerning insurance coverage as to:
    (i) The name and address of every insurer;
    (ii) The kind and amount of insurance;
    (iii) Policy number;
    (iv) Whether a claim has been or will be presented to an insurer, 
and, if so, the amount of such claims; and
    (v) Whether the insurer has paid the claim in whole or in part, or 
has indicated payment will be made.
    (6) Each subrogee must substantiate his interest or right to file a 
claim by appropriate documentary evidence and should support the claim 
as to liability and measure of damages in the same manner as required of 
any other claimant. Documentary evidence of payment to a subrogor does 
not constitute evidence either of liability of the Government or of the 
amount of damages. Approving and settlement authorities will make 
independent determinations upon the evidence of record and the law.
    (7) Subrogated claims are not cognizable under Secs. 536.90 through 
536.97 and the FCA (10 U.S.C. 2734).

[[Page 237]]

    (c) Transfer and assignments. (1) Except as they occur by operation 
of law or after a voucher for the payment has been issued, unless within 
the exceptions set forth by statute (see 31 U.S.C. 3727 and AR 37-107), 
the following are null and void--
    (i) Every purported transfer or assignment of a claim against the 
United States, or of any part of or interest in a claim, whether 
absolute or conditional.
    (ii) Every power of attorney or other purported authority to receive 
payment of all or part of any such claim.
    (2) The purposes of the Antiassignment Act are to eliminate multiple 
payment of claims, to cause the United States to deal only with original 
parties, and to prevent persons of influence from purchasing claims 
against the United States.
    (3) In general, this statute prohibits voluntary assignments of 
claims with the exception of transfers or assignments made by operation 
of law. The operation of law exception has been held to apply to claims 
passing to assignees because of bankruptcy proceedings, assignments for 
the benefit of creditors, corporate liquidations, consolidations or 
reorganizations, and where title passes by operation of law to heirs or 
legatees. Subrogated claims which arise under a statute are not barred 
by the Antiassignment Act. For example, subrogated worker's compensation 
claims are cognizable when presented by the insurer.
    (4) Subrogated claims which arise pursuant to contractual provisions 
may be paid to the subrogee if the subrogated claim is recognized by 
state statute or decision. For example, an insurer under an automobile 
insurance policy becomes subrogated to the rights of a claimant upon 
payment of a property damage claim. Generally, such subrogated claims 
are authorized by state law and are therefore not barred by the 
Antiassignment Act.
    (5) Before claims are paid, it is necessary to determine whether 
there may be a valid subrogated claim under Federal or State statute or 
subrogation contract held valid by State law. If there may be a valid 
subrogated claim forthcoming, payment should be withheld for this 
portion of the claim. If it is determined that claimant is the only 
proper party, full settlement is authorized.
    (d) Action by claimant--(1) Form of claim. The claimant will submit 
his claim using authorized official forms whenever practicable. A claim 
is filed only when the elements indicated in Sec. 536.3(c) have been 
supplied in writing by a person authorized to present a claim, unless 
the claim is cognizable under a regulation that specifies otherwise. A 
claim may be amended by the claimant at any time prior to final agency 
action or prior to the exercise of the claimant's option under 28 U.S.C. 
2675(a).
    (2) Signatures. (i) The claim and all other papers will be signed in 
ink by the claimant or by his duly authorized agent. Such signature will 
include the first name, middle initial, and surname. A married woman 
must sign her claim in her given name, for example, ``Mary A. Doe,'' 
rather than ``Mrs. John Doe.''
    (ii) Where the claimant is represented, the supporting evidence 
required by paragraph (a)(5) of this section will be required only if 
the claim is signed by the agent or legal representative. However, in 
all cases in which a claimant is represented, the name and address of 
the representative will be included in the file together with copies of 
all correspondence and records of conversations and other contacts 
maintained and included in the file. Frequently, these records are 
determinative as to whether the statute of limitations has been tolled.
    (3) Presentation. The claim should be presented to the commanding 
officer of the unit involved, or to the legal office of the nearest Army 
post, camp, or station, or other military establishment convenient to 
the claimant. In a foreign country where no appropriate commander is 
stationed, the claim should be submitted to any attache of the U.S. 
Armed Forces. Claims cognizable under Article VIII of the Agreement 
Regarding the Status of Forces of Parties to the North Atlantic Treaty, 
Article XVIII of the Treaty of Mutual Cooperation and Security between 
the United States and Japan regarding facilities and areas and the 
Status of United States Armed Forces in Japan

[[Page 238]]

(Japan SOFA) or other similar treaty or agreement are filed with 
designated claims officials of the receiving State.
    (e) Evidence to be submitted by claimant. The claimant should submit 
the evidence necessary to substantiate his claim. It is essential that 
independent evidence be submitted which will substantiate the 
correctness of the amount claimed.
    (f) Statute of limitations--(1) General. Each statute available to 
the Department of the Army for the administrative settlement of claims, 
except the Maritime Claims Settlement Act (10 U.S.C. 4802), specifies 
the time during which the right to file a claim must be exercised. These 
statutes of limitations, which are jurisdictional in nature, are not 
subject to waiver unless the statute expressly provides for waiver. 
Specific information concerning the period for filing under each statute 
is contained in the appropriate implementing sections of this 
regulation.
    (2) When a claim accrues. A claim accrues on the date on which the 
alleged wrongful act or omission results in an actionable injury or 
damage to the claimant or his decedent. Exceptions to this general rule 
may exist where the claimant does not know the cause of injury or death; 
that is, the claim accrues when the injured party, or someone acting on 
his or her behalf, knows both the existence and the cause of his or her 
injury. However, this exception does not apply when, at a later time, he 
or she discovers that the acts inflicting the injury may constitute 
medical malpractice. (See United States v. Kubrick, 444 U.S. 111, 100 S. 
Ct. 352 (1979).) The discovery rule is not limited to medical 
malpractice claims; it has been applied to diverse situations involving 
violent death, chemical and atomic testing, and erosion and hazardous 
work environment. In claims for indemnity or contribution against the 
United States, the accrual date is the time of the payment for which 
indemnity is sought or on which contribution is based.
    (3) Effect of infancy, incompetency or the filing of suit. The 
statute of limitations for administrative claims is not tolled by 
infancy or incompetency. Likewise, the statute of limitations is not 
tolled for purposes of filing an administrative claim by the filing of a 
suit based upon the same incident in a Federal, State, or local court 
against the United States or other parties.
    (4) Amendment of Claims. A claim may be amended by the claimant at 
any time prior to final agency action or prior to the exercise of the 
claimant's option under 28 U.S.C. 2675(a). A claim may be amended by 
changing the amount, the bases of liability, or elements of damages 
concerning the same incident. Parties may be added only if the 
additional party could have filed a joint claim initially. If the 
additional party had a separate cause of action, his claim may not be 
treated as an amendment but only as a separate claim and is thus barred 
if the statute of limitations has run. For example, if a claim is timely 
filed on behalf of a minor for personal injuries, a subsequent claim by 
a parent for loss of services is considered a separate claim and is 
barred if it is not filed prior to the running of the statute of 
limitations. Another example is where a separate claim is filed for loss 
of services or consortium by a spouse arising out of injuries to the 
husband or wife of the claimant. On the other hand, if a claim is timely 
filed by an insured for the deductible portion of the property damage, a 
subsequent claim by the insurer based on payment of property damage to 
its insured may be filed as an amendment even though the statute of 
limitations has run, unless final action has been taken on the insured's 
claim.
    (5) Date of receipt stops the running of the statute. In computing 
the time to determine whether the period of limitations has expired, 
exclude the first day and include the last day, except when it falls on 
a nonworkday such as Saturday, Sunday, or a legal holiday, in which case 
it is to be extended to the next workday.
    (g) By the command concerned--(1) General. If the claim is of a type 
and amount within the jurisdiction of the claims office of the command 
concerned and the claim is meritorious in the amount claimed, it will be 
approved and paid. If a claim in an amount in excess of the monetary 
jurisdiction of the claims office is meritorious in a lesser amount 
within its

[[Page 239]]

jurisdiction, the claim may be approved for payment provided the amount 
offered is accepted by the claimant in settlement of the claim. If the 
claim is not of a type within the jurisdiction of the claims office, or 
if the claimant will not accept an amount within its jurisdiction, the 
claim with supporting papers and a recommendation for appropriate action 
will be forwarded to the next higher claims authority. If the claim is 
determined to be not meritorious, it will be disapproved provided the 
claims office has settlement authority for claims of the type and amount 
involved. Prior to the disapproval of a claim under a particular 
statute, a careful review should be made to ensure that the claim is not 
properly payable under a different statute or on another basis.
    (2) Claims within settlement authority of USARCS or the Attorney 
General. A copy of each of the following types of claims will be 
forwarded immediately to the Commander, USARCS:
    (i) One that appears to be of a type that must be brought to the 
attention of the Attorney General in accordance with his or her 
regulations;
    (ii) One in which the demand exceeds $15,000; or
    (iii) One which is a claim under the FTCA (Sec. 536.50) where the 
total of all claims, arising from a single incident, actual or 
potential, exceeds $25,000. USARCS is responsible for the monitoring and 
settlement of such claims and will be kept informed on the status of the 
investigation and processing thereof. Direct liaison and correspondence 
between the USARCS and the field claims authority or investigator is 
authorized on all claims matters, and assistance will be furnished as 
required. The field claims office will provide USARCS duplicates of all 
documentation as it is added to the field file. This will include all 
correspondence, memoranda, medical reports, reports, evaluations, and 
any other material relevant to the investigation and processing of the 
claim.
    (3) Claims involving privately owned vehicles. In areas where the 
FTCA (Sec. 536.50) is applicable, any claim except those under 31 U.S.C. 
3721, arising out of an accident involving a privately owned vehicle 
driven by a member of the DA, or by ARNG personnel as defined in 
Sec. 536.71, based on an allegation that the privately owned vehicle 
travel was within the scope of employment, should be forwarded without 
adjudication directly to the Commander, USARCS. Additional information 
is provided in Secs. 536.20 through 536.35, 536.90 through 536.97.
    (4) Claims within the exclusive jurisdiction of USARCS. Authority to 
settle the following claims has been delegated to the Commander, USARCS, 
only:
    (i) Claims of under Article VIII of the Agreement Regarding the 
Status of Forces Parties to the North Atlantic Treaty and other treaties 
or international agreements where the United States is the Receiving 
State;
    (ii) Claims under Sec. 536.60 (Maritime claims not arising out of 
civil works activities) except as delegated to overseas command claims 
services;
    (iii) Industrial security claims, DoD Directive 5220.6, 12 August 
1985; and
    (iv) Claims of the U.S. Postal Service. Files of these claims will 
be forwarded directly to the Commander, USARCS, with the report of 
investigation and supporting papers, including a memorandum of opinion.
    (5) Maritime claims. (i) A copy of a claim arising out of damage, 
loss, injury, or death which originates on navigable waters and is not 
considered cognizable under the Army Maritime Claims Settlement Act (10 
U.S.C. 4802-4804) will be forwarded immediately to the Commander, USARCS 
or appropriate overseas command claims service. A determination will be 
made as to whether the claim must be processed under the Suits in 
Admiralty Act or the Public Vessels Act or may be considered 
administratively.
    (ii) If a maritime claim cannot be settled administratively, the 
claimant will be advised that he must file a suit.
    (iii) If it is determined that both administrative and judicial 
remedies are available, the claim may be processed administratively and 
the claimant advised of the need to file a suit within 2 years of the 
date of occurrence if he chooses his judicial remedy.
    (iv) If the claim is for damage to property, or injury to person, 
consummated on land, a claimant who makes an oral inquiry or demand will

[[Page 240]]

be advised that no suit can be filed until a period of six months has 
expired after a claim in writing is submitted.
    (v) If it is determined by the Commander, USARCS, that a claim, 
apparently maritime in nature, is not within the maritime jurisdiction, 
the claimant will be so advised, and the claim will be returned for 
processing under the appropriate section of this regulation.
    (h) By district or division engineer. The district or division 
engineer area claims office will take the action of an initial claims 
authority. Files of unpaid claims should be forwarded directly to 
USARCS. An information copy will be sent to the next higher engineer 
authority unless such requirement is waived.
    (i) By higher settlement authority. A higher claims settlement 
authority may take action with respect to a claim in the same manner as 
the initial claims office. However, if it is determined that any further 
attempt to settle the claim would be unwarranted, the claim will be 
forwarded to the Commander, USARCS, with recommendations.



Sec. 536.6  Determination of liability.

    (a) In the adjudication of tort claims, the liability of the United 
States generally is determined in accordance with the law of the State 
or country where the act or omission occurred, except that any conflict 
between local law and the applicable United States statute will be 
resolved in favor of the latter. However, in claims by inhabitants of 
the United States arising in foreign countries, liability is determined 
in accordance with general principles of tort law common to the majority 
of American jurisdictions as evidenced by Federal case law and standard 
legal publications, except as it applies to absolute liability. Where 
liability is not clear or other issues exist, settlements should truly 
reflect the uncertainties in the adjudication of such issues. Compromise 
settlements are encouraged provided agreement can be reached that 
reflects the reduced value of the damages as measured against the full 
value or range of value if such uncertainties or issues did not exist 
and were it possible for the claimant to successfully litigate the 
claim.
    (b) Quantum exclusion. The costs of filing a claim and similar 
costs, for example, court costs, bail, interest, inconvenience expenses, 
or costs of long distance telephone calls or transportation in 
connection with the preparation of a claim, are not proper quantum 
elements and will not be allowed.



Sec. 536.7  Incident to service exclusionary rule.

    (a) General. A claim for personal injury or death of a member of the 
Armed Forces of the United States or a civilian employee of the United 
States that accrued incident to his service is not payable under this 
regulation. A claim for property damage that accrued incident to the 
service of a member of the Armed Forces may be payable under 31 U.S.C. 
3721 or Secs. 536.20 through 536.35 depending on the facts.
    (b) Property damage claims. A claim for damage to or loss of 
personal property of a claimant who is within one of the categories of 
proper party claimants under 31 U.S.C. 3721, which is otherwise 
cognizable under 31 U.S.C. 3721, must first be considered thereunder. If 
a claim is not clearly compensable under 31 U.S.C. 3721, and it arises 
incident to a noncombat activity of the DA or was caused by a negligent 
or wrongful act or omission of military personnel or civilian employees 
of the Department of Defense (DOD), it may be cognizable under either 
Secs. 536.20 through 536.35 or Sec. 536.50. The claim, if meritorious in 
fact, will probably be payable under one authorization or another 
regardless of whether the claim accrued incident to the service of the 
claimant.
    (c) Personal injury and death claims. (1) Only after the death or 
personal injury (which is the subject of the claim) has been determined 
to have not been incurred incident to the member's service should 
Secs. 536.20 through 536.35 and Sec. 536.50 be studied to determine 
which, if either, provides a proper basis for settlement of the claim. 
In any event, the rule in U.S. v. Brooks, 176 F.2d 482 (4th Cir. 1949) 
requiring setoff of amounts obtained through military or veterans' 
compensation systems against amounts otherwise recoverable

[[Page 241]]

will be followed. Other Government benefits, funded by general treasury 
revenues and not by the claimant's contributions, may also be used as a 
setoff against the settlement. (See, Overton v. United States, 619 F.2d 
1299 (8th Cir. 1980)).
    (2) As the incident to service issue is determinative as to whether 
this type of claim may be processed administratively at all, the 
applicable law and facts should be carefully considered before deciding 
that injury or death was not incident to service. Such claims also are 
often difficult to settle on the issue of quantum and thus more likely 
to end in litigation. Moreover, the United States may well elect to 
defend the lawsuit on the basis of the incident to service exclusion, 
and this defense could be prejudiced by a contrary administrative 
determination that a service member's personal injuries or death were 
not incident to service. Doubtful cases will be forwarded to the 
Commander, USARCS without action along with sufficient factual 
information to permit a determination of the incident to service 
question.



Sec. 536.8  Use of appraisers and independent medical examinations.

    (a) Appraisers. Appraisers should be used in all claims where an 
appraisal is reasonably necessary and useful in effectuating the 
administrative settlement of the claims. The decision to use an 
appraiser is at the discretion of DA.
    (b) Independent medical examinations. In claims involving serious 
personal injuries, for example, normally those cases in which there is 
an allegation of temporary or permanent disability, the claimant should 
be examined by an independent physician, or other medical specialist, 
depending upon the nature and extent of the injuries. The decision to 
conduct an independent medical examination is at the discretion of DA.



Sec. 536.9  Effect on award of other payments to claimant.

    The total award to which the claimant (and subrogee) may be entitled 
normally will be computed as follows:
    (a) Determine the total of the loss or damage suffered.
    (b) Deduct from the total loss or damage suffered any payment, 
compensation, or benefit the claimant has received from the following 
sources:
    (1) The U.S. or ARNG employee/member who caused the damage.
    (2) The U.S. or ARNG employee's/member's insurer.
    (3) Any person or agency in a surety relationship with the U.S. 
employee; or
    (4) Any joint tortfeasor or insurer, to include Government 
contractors under contracts or in jurisdictions where it is permissible 
to obtain contribution or indemnity from the contractor in settlement of 
claims by contractor employees and third parties.
    (5) Any advance payment made pursuant to Sec. 536.13.
    (6) Any benefit or compensation based directly or indirectly on an 
employer-employee relationship with the United States or Government 
contractor and received at the expense of the United States including 
but not limited to medical or hospital services, burial expenses, death 
gratuities, disability payment, or pensions.
    (7) The State (Commonwealth, etc.) whose employee or ARNG member 
caused or generated an incident that was a proximate cause of the 
resulting damages.
    (8) Value of Federal medical care.
    (9) Benefits paid by the Veterans Administration (VA) that are 
intended to compensate the same elements of damage. When the claimant is 
receiving money benefits from the VA under 38 U.S.C. 351 for a non-
service connected disability or death based on the injury that is the 
subject of the claim, acceptance of a settlement or an award under the 
FTCA (Sec. 536.50) will discontinue the VA monetary benefits until the 
amount that would have otherwise been received in VA monetary benefits 
is equal to the total amount of the agreement or award including 
attorney fees. While monetary benefits received under 38 U.S.C. 351 must 
be discontinued as above, medical benefits, that is, VA medical care may 
continue provided the settlement or award expressly provides for such 
continuance and the appropriate VA official is informed of such 
continuance.
    (10) When the claimant is receiving money benefits under 38 U.S.C. 
410(b)

[[Page 242]]

for non-service connected death, arising from the injury that is the 
subject of the claim, acceptance of a settlement or award under the FTCA 
(Sec. 536.50) or under any other tort procedure will discontinue the VA 
benefits until the amount that would have otherwise been received in VA 
benefits is equal to the amount of the total settlement or award 
including attorney fees. The discontinuation of monetary benefits under 
38 U.S.C. 410(b) has no effect on the receipt of other VA benefits. The 
claimant should be informed of the foregoing prior to the conclusion of 
any settlement and thus afforded an opportunity to make appropriate 
adjustment in the amount being negotiated.
    (11) Value of other Federal benefits to which the claimant did not 
contribute, or at least to the extent they are funded from general 
revenue appropriation.
    (12) Collateral sources where permitted by State law (for example, 
State or Federal workers' compensation, social security, private health, 
accident, and disability benefits paid as a result of injuries caused by 
a health care provider).
    (c) No deduction will be made for any payment the claimant has 
received by way of voluntary contributions, such as donations of 
charitable organizations.
    (d) Where a payment has been made to the claimant by his insurer or 
other subrogee, or under workmen's compensation insurance coverage, as 
to which subrogated interests are allowable, the award based on total 
damages will be apportioned as their separate interests are indicated 
(see Sec. 536.5(b)).
    (e) After deduction of permissible collateral and non-collateral 
sources, also deduct that portion of the loss or damage believed to have 
been caused by the negligence of the claimant, third parties whose 
negligence can be imputed to the claimant, or joint tortfeasors who are 
liable for their share of the negligence (for example, where some form 
of the Uniform Contribution Among Joint Tortfeasors Act has been 
passed).
    (f) Claims with more than one potential source of recovery. (1) The 
Government seeks to avoid multiple recovery, that is, claimants seeking 
recovery from more than one potential source, and to minimize the award 
it must make. The claims investigation should therefore identify other 
parties potentially liable to the claimant and/or their insurance 
carriers; indicate the status of any claims made or include a statement 
that none has been made so that it can be assured there is only one 
recovery and the Government does not pay a disproportionate share. Where 
no claim has been made by the claimant against others potentially 
liable, if applicable State law grants the Government the right to 
indemnity or contribution, and it is felt the Government may be entitled 
to either under the facts developed by the claims investigation, the 
claims officer or attorney should formally notify the other parties of 
their potential liability, the Government's willingness to share 
information, and its expectation of shared responsibility for any 
settlement. Furthermore, the claimant may be receiving or entitled to 
receive benefits from collateral and non-collateral sources, which can 
be deducted from the total loss or damage. Accordingly, a careful review 
must be made of applicable State laws regarding joint and several 
liability, indemnity, contribution, comparative negligence, and the 
collateral source doctrine.
    (2) If a demand by a claimant or an inquiry by a potential claimant 
is directed solely to the Army, in a situation where it appears that the 
responsible Army employee may have applicable insurance coverage, 
inquiry should be made of the employee as to whether he has liability 
insurance.
    (i) If so, determine if the insurer has made or will make any 
payment to claimant. Under applicable State law, the United States may 
be an additional named insured entitled to coverage under the employee's 
liability policy. (See 16 ALR3d 1411; United States v. State Farm Mutual 
Ins. Co., 245 F. Supp. 58 (D. Ore. 1965.)) Therefore, where there may be 
applicable insurance coverage, there should be a review of the policy 
language together with the rules and regulations of the State insurance 
regulatory body to determine whether the United States comes within the 
definition of ``insured,'' and whether

[[Page 243]]

the exclusion of the United States from policy coverage conforms with 
state law and policy.
    (ii) If the employee refuses to cooperate in providing this 
information, he or she should be advised to comply with the notice 
requirements of the insurance policy and to request the insurance 
carrier contact the claims officer or attorney. In addition, other 
sources of information, such as vehicle registration records, will be 
checked to ascertain the employee's insurer. The case should be followed 
to ascertain whether the employee's insurer has made or will make any 
payment to the claimant before deciding whether to settle the claim 
against the Government. Normally, the award, if any, to the claimant 
will be reduced by the amount of the payment of the employee's insurance 
carrier.
    (3) If the employee is the sole target of the claim and Army claims 
authorities arrange to have the claim made against the Government, the 
member or employee should be required to notify his or her insurance 
carrier according to the policy and inform DA claims authorities as to 
the details of the insurance coverage, including the name of the 
insurance carrier. Except when the ``Drivers Act'' is applicable, the 
insurance carrier is expected to participate in the negotiation of the 
claims settlement and to pay its fair share of any award to the 
claimant.
    (4) Where the responsible Army employee is ``on loan'' to another 
employer other than the United States, for example, civilian institution 
for ROTC instructor, or performing duties for a foreign government, 
inquiry should be made to determine whether there is applicable 
statutory or insurance coverage concerning the acts of the responsible 
employee and contribution or indemnification sought, as appropriate. In 
the case of foreign governments, applicable treaties or agreements are 
considered controlling.
    (5) A great many claims cognizable under the FTCA (Sec. 536.50) are 
now settled on a compromise basis. A major consideration in many such 
settlements is the identification of other sources of recovery. This is 
true in a variety of factual situations where there is a potential joint 
tortfeasor; for example, multi-vehicle accidents with multiple drivers 
and guest passengers, State or local government involvement, contractors 
performing non-routine tasks for the Government, medical treatment 
rendered to a claimant by non-Government employees, or incidents caused 
by a member or employee of the military department of a State or 
Commonwealth with whom the DA does not have a cost-sharing agreement. 
The law of the jurisdiction regarding joint and several liability, 
indemnity and contribution may permit shared financial responsibility, 
but even in jurisdictions which do not permit contribution, a compromise 
settlement can often be reached with the other tortfeasor's insurance 
company paying a portion of the total amount of the claim against the 
Government. For these reasons, every effort should be made to identify 
the insurance of all potential tortfeasors involved and the status of 
any claims made, and to demand contribution or indemnity where there is 
a substantial reason to believe that liability for the loss or damage 
should be shared.
    (6) Whenever a claim is filed against the Government under a statute 
which does not permit the payment of a subrogated interest, it is 
important to ensure that full information is obtained from the claimant 
regarding insurance coverage, if any, since it is the clear legislative 
intent of such statutes that insurance coverage be fully utilized before 
using appropriated funds to pay the claims.



Sec. 536.10  Settlement agreement.

    (a) General. Except under 31 U.S.C. 3721, if a claim is determined 
to be meritorious in an amount less than claimed, or if a claim 
involving personal injuries or death is approved in full, a settlement 
agreement will be obtained prior to payment. Acceptance by a claimant of 
an award constitutes a full and final settlement and release of any and 
all claims against the United States and against the military or 
civilian personnel whose act or omission gave rise to the claim.
    (b) Claims involving workmen's compensation carriers. The settlement 
of a claim involving a claimant who has

[[Page 244]]

elected to receive workmen's compensation benefits under local law may 
require the consent of the workmen's compensation carrier and in certain 
jurisdictions the State agency with authority over workmen's 
compensation awards. Accordingly, claims approval and settlement 
authorities should be aware of local requirements.



Sec. 536.11  Appeals and notification to claimant as to denial of claims.

    (a) General. The nature and extent of the written notification to 
the claimant as to the denial of his claim should be based on whether 
the claimant has a judicial remedy following denial or whether he has an 
administrative recourse to appeal.
    (b) Final Actions under the Federal Tort Claims Act (28 U.S.C. 2671-
2680) Sec. 536.50. If the settlement authority has information available 
which could possibly be a persuasive factor in the decision of the 
claimant as to whether to resort to litigation, such information may be 
orally transmitted to the claimant and, in appropriate cases, released 
under normal procedures in accordance with AR 340-17. However, the 
written notification of the denial should be general in nature; for 
example, denial on the weaker ground of contributory negligence should 
be avoided, and the inclination should be to deny on the basis that the 
claimant was solely responsible for the incident. The claimant will be 
informed in writing of his right to bring an action in the appropriate 
United States District Court not later than 6 months after the date of 
mailing of the notification.
    (c) Denials under the MCA (10 U.S.C. 2733) Secs. 536.20 through 
536.35 and the NGCA (32 U.S.C. 715) Secs. 536.70 through 536.81. Claims 
disapproved under these statutes are subject to appeal and the claimant 
will be so informed. Also, the notice of disapproval will be 
sufficiently detailed to provide the claimant with an opportunity to 
know and attempt to overcome the basis for the disapproval. The claimant 
should not be afforded a valid basis for claiming surprise when an issue 
adverse to him is asserted as a basis for denying his appeal.
    (d) Denials on jurisdictional grounds. Regardless of the nature of 
the claim presented or the statute under which it may be considered, 
claims denied on jurisdictional grounds which are valid, certain, and 
not easily overcome and in which for this reason no detailed 
investigation as to the merits of the claim is conducted, should contain 
in the denial letter a general statement to the effect that the denial 
on such grounds is not to be construed as an expression of opinion on 
the merits of the claim or an admission of liability. If sufficient 
factual information is available to make a tentative ruling on the 
merits of the claim, liability may be expressly denied.
    (e) Where claim may be considered under more than one statute. In 
cases in which it is doubtful as to whether the MCA (Secs. 536.20 
through 536.35) or the NGCA (Secs. 536.70 through 536.81) or the FTCA 
(Sec. 536.50) is the appropriate statute under which to consider the 
claim, the claimant will be advised of the alternatives, for example, 
the right to sue or the right to appeal. Similarly, a claimant may be 
advised of his alternative remedies when the claimant is a military 
member and the issue of ``incident to service'' is not clear.



Sec. 536.12  Effect of payment.

    Acceptance of an award by the claimant, except for an advance 
payment, constitutes for the United States, and for the military member 
or civilian employee whose act or omission gave rise to the claim, a 
release from all liability to the claimant based on the act or omission.



Sec. 536.13  Advance payments.

    (a) Purpose. This section implements the Act of 8 September 1961 (75 
Stat. 488, 10 U.S.C. 2736), as amended by Public Law 90-521 (82 Stat. 
874), Public Law 98-564 (98 Stat. 2918) and Public Law 100-456. No new 
liability is created by 10 U.S.C. 2736, which merely permits partial 
advance payments on meritorious claims as specified in this section.
    (b) Conditions for advance payment. An advance payment not in excess 
of $100,000 is authorized in the limited category of claims resulting in 
immediate hardship arising from incidents that are payable under the 
provisions of Secs. 536.20 through 536.35, 536.70 through 536.81, or the 
FCA (10 U.S.C.

[[Page 245]]

2734). An advance payment is authorized only under the following 
circumstances:
    (1) The claim must be determined to be cognizable and meritorious 
under the provisions of either Secs. 536.20 through 536.35, and 536.70 
through 536.81, or the FCA (10 U.S.C. 2734).
    (2) There exists an immediate need of the person who suffered the 
injury, damage, or loss, or of the family of a person who was killed, 
for food, clothing, shelter, medical or burial expenses, or other 
necessities, and other resources for such expenses are not reasonably 
available.
    (3) The payee, so far as can be determined, would be a proper 
claimant, as is the spouse or next of kin of a claimant who is 
incapacitated.
    (4) The total damage sustained must exceed the amount of the advance 
payment.
    (5) A properly executed advance payment acceptance agreement has 
been obtained.



   Subpart B--Claims Arising From Activities of Military or Civilian 
              Personnel or Incident to Noncombat Activities



Sec. 536.20  Statutory authority.

    The statutory authority for Secs. 536.20 through 536.35 is contained 
in the Act of 10 August 1956 (70A Stat. 153, 10 U.S.C. 2733) commonly 
referred to as the Military Claims Act (MCA), as amended by Public Law 
90-522, 26 September 1968 (82 Stat. 875), Public Law 90-525, 26 
September 1968 (82 Stat. 877), Public Law 91-312, 8 July 1970 (84 Stat. 
412) and Public Law 93-336, 8 July 1974 (88 Stat. 291); and the Act of 8 
September 1961 (75 Stat. 488, 10 U.S.C. 2736), as amended by Public Law 
90-521, 26 September 1968 (82 Stat. 874) and Public Law 98-564, 30 
October 1984 (98 Stat. 2918).



Sec. 536.21  Definitions.

    The definitions of terms set forth in Sec. 536.3 are applicable to 
Secs. 536.20 through 536.35.



Sec. 536.22  Scope.

    Sections 536.20 through 536.35 are applicable in all places and 
prescribe the substantive bases and special procedural requirements for 
the settlement of claims against the United States for death, personal 
injury, or damage to or loss or destruction of property caused by 
military personnel or civilian employees of the DA acting within the 
scope of their employment, or otherwise incident to the noncombat 
activities of the DA, provided such claim is not for personal injury or 
death of a member of the Armed Forces or Coast Guard or a civilian 
officer or employee whose injury or death is incident to service.



Sec. 536.23  Claims payable.

    (a) General. Unless otherwise prescribed, a claim for personal 
injury, death, or damage to or loss of real or personal property is 
payable under Secs. 536.20 through 536.35 when--
    (1) Caused by an act or omission determined to be negligent, 
wrongful, or otherwise involving fault of military personnel or civilian 
officers or employees of the Army acting within the scope of their 
employment, or
    (2) Incident to the noncombat activities of the Army.
    (b) Property. The loss or damage to property which may be the 
subject of claims under Secs. 536.20 through 536.35 includes--
    (1) Real property used and occupied under a lease, express or 
implied, or otherwise (for example, in connection with training, field 
exercises, or maneuvers). An allowance may be made for the use and 
occupancy of real property arising out of trespass or other tort, even 
though claimed as rent.
    (2) Personal property bailed to the Government under an agreement, 
express or implied, unless the owner has expressly assumed the risk of 
damage or loss. Some losses may be payable using Operations and 
Maintenance, Army funds. Clothing damage or loss claims arising out of 
the operation of an Army Quartermaster laundry are considered to be 
incident to service and are payable only if claimant is not a proper 
claimant under 31 U.S.C. 3721.
    (3) Registered or insured mail in the possession of the Army, even 
though the loss was caused by a criminal act.
    (c) Effect of FTCA. A claim arising in the United States may be 
settled under

[[Page 246]]

Sec. Sec. 536.20 through 536.35 only if the FTCA (28 U.S.C. 2671-2680), 
Sec. 536.50, has been judicially determined not to be applicable to 
claims of this nature, or if the claim arose incident to noncombat 
activities.
    (d) Advance payments. Advance payments under 10 U.S.C. 2736, as 
amended, in partial payment of meritorious claims to alleviate immediate 
hardship are authorized.



Sec. 536.24  Claims not payable.

    A claim is not payable under Secs. 536.20 through 536.35 which--
    (a) Results wholly from the negligent or wrongful act of the 
claimant or agent.
    (b) Is for reimbursement for medical, hospital, or burial expenses 
furnished at the expense of the United States.
    (c) Is purely contractual in nature.
    (d) Arises from private as distinguished from Government 
transactions.
    (e) Is based solely on compassionate grounds.
    (f) Is for war trophies or articles intended directly or indirectly 
for persons other than the claimant or members of his or her immediate 
family, such as articles acquired to be disposed of as gifts or for sale 
to another, voluntarily bailed to the Army, or is for precious jewels or 
other articles of extraordinary value voluntarily bailed to the Army. 
The preceding sentence is not applicable to claims involving registered 
or insured mail. No allowance will be made for any item when the 
evidence indicates that the acquisition, possession, or transportation 
thereof was in violation of DA directives.
    (g) Is for rent, damage, or other payments involving the 
acquisition, use, possession, or disposition of real property or 
interests therein by and for the DA, except as authorized by 
Sec. 536.23(b)(1). Real estate claims founded upon contract are 
generally processed under AR 405-15.
    (h) Is not in the best interests of the United States, is contrary 
to public policy, or is otherwise contrary to the basic intent of the 
governing statute (10 U.S.C. 2733); for example, claims by inhabitants 
of unfriendly foreign countries or by or based on injury or death of 
individuals considered to be unfriendly to the United States. When a 
claim is considered to be not payable for the reasons stated in this 
paragraph, it will be forwarded for appropriate action to the Commander, 
USARCS, together with the recommendations of the responsible claims 
office.
    (i) If presented by a national, or a corporation controlled by a 
national, or a country at war or engaged in armed conflict with the 
United States, or of any country allied with such enemy country unless 
the settlement authority having jurisdiction over the claim determines 
that the claimant is and, at the time of the incident, was friendly to 
the United States. A prisoner of war or an interned enemy alien is not 
excluded as to a claim for damage, loss, or destruction of personal 
property in the custody of the Government otherwise payable.
    (j) Is for personal injury or death of a member of the Armed Forces 
or Coast Guard or a civilian employee thereof which is incident to his 
or her service (10 U.S.C. 2733(b)(3)).
    (k) The types of claims not payable under the FTCA (see 
Sec. 536.50(j)) are also not payable under Secs. 536.20 through 536.35 
with the following exceptions:
    (1) The foreign country exclusion in 28 U.S.C. 2680(k) does not 
apply to claims under Secs. 536.20 through 536.35.
    (2) The Feres bar in Sec. 536.50(j)(1) does not apply to claims 
under Secs. 536.20 through 536.35, but see the exclusion in paragraph 
(j) of this section.



Sec. 536.25  Claims also cognizable under other statutes.

    (a) General. Claims based upon a single act or incident cognizable 
under Secs. 536.20 through 536.35, which are also cognizable under the 
FTCA (28 U.S.C. 2671-2680) Sec. 536.50, the Army Maritime Claims 
Settlement Act (10 U.S.C. 4801-04, 4806) Sec. 536.60, the FCA (10 U.S.C. 
2734), or title 31, U.S.C. section 3721 (Personnel Claims), will be 
considered first under the latter statutes. If not payable under any of 
those latter statutes, the claim will be considered under Secs. 536.20 
through 536.35.
    (b) Claims in litigation. Disposition under Secs. 536.20 through 
536.35 of any claim of the type covered by this section that goes into 
litigation in any

[[Page 247]]

State or Federal court under any State or Federal statute or ordinance 
will be suspended pending disposition of such litigation and the claim 
file will be forwarded to the Commander, USARCS. The Commander, USARCS, 
in coordination with the U.S. Department of Justice, may determine that 
final disposition under Secs. 536.20 through 536.35 during pendency of 
the litigation is in the best interests of the United States. This 
section will also apply to any litigation brought against any agent of 
the United States in his or her individual capacity which is based upon 
the same acts or incidents upon which a claim under Secs. 536.20 through 
536.35 is based.



Sec. 536.26  Presentation of claims.

    (a) When claim must be presented. A claim may be settled under 
Secs. 536.20 through 536.35 only if presented in writing within 2 years 
after it accrues, except that if it accrues in time of war or armed 
conflict, or if war or armed conflict intervenes within 2 years after it 
accrues, and if good cause is shown, the claim may be presented not 
later than 2 years after war or armed conflict is terminated. As used in 
this section, a war or armed conflict is one in which any Armed Force of 
the United States is engaged. The dates of commencement and termination 
of an armed conflict must be as established by concurrent resolution of 
Congress or by determination of the President.
    (b) Where claim must be presented. A claim must be presented to an 
agency or instrumentality of the DA. However, the statute of limitations 
is tolled if a claim is filed with another agency of the Government and 
is forwarded to the DA within 6 months, or if the claimant makes inquiry 
of the DA concerning his or her claim within 6 months after it was filed 
with another agency of the Government. If a claim is received by an 
official of the DA who is not a claims approval or settlement authority 
under Secs. 536.20 through 536.35, the claim will be transmitted without 
delay to the nearest claims office or JA office for delivery to such an 
authority.



Sec. 536.27  Procedures.

    So far as not inconsistent with Secs. 536.20 through 536.35, the 
procedures set forth in Secs. 536.1 through 536.13 will be followed. 
Subrogated claims will be processed as prescribed in Sec. 536.5(b).



Sec. 536.28  Law applicable.

    (a) As to claims arising in the United States, its territories, 
commonwealths, and possessions, the law of the place where the act or 
omission occurred will be applied in determining liability and the 
effect of contributory negligence on claimant's right to recover 
damages.
    (b) In claims arising in a foreign country, liability of the United 
States will be assessed by reference to general principles of tort law 
common to the majority of United States jurisdictions. Absolute 
liability and similar theories are not a basis for liability under this 
section. Damages will be determined under Sec. 536.29. If the negligence 
of the claimant was a partial cause of the injury, loss or damage, 
recovery will be barred if the negligence of the claimant is greater 
than that of the United States. In traffic accident cases, questions of 
negligence, and the degree of the claimant's comparative negligence, 
will be evaluated based on the traffic and vehicle safety laws and 
regulations of the country in which the accident occurred, but only to 
the extent they are not specifically superseded or preempted by the 
United States military traffic regulations.



Sec. 536.29  Compensation for property damage, personal injury, or death.

    (a) Measure of damages for property claims--(1) General. The measure 
of damages in property claims arising in the United States or its 
possessions will be determined in accordance with the law of the place 
where the incident occurred. The measure of damages in property claims 
arising overseas will be determined in accordance with general 
principles of United States tort law.
    (2) Proof of damage. The information listed below (similar to that 
required by 28 CFR 14.4(c)) will be submitted by a claimant to 
substantiate a claim.
    (i) Proof of ownership.
    (ii) Detailed statement of amount claimed for each item of property.
    (iii) Itemized receipt of estimate for all repairs.

[[Page 248]]

    (iv) Statement giving date of purchase, price and, where not 
economically repairable, the salvage value.
    (3) Appraisals. The assistance of appraisers should be used in all 
claims where, in the opinion of the claims officer, an appraisal is 
reasonably necessary and useful in reaching an administrative settlement 
of claims.
    (b) Measure of damages in injury or death claims arising in the 
United States or its possessions. Where an injury or an injury resulting 
in death arises within the United States or its possessions, the measure 
of damages will be determined in accordance with the law of the State or 
possession wherein the injury arises.
    (1) The information listed below (similar to that required by 28 CFR 
14.4(a)) will be submitted by a claimant to substantiate a wrongful 
death claim.
    (i) Authenticated death certificate or other competent evidence 
showing date and cause of death and age of decedent.
    (ii) Decedent's employment and occupation at time of death, 
including salary or earnings and duration of last employment or 
occupation.
    (iii) Names, addresses, birthdates, kinship and marital status of 
survivors.
    (iv) Identification of persons dependent on decedent for support at 
time of death and the degree of support provided.
    (v) Decedent's general physical and mental condition at time of 
death.
    (vi) Itemized bills or receipt for medical and burial expenses.
    (vii) If damages for pain and suffering are claimed, a physician's 
statement specifying the injuries suffered, duration of pain and 
suffering, drugs administered and decedent's physical condition between 
time of injury and time of death.
    (2) The information listed below (similar to that required by 28 CFR 
14.4(b)) will be submitted by a claimant to substantiate a personal 
injury claim.
    (i) Written report by attending the physician or dentist setting 
forth the:
    (A) Nature and extent of injury;
    (B) Nature and extent of treatment;
    (C) Degree of temporary or permanent disability;
    (D) Prognosis;
    (E) Period of hospitalization; and
    (F) Diminished earning capacity.
    (ii) Itemized bills or receipts for medical, dental and hospital 
expenses.
    (iii) If the prognosis includes future treatment, a statement of 
expected expenses for such treatment.
    (iv) If the claim includes lost time from employment, a statement by 
the employer showing the actual time lost and wages and/or salary lost.
    (v) If the claim includes lost income by a self-employed claimant, 
documentary evidence of such loss.
    (c) Measure of damages in injury or death claims arising in foreign 
countries. (1) Subject to the limitations in Sec. 636.29e, where an 
injury, or injury resulting in death arises in a foreign country, the 
measure of damages will be determined in accordance with established 
principles of general maritime law (see generally, Moragne v. United 
States Lines, Inc., 398 U.S. 375 (1970), as interpreted by Federal Court 
decisions). Where general maritime law provides no interpretation of 
allowable damages under a particular theory of liability (e.g., wrongful 
birth), damages will be determined in accordance with general principles 
of United States tort law.
    (2) The information listed in Sec. 536.29(b) (1) and (2), as 
appropriate, will be submitted by the claimant to substantiate a claim.
    (3) A claimant who suffers serious personal injury, resulting in 
temporary or permanent disability should be examined by an independent 
physician or other medical specialist (See Sec. 536.8(b)).
    (d) Failure to substantiate a claim. (1) The government is not 
obligated to take final action on a claim until it has been supported by 
the claimant with specific facts substantiated by appropriate 
documentary evidence, reports of investigation, medical records or 
witness statements. Upon request, the claimant must:
    (i) Provide the documentation required by paragraphs (a), (b) and 
(c) of this section;
    (ii) Undergo necessary medical examinations;
    (iii) Permit questioning of the claimant, his or her witness, and 
treating medical personnel;

[[Page 249]]

    (iv) Submit an expert opinion in a professional negligence action.
    (2) Failure to comply with these requirements may provide a basis 
for denial of a claim, in full or in part.
    (e) Damages not payable. The following damages are not payable in 
any claim arising under the Military Claims Act:
    (1) Punitive or exemplary damages, including damages punitive in 
nature under 28 U.S.C. 2674.
    (2) Interest on any claim settlement.



Sec. 536.30  Structured settlements.

    (a) The use of the structured settlement device by approval and 
settlement authorities is encouraged in all appropriate cases. A 
structured settlement should not be used when contrary to the desires of 
the claimant.
    (b) Notwithstanding the above, the Commander, USARCS may require or 
recommend to higher authority that an acceptable structured settlement 
be made a condition of award notwithstanding objection by the claimant 
or his or her representative where--
    (1) Necessary to ensure adequate and secure care and compensation to 
a minor or otherwise incompetent claimant over a period of years;
    (2) Where a trust device is necessary to ensure the long-term 
availability of funds for anticipated further medical care;
    (3) Where the injured party's life expectancy cannot be reasonably 
determined.



Sec. 536.31  Claims over $100,000.

    Claims cognizable under 10 U.S.C. 2733 and Secs. 536.20 through 
536.35, which are meritorious in amounts in excess of $100,000, will be 
forwarded to the Commander, USARCS who will negotiate a settlement 
subject to approval by the Secretary of the Army or designee, or require 
the claimant to state the lowest amount that will be acceptable and 
provide appropriate justification. Tender of a final offer by the 
Commander, USARCS constitutes an action subject to appeal. The 
Commander, USARCS will prepare a memorandum of law with recommendations 
and forward the claim to the Secretary of the Army, or designee, for 
final action. The Secretary or designee will either disapprove the claim 
or approve it in whole or in part.



Sec. 536.32  Settlement procedures.

    (a) Procedures. Approval and settlement authorities will follow the 
procedures set forth in Secs. 536.1 through 536.13 in paying, denying or 
making final offers on claims. A copy of the notification will be 
forwarded to Commander, USARCS. The settlement authority will notify the 
claimant by certified mail (return receipt registered) of a denial or 
final action and the reason therefore. The letter of notification will 
inform the claimant of the following:
    (1) He or she may appeal, and that no form is prescribed for the 
appeal.
    (2) The title of the authority who will act on the appeal and that 
the appeal will be addressed to the settlement authority who last acted 
on the claim.
    (3) The claimant must fully set forth the grounds for appeal, or 
state that he or she appeals on the basis of the record as it exists at 
the time of denial or final offer.
    (4) The appeal must be postmarked not later than 60 days after 
receipt of notice of action on the claim. If the 60th day falls on a day 
on which the post office is closed, the next day on which it is open for 
business will be considered the final day of the appeal period. The 60 
day appeal period starts on the day following claimant's receipt of the 
letter from the settlement authority informing the claimant of the 
action taken and of the appellant rights. For good cause shown, the 
Commander, USARCS, or designee, or the chief of a command claims service 
(if the appellate authority), may extend the time for appeal, but 
normally such extension will not exceed 90 days.
    (5) Where a claim for the same injury has been filed under the FTCA 
and the denial or final offer applies equally to such claim, the letter 
of notification must advise the claimant that any suit brought as to any 
portion of the claim under the FTCA must be brought not later than 6 
months from the date of mailing of the notice of denial or final offer. 
Further, the claimant must be advised that if suit is brought, action on 
any appeal will be held in abeyance

[[Page 250]]

pending final determination of such suit.
    (b) Action on appeal. (1) The appeal will be examined by the 
settlement authority who last acted on the claim, or his or her 
successor, to determine if the appeal complies with the requirements of 
this section. The settlement authority will also examine the claims 
investigative file and decide whether additional investigation is 
required; ensure all allegations or evidence presented by the claimant, 
agent or attorney are documented in the file; and that all pertinent 
evidence is included in the file. If the claimant states that he or she 
appeals but does not submit supporting materials within the 60 day 
appeal period or an approved extension thereof, the appeal will be 
treated as being on the record as it existed at the time of denial or 
final offer. Unless action under paragraph (b)(2) of this section is 
taken; the claim with complete investigative file including any 
additional investigation required and a memorandum of opinion will be 
forwarded to the appropriate appellate authority for necessary action on 
the appeal.
    (2) If the evidence in the file, including information submitted by 
the claimant with the appeal and any necessary additional investigation, 
indicates that the appeal should be granted, in whole or in part, the 
settlement authority who last acted on the claim or his or her successor 
will attempt to settle the claim. If settlement cannot be reached, the 
appeal will be forwarded in accordance with paragraph (b)(1) of this 
section.
    (3) As to an appeal that requires action by TJAG, The Assistant 
Judge Advocate General (TAJAG), or the Secretary of the Army, or 
designee, the Commander, USARCS may take the action in paragraph (b)(2) 
of this section or forward the claim together with a recommendation for 
action. All matters submitted by the claimant will be forwarded and 
considered.
    (4) Since an appeal under this authority is not an adversary 
proceeding, no form of hearing is authorized. A request by the claimant 
for access to documentary evidence in the claims file to be used in 
considering the appeal should be granted unless access is not permitted 
by law or regulation.



Sec. 536.33  Attorney fees.

    In the settlement of any claim under Secs. 536.20 through 536.35, 
attorney fees shall not exceed 20 percent of the final cost to the 
United States of the award.



Sec. 536.34  Payment of costs, settlements, and judgments related to certain medical and legal malpractice claims.

    (a) Costs, settlements, or judgments cognizable under 10 U.S.C. 
1089(f) for personal injury or death caused by any physician, dentist, 
nurse, pharmacist, or paramedical, or other supporting personnel 
(including medical and dental technicians, nurse assistants, and 
therapists) of DA should be forwarded to Commander, USARCS, for action 
and will be paid, provided:
    (1) The alleged negligent or wrongful actions or omissions arose in 
performance of medical, dental or related health care functions 
(including clinical studies and investigations) within the scope of 
employment; and
    (2) Such personnel provide prompt notification and delivery of all 
process served or received, provide such other documents, information, 
and assistance as requested, and cooperate in the defense of the action 
on the merits. (See DoD Directive 6000.6.)
    (b) Costs, settlements, and judgments cognizable under 10 U.S.C. 
1054(f) for damages for injury of loss of property caused by any 
attorney, paralegal, or other member of a legal staff within the DA 
should be forwarded to Commander, USARCS, for action and will be paid, 
provided:
    (1) The alleged negligent or wrongful actions or omissions arose in 
connection with providing legal services while acting within the scope 
of the person's duties or employment, and
    (2) Such personnel provide prompt notification and delivery of all 
process served or received, provide such other documents, information 
and assistance as requested, and cooperate in the defense of the action 
on the merits. (See DoD Directive 6000.6.)

[[Page 251]]



Sec. 536.40  Claims under Article 139, Uniform Code of Military Justice.

    (a) Statutory authority. The authority for this section is Article 
139, Uniform Code of Military Justice (10 U.S.C. 939) which provides for 
redress of damage to property willfully damaged or destroyed, or 
wrongfully taken, by members of the armed forces of the United States.
    (b) Purpose. This section sets forth the standards to be applied and 
the procedures to be followed in the processing of claims for damage, 
loss or destruction of property owned by or in the lawful possession of 
an individual, whether civilian or military, a business, a charity, or a 
State or local government, where the property was wrongfully taken or 
willfully damaged by military members of DA. Claims cognizable under 
other claims statutes may be processed under this section.
    (c) Effect of disciplinary action. Administrative action under 
Article 139 and this section is entirely separate and distinct from 
disciplinary action taken under other articles of the UCMJ or other 
administrative actions. Because action under Article 139 and this 
section requires independent findings on issues other than guilt or 
innocence, the mere fact that a soldier was convicted or acquitted of 
charges is not dispositive of a claim under Article 139.
    (d) Claims cognizable. Claims cognizable under Article 139, UCMJ are 
limited to--
    (1) Claims for property willfully damaged. Willful damage is damage 
which is inflicted intentionally, knowingly, and purposefully without 
justifiable excuse, as distinguished from damage caused inadvertently or 
thoughtlessly through simple or gross negligence. Damage, loss, or 
destruction of property caused by riotous, violent, or disorderly acts, 
or by acts of depredation, or through conduct showing reckless or wanton 
disregard of the property rights of others may be considered willful 
damage.
    (2) Claims for property wrongfully taken. A wrongful taking is any 
unauthorized taking or withholding of property, not involving the breach 
of a fiduciary or contractual relationship, with the intent to 
temporarily or permanently deprive the owner or person lawfully in 
possession of the property. Damage, loss, or destruction of property 
through larceny, forgery, embezzlement, fraud, misappropriation, or 
similar offense may be considered wrongful taking.
    (e) Claims not cognizable. Claims not cognizable under this section 
and Article 139 include--
    (1) Claims resulting from negligent acts.
    (2) Claims for personal injury or death.
    (3) Claims resulting from acts or omissions of military personnel 
acting within the scope of their employment.
    (4) Claims resulting from the conduct of reserve component personnel 
who are not subject to the UCMJ at the time of the offense.
    (5) Subrogated claims, including claims by insurers.
    (f) Limitations on assessments--(1) Time Limitations. To be 
considered, a claim must be submitted within 90 days of the incident out 
of which the claim arose, unless the special court-martial convening 
authority (SPCMCA) acting on the claim determines that good cause has 
been shown for the delay.
    (2) Limitations on amount. No soldier's pay may be assessed more 
than $5,000 on a single claim without the approval of the Commander, 
USARCS, or designee. If the commander acting on the claim determines 
that an assessment against a soldier in excess of $5,000 is meritorious, 
he or she will assess the pay of that soldier in the amount of $5,000 
and forward the claim to the Commander, USARCS, with his or her 
recommendation as to the additional amount which should be assessed.
    (3) Direct damages. Assessments are limited to direct damages for 
the loss of or damage to property. Indirect, remote, or consequential 
damages may not be considered under this section.
    (g) Procedure. Area claims offices and claims processing offices 
with approval authority are responsible for publicizing the Article 139 
program and maintaining a log for Article 139 claims presented in their 
areas (see Personnel Claims Adjudication appendix G, Claims Manual). 
Area claims offices and claims processing offices with approval 
authority are required to monitor action taken on Article 139 claims

[[Page 252]]

and ensure that time requirements are met. If assessment action on a 
particular claim will be unduly delayed, the office may consider the 
claim under 31 U.S.C. 3721 and chapter 11 of this regulation if it is 
otherwise cognizable under the authority. The office will counsel the 
claimant to repay any overpayment if the Article 139 claim is later 
successful (see para 11-2e).
    (1) Form of a claim and presentment. A claim must be presented by 
the claimant or his or her authorized agent orally or in writing. The 
claim must be reduced to writing, signed, and for a definite sum in U.S. 
dollars within 10 days after oral presentment.
    (2) Action upon receipt of a claim. Any officer receiving a claim 
will forward it within 2 working days to the SPCMCA over the soldier or 
soldiers against whom the claim is made. If the claim is made against 
soldiers under the jurisdiction of more than one such convening 
authority who are under the same general court-martial convening 
authority, the claim will be forwarded to that general court-martial 
convening authority, who will designate one SPCMCA to investigate and 
act on the claim as to all soldiers involved. If the claim is made 
against soldiers under the jurisdiction of more than one SPCMCA at 
different locations and not under the same general court-martial 
convening authority, the claim will be forwarded to the SPCMCA whose 
headquarters is closest to the situs of the incident, who will 
investigate and act on the claim as to all soldiers involved. If a claim 
is made against a member of one of the other military Services, the 
claim will be forwarded to the commander of the nearest major Army 
command (MACOM) of that Service.
    (3) Action by the SPCMCA. Within 4 working days of receipt of a 
claim, the SPCMCA will appoint an investigating officer to investigate 
the claim, using the procedures of this section supplemented by the 
procedures of AR 15-6. The claims officer of a command, if he or she is 
a commissioned officer, may be appointed as the investigating officer.
    (4) Action by the investigating officer. The investigating officer 
will provide notification to the soldier against whom the claim is made.
    (i) If the soldier indicates a desire to make voluntary restitution, 
the investigating officer may, with the convening authority's 
concurrence, delay proceedings until the end of the next pay period to 
accomplish this. If the soldier makes payment to the claimant's full 
satisfaction, the claim will be dismissed.
    (ii) In the absence of full restitution, the investigating officer 
will determine whether the claim is cognizable and meritorious under the 
provisions of Article 139 and this chapter and the amount to be assessed 
each offender. This amount will be reduced by any restitution accepted 
by the claimant from an offender in partial satisfaction. Within 10 
working days or such time as the SPCMCA may provide, the investigating 
officer will make findings and recommendations and submit these to the 
SPCMCA. The investigating officer will also provide a copy of his or her 
findings and recommendations to any soldier against whom an assessment 
is recommended.
    (iii) If the soldier is absent without leave so that he or she 
cannot be provided with notification, the Article 139 claim may be 
processed in the soldier's absence. If an assessment is approved, a copy 
of the claim and SPCMCA approval will be forwarded by transmittal letter 
to the servicing finance and accounting office (FAO) for offset input 
against the soldier's pay account. In the event the soldier is dropped 
from the rolls, the servicing FAO will forward the assessment documents 
to Commander, U.S. Army Finance and Accounting Center, attn: Department 
40, Indianapolis, Indiana 46249.
    (5) Legal review. After completion of the investigating officer's 
report, the SPCMCA will refer the claim to the area claims office or 
claims processing office servicing his or her command to review for 
legal sufficiency and advice. That office will furnish within 5 working 
days or such time as the SPCMCA will provide a written opinion as to--
    (i) Whether the claim is cognizable under the provisions of Article 
139 and this chapter.
    (ii) Whether the findings and recommendations are supported by 
evidence.

[[Page 253]]

    (iii) Whether there has been substantial compliance with the 
procedural requirements of Article 139, this chapter, and AR 15-6.
    (6) Final action. After considering the advice of the claims office, 
the SPCMCA will disapprove the claim or approve the claim in an amount 
equal to or less than the amount recommended by the investigating 
officer. The SPCMCA will notify the claimant, and any soldier subject to 
his or her jurisdiction, of the determination and the right to request 
reconsideration. The SPCMCA will then suspend action on the claim for 10 
working days pending receipt of a request for reconsideration unless he 
or she determines that this delay will result in substantial injustice. 
The SPCMCA will direct the servicing finance officer for the soldier or 
soldiers against whom assessments are approved to withhold such amount 
from the soldier or soldiers up to $5000. For any soldier not subject to 
the SPCMCA's jurisdiction, the SPCMCA will forward the claim to that 
commander who does exercise special court-martial jurisdiction over the 
soldier for collection action.
    (7) Assessment. Subject to any limitations provided in appropriate 
regulations, the servicing finance officer will withhold the amount 
directed by the SPCMCA and pay it to the claimant. The SPCMCA's 
assessment is not subject to appeal and is conclusive on any finance 
officer. If the servicing finance officer finds that the required amount 
cannot be withheld because he or she does not have custody of the 
soldier's pay record or because the soldier is in a no pay due status, 
the servicing finance officer will promptly notify the SPCMCA of this in 
writing.
    (8) Post settlement action. After action on the claim is completed, 
the claims office servicing the command which took final action will 
forward one copy of the claim together with a cover sheet and all 
attachments, to include information that money has or has not been 
withheld and paid to the claimant by the servicing finance officer, 
through any command claims service, to the Commander, USARCS.
    (9) Remission of indebtedness. Title 10, United States Code, section 
4837(d), which authorizes the remission and cancellation of indebtedness 
of an enlisted person to the United States or its instrumentalities, is 
not applicable and may not be used to remit and cancel indebtedness 
determined as a result of action under Article 139.
    (h) Reconsideration--(1) General. Although Article 139 does not 
provide for a right of appeal, either the claimant or a soldier whose 
pay is assessed may request the SPCMCA or a successor in command to 
reconsider the action. A request for reconsideration will be submitted 
in writing and will clearly state the factual or legal basis for the 
relief requested. The SPCMCA may direct that the matter be 
reinvestigated.
    (2) Reconsideration by the original SPCMCA. The original SPCMCA may 
reconsider the action so long as he occupies that position, regardless 
of whether a soldier whose pay was assessed has been transferred. If the 
original SPCMCA determines that the action was incorrect, he or she may 
modify it subject to paragraph (h)(4) of this section. If a request for 
reconsideration is submitted more than 15 days after notification was 
provided, however, the SPCMCA should only modify the action on the basis 
of fraud, substantial new evidence, errors in calculation, or mistake of 
law.
    (3) Reconsideration by a successor in command. Subject to paragraph 
(h)(4) of this section, a successor in command may only modify an action 
on the basis of fraud, substantial new evidence, errors in calculation 
or mistake of law apparent on the face of the record.
    (4) Legal review and action. Prior to modifying the original action, 
the SPCMCA will have the claims office render a legal opinion and fully 
explain his or her basis for modification as part of the file. If a 
return of assessed pay is deemed appropriate, the SPCMCA should request 
the claimant to return the money, setting forth the basis for the 
request. There is no authority for repayment from appropriated funds.
    (5) Disposition of files. After completing action on 
reconsideration, the SPCMCA will forward a copy of the reconsideration 
action to the Commander, USARCS, and retain one or more additional 
copies with the claim file.

[[Page 254]]



Sec. 536.50  Claims based on negligence of military personnel or civilian employees under the Federal Tort Claims Act.

    (a) Authority. The statutory authority for this chapter is the FTCA 
(60 Stat. 842, 28 U.S.C. 2671-2680), as amended by the Act of 18 July 
1966 (Pub. L. 89-506; 80 Stat. 306), the Act of 16 March 1974 (Pub. L. 
93-253; 88 Stat. 50), and the Act of 29 December 1981 (Pub. L. 97-124), 
and as implemented by the Attorney General's Regulations (28 CFR 14.1-
14.11).
    (b) Scope. This section prescribes the substantive basis and special 
procedural requirements for the administrative settlement of claims 
against the United States under the FTCA and the implementing Attorney 
General's Regulations based on death, personal injury, or damage to or 
loss of property which accrue on or after 18 January 1967. If a conflict 
exists between the provisions of this section and the provisions of the 
Attorney General's Regulations, the latter govern.
    (c) Claims payable. Unless otherwise prescribed, claims for death, 
personal injury, or damage to or loss of property (real or personal) are 
payable under this section when the injury or damage is caused by 
negligent or wrongful acts or omissions of military personnel or 
civilian employees of the DA or the DoD while acting within the scope of 
their employment under circumstances in which the United States, if a 
private person, would be liable to the claimant in accordance with the 
law of the place where the act or omission occurred. The FTCA is a 
limited consent to liability without which the United States is immune. 
Similarly, there is no Federal cause of action created by the 
Constitution which would permit a damage recovery because of the Fifth 
Amendment or any other constitutional provision. Immunity must be 
expressly waived, as by the FTCA.
    (d) ``Employee of the Government'' (28 U.S.C. 2671) includes the 
following categories of tortfeasors for which the DA is responsible:
    (1) Military personnel (members of the Army), including but not 
limited to:
    (i) Members on full-time active duty in a pay status, including--
    (A) Members assigned to units performing active service.
    (B) Members serving as ROTC instructors. (Does not include Junior 
ROTC instructors unless on active duty.)
    (C) Members serving as National Guard instructors or advisors.
    (D) Members on duty or in training with other Federal agencies, for 
example, Nuclear Regulatory Commission, National Aeronautics and Space 
Administration, Departments of Defense, State, Navy, or Air Force.
    (E) Members assigned as students or ordered into training at a non-
Federal civilian educational institution, hospital, factory, or other 
industry. This does not include members on excess leave.
    (F) Members on full-time duty at nonappropriated fund activities.
    (G) Members of the ARNG of the United States on active duty.
    (ii) Members of reserve units during periods of inactive duty 
training and active duty training, including ROTC cadets who are 
reservists while they are at summer camp.
    (iii) Members of the ARNG while engaged in training or duty under 32 
U.S.C. 316, 502, 503, 504, or 505 for claims arising on or after 29 
December 1981.
    (2) Civilian officials and employees of both the DOD and the DA 
(there is no practical significance to the distinction between the terms 
``official'' and ``employee'') including but not limited to--
    (i) Civil Service and other full-time employees of both DOD and DA 
paid from appropriated funds.
    (ii) Contract surgeons (10 U.S.C. 1091, 4022) and consultants (10 
U.S.C. 1091) where ``control'' is exercised over physician's day to day 
practice.
    (iii) Employees of nonappropriated funds if the particular fund is 
an instrumentality of the United States and thus a Federal agency. In 
determining whether or not a particular fund is a ``Federal agency,'' 
consider whether the fund is an integral part of the DA charged with an 
essential DA operational function and the degree of control and 
supervision exercised by DA personnel. Members or users, as 
distinguished from employees of nonappropriated funds, are not 
considered

[[Page 255]]

Government employees. The same is true of family child care providers. 
However, claims arising out of the use of certain nonappropriated fund 
property or the acts or omissions of family child care providers, may be 
payable from such funds under chapter 12, AR 27-20, as a matter of 
policy, even when the user is not within the scope of employment and the 
claim is not otherwise cognizable under any other claims authorization.
    (iv) Prisoners of war and interned enemy aliens.
    (v) Civilian employees of the District of Columbia National Guard, 
including those paid under ``service contracts'' from District of 
Columbia funds.
    (vi) Civilians serving as ROTC instructors paid from Federal funds.
    (vii) National Guard technicians employed under 32 U.S.C. 709(a) for 
claims accruing on or after 1 January 1969 (Pub. L. 90-486, 13 August 
1968; 82 Stat. 755).
    (3) Persons acting in an official capacity for the DOD or the DA 
whether temporarily or permanently in the service of the United States 
with or without compensation including but not limited to--
    (i) ``Dollar a year'' personnel.
    (ii) Members of advisory committees, commissions, boards or the 
like.
    (iii) Volunteer workers in an official capacity acting in 
furtherance of the business of the United States. The general rule with 
respect to volunteers is set forth in 31 U.S.C. 665(b), which provides 
that, ``No officer or employee of the United States shall accept 
voluntary service for the United States or employ personal service in 
excess of that authorized by law, except in cases of emergency involving 
the safety of human life or the protection of property.'' (5 U.S.C. 
3111(c) specifically provides that student volunteers employed 
thereunder shall be considered Federal employees for purposes of claims 
under the FTCA. The same classification is applied by 10 U.S.C. 1588 to 
museum and family support program volunteers.) The DA is permitted to 
accept and use certain volunteer services in Army family support 
programs. (10 U.S.C. 1588).
    (iv) Loaned servants. Employees who are permitted to serve another 
employer may be considered ``loaned servants,'' provided the borrowing 
employer has the power to discharge the employee, to control and direct 
the employee, and to decide how he will perform his tasks. Whoever has 
retained those powers is liable for the employee's torts under the 
principle of respondeat superior. Where those elements of direction and 
control have been found, the United States has been liable, for example, 
for the torts of Government employees loaned for medical training and 
emergency assistance, and county and state employees discharging Federal 
programs.
    (e) ``Scope of employment'' means acting in ``line of [military] 
duty'' (28 U.S.C. 2671) and is determined in accordance with principles 
of respondeat superior under the law of the jurisdiction in which the 
act or omission occurred. Determination as to whether a person is within 
a category listed in paragraph (d)(3) of this section will usually be 
made together with the scope determination. Local law should always be 
researched, but the novel aspects of the military relationship should be 
kept in mind in making a scope determination.
    (f) ``Line of duty'' determinations under AR 600-8-1 are not 
determinative of scope of employment. ``Joint venture'' situations are 
likely to be frequent where the Federal employee is performing federally 
assigned duties but is under actual direction and control of a non-
Federal entity, for example, a Federal employee in training at a non-
Federal entity or ROTC instructors at civilian institutions. This could 
also occur where the employee is working for another Federal agency. 
Furthermore, dual purpose situations are commonplace where benefits to 
the Government and the member or employee may or may not be concurrent, 
for example, use of privately owned vehicles at or away from assigned 
duty station, or permanent change of station with delay en route. (See 
Secs. 536.90 through 536.97 for the handling of certain claims arising 
out of nonscope activities of members of the Army.)
    (g) Law applicable. The whole law of the place where the act or 
omission occurred, including choice of law rules, will be applied in the 
determination of

[[Page 256]]

liability and quantum. Where there is a conflict between the local law 
and an express provision of the FTCA, the latter governs.
    (h) Subrogation. Claims involving subrogation will be processed as 
prescribed in Sec. 536.5(b), except where inconsistent with the 
provisions of this section or the Attorney General's regulations.
    (i) Indemnity or contribution-- (1) Sought by the United States. If 
the claim arises under circumstances in which the Government is entitled 
to contribution or indemnity under a contract of insurance or the 
applicable law governing joint tortfeasors, the third party will be 
notified of the claim, and will be requested to honor its obligation to 
the United States or to accept its share of joint liability. If the 
issue of indemnity or contribution is not satisfactorily adjusted, the 
claim will be compromised or settled only after consultation with the 
Department of Justice as provided in 28 CFR 14.6.
    (2) Claims for indemnity or contribution. Claims for indemnity or 
contribution from the United States will be compromised or settled under 
this section, if liability exists under the applicable law, provided the 
incident giving rise to such claim is otherwise cognizable under this 
section. As to such claims where the exclusivity of the FECA may be 
applicable, see 5 U.S.C. 8101-8150.
    (3) ARNG vehicular claims. When a vehicle used by the ARNG, or a 
privately owned vehicle operated by a member or employee of the ARNG, is 
involved in an incident under circumstances which make this section 
applicable to the disposition of administrative claims against the 
United States and results in personal injury, death, or property damage, 
and a remedy against the State or its insurer is indicated, the 
responsible area claims authority will monitor the action against the 
State or its insurer and encourage direct settlement between the 
claimant and the State or its insurer. Where the State is insured, 
direct contact with State or ARNG officials rather than the insurer is 
desirable. Regular procedures will be established and followed wherever 
possible. Such procedures should be agreed on by both local authorities 
and the appropriate claims authorities subject to concurrence by 
Commander, USARCS. Such procedures will be designed to ensure that local 
authorities and United States authorities do not issue conflicting 
instructions for processing claims and that whenever possible and in 
accordance with governing local and Federal law, a mutual arrangement 
for disposition of such claims as in paragraph (i)(4) of this section is 
worked out. Amounts recovered or recoverable by claimant from any 
insurer (other than claimant's insurer who has obtained no subrogated 
interest against the United States) will be deducted from the amount 
otherwise payable.
    (4) Claims arising out of training activities of ARNG personnel. 
Contribution may be sought from the state involved where it has waived 
sovereign immunity or has private insurance which would cover the 
incident giving rise to the particular claim. Where the state involved 
rejects the request for contribution, the file will be forwarded to the 
Commander, USARCS. The Commander, USARCS, is authorized to enter into an 
agreement with a State, territory, or commonwealth to share settlement 
costs of claims generated by the ARNG personnel or activities of that 
political entity.
    (j) Claims not payable. The exclusions contained in 28 U.S.C. 2680 
are applicable to claims herein. Other types of claims are excluded by 
statute or court decisions, including, but not limited to, the 
following:
    (1) Claims for the personal injury or death of a member of the Armed 
Forces of the United States incurred incident to service, or for damage 
to a member's property incurred incident to service. Feres v. United 
States, 340 U.S. 135 (1950). Currently the most significant 
justification for the incident to service doctrine is the availability 
of alternative compensation systems, and the fear of disrupting the 
military command relationship. Other supportive factors often cited by 
the courts are the service member's duty status, location, and receipt 
of military benefits at the time of the incident.
    (i) The exception applies to members of the Army, Navy, Air Force, 
Marine Corps, and Coast Guard, including the Reserve Components of the 
Armed

[[Page 257]]

Forces. (See 10 U.S.C. 261.) The exception also applies to service 
members on the Temporary Disability Retired List, and on convalescent 
leave, to service academy cadets, to members of visiting forces in the 
United States under the SOFA between the parties to the North Atlantic 
Treaty Organization or similar international agreements, and to service 
members on the extended enlistment program.
    (ii) The incident to service doctrine has been extended to 
derivative claims where the directly injured party is a service member. 
Third party indemnity claims are barred.
    (2) Claims for the personal injury or death of a Government employee 
for whom benefits are provided by the Federal Employees Compensation Act 
(5 U.S.C. 8101-8150). Who is a government employee under the Act is 
defined in the Act itself (5 U.S.C. 8101), but is not limited to Federal 
Civil Service employees. The term ``government employee'' can include 
certain ROTC cadets (5 U.S.C. 8140) and state or local law enforcement 
officers engaged in apprehending a person for committing a crime against 
the United States (5 U.S.C. 8191), certain nurses, interns or other 
health care personnel, e.g., student nurses, etc. (5 U.S.C. 5351, 8144) 
and certain Army Community Service Volunteers (10 U.S.C. 1588). This Act 
provides that benefits paid under the Act are exclusive and instead of 
all other liability of the United States, including that under a Federal 
tort liability statute (5 U.S.C. 8116(c)). It extends to derivative 
claims, to subsequent malpractice for treatment of a covered injury, to 
injuries for which there is no scheduled compensation, and to employee 
harassment claims for which other remedies are available (42 U.S.C. 
2000e). The exception does not bar third party indemnity claims. When 
there is doubt as to whether or not this exception applies, the claim 
should be forwarded through claims channels to the Commander, USARCS, 
for an opinion.
    (3) Claims for the personal injury or death of an employee, 
including nonappropriated fund employees, for whom benefits are provided 
by the Longshoremen's and Harbor Workers' Compensation Act (33 U.S.C. 
901-950). An employee of a nonappropriated fund instrumentality is 
covered by that Act (5 U.S.C. 8171). This is the exclusive remedy for 
covered employees, similar to the exclusivity of the FECA.
    (4) Claims for the personal injury or death of any employee for whom 
benefits are provided under any workmen's compensation law, if the 
premiums of the workmen's compensation insurance are retrospectively 
rated and charged as an allowable, allocable expense to a cost-type 
contract. If, in the opinion of an approval or settlement authority, the 
claim should be considered payable, for example, the injuries did not 
result from a normal risk of employment or adequate compensation is not 
payable under workmen's compensation laws, the file will be forwarded 
with recommendations through claims channels to the Commander, USARCS, 
who may authorize payment of an appropriate award.
    (5) Claims for damage from or by flood or flood waters at any place. 
33 U.S.C. 702c. This exception is broadly construed and includes multi-
purpose projects and all phases of construction and operation.
    (6) Claims based solely upon a theory of absolute liability or 
liability without fault. Either a ``negligent'' or ``wrongful'' act is 
required by the FTCA, and some type of malfeasance or nonfeasance is 
required. Dalehite v. United States, 346 U.S. 15 (1953); Laird v. Nelms, 
406 U.S. 797 (1972). Thus, liability does not arise by virtue either of 
United States ownership of an inherently dangerous commodity or of 
engaging in extra-hazardous activity.
    (k) Procedures--(1) General. Unless inconsistent with the provisions 
of this section, the procedures for the investigation and processing of 
claims set forth in Secs. 536.1 through 536.13 will be followed.
    (2) Claims arising out of tortious conduct by ARNG personnel as 
defined in paragraph (d)(1)(iii) of this section--(i) Notification. The 
procedures prescribed in Sec. 536.75, will be followed in ARNG claims 
arising under the FTCA.
    (ii) Claims against the U.S. Government received by agencies of the 
State. These claims will be expeditiously forwarded through the State 
adjutant general to the appropriate U.S. Army area claims

[[Page 258]]

office in whose geographic area the incident occurred.
    (3) Statute of Limitations. (i) To be settled under this section, a 
claim against the United States must be presented in writing to the 
appropriate Federal agency within 2 years of its accrual.
    (ii) For statute of limitations purposes, a claim will be deemed to 
have been presented when the appropriate Federal agency as defined in 
Sec. 536.3(m) receives from a claimant, his or her duly authorized 
agent, or legal representative an executed SF 95 or written notification 
of an incident, together with a claim for money damages, in a sum 
certain, for damage to or loss of property or personal injury or death. 
For Federal tort claims arising out of activities of the ARNG, receipt 
of a written claim by any fulltime officer or employee of the ARNG will 
be considered proper receipt.
    (iii) A claim received by an official of the DOD will be transmitted 
without delay to the nearest Army claims processing office or area 
claims office. Inquiries concerning applicability of the statute of 
limitations to claims filed with the wrong Federal agency will be 
referred to USARCS for resolution.
    (4) Claims within settlement authority of USARCS or the Attorney 
General. A copy of each claim which must be brought to the attention of 
the Attorney General in accordance with his or her regulations (28 CFR 
14.6), or one in which the demand exceeds $15,000 or the total amount of 
all claims, actual or potential, from a single incident exceeds $25,000, 
will be forwarded immediately to the Commander, USARCS. Subsequent 
documents should be forwarded or added in accordance with 
Sec. 536.5(h)(2). USARCS is responsible for the monitoring and 
settlement of such claims and will be kept informed of the status of the 
investigation and processing thereof. Direct liaison and correspondence 
between USARCS and the field claims authority or investigator is 
authorized on all claims matters, and assistance will be furnished as 
required.
    (5) Non-Army claims. Claims based on acts or omissions of employees 
of the United States, other than military and civilian personnel of the 
DA, civilian personnel of the DOD, and employees of nonappropriated fund 
activities of the DA, will be transmitted forthwith to the nearest 
official of the employing agency, and the claimant will be advised of 
the referral.
    (6) Acknowledgment of claim. (i) The claimant and his or her 
attorney will be kept informed by personal contact, telephonic contact, 
or mail of the receipt of his or her claim and the status of the claim. 
Formal acknowledgment of the claim in writing is required only where the 
claim is likely to result in litigation or is presented in an amount 
exceeding $15,000. In this event, the letter of acknowledgment will 
state the date of receipt of the claim by the first agency of the Army 
receiving the claim.
    (ii) If it is reasonably clear to the office acknowledging receipt 
that a claim filed under the FTCA is not cognizable thereunder; for 
example, it is a maritime claim under Sec. 536.60, or it falls under 
Secs. 536.20 through 536.35 or Secs. 536.70 through 536.81, the 
acknowledgment will contain a statement advising the claimant of the 
statute under which his or her claim will be processed. If it is not 
clear which statute applies, a statement to that effect will be made, 
and the claimant will be promptly advised on his or her remedy when a 
decision is made. However, all potential maritime claims will be handled 
in accordance with Sec. 536.5(h)(5).
    (iii ) When a claim has been amended as set forth in 
Sec. 536.5(f)(4), the amendment will be acknowledged in all cases. 
Additionally, the claimant will be informed that the amendment 
constitutes a new claim insofar as concerns the 6 months in which the DA 
is granted the authority to make a final disposition under 28 U.S.C. 
2675(a) and the claimant's option thereunder will not accrue until 6 
months after the filing of the amendment.
    (iv) When a claim is improperly presented, is incomplete or 
otherwise does not meet the requirements set forth in Sec. 536.5(d), the 
claimant or his or her representative will be promptly informed in 
writing of the deficiencies and advised that a proper claim must be 
filed within the 2 year statute of limitations.

[[Page 259]]

    (7) Investigation. Claims cognizable under this section will be 
investigated and processed on a priority basis in order that settlement 
if indicated may be accomplished within the 6 months prescribed by 
statute.
    (8) Advice to claimant. (i) A full explanation of claims procedures 
and of the rights of the claimant will be made to the extent 
necessitated by the amount and nature of the claim.
    (ii) In a case where litigation is likely, or where this course of 
action is preferred by the claimant, and it appears to be a proper case 
for administrative settlement, the claimant will be advised as to the 
advantages of administrative settlement. If the claim is within the 
jurisdiction of a higher settlement authority, the claim will be 
discussed with such authority prior to the furnishing of such advice. 
The claimant should be familiarized with all aspects of administrative 
settlement procedures including the administrative channels through 
which his claim must be processed for approval. He or she may be advised 
that administrative processing can result in more expeditious 
processing, whereas litigation may take considerable time, particularly 
in jurisdictions with crowded dockets.
    (iii) If appropriate, he or she may be informed that a tentative 
settlement can be reached for any amount above $25,000, subject to 
approval by the Attorney General. He or she should be advised that 
administrative filing of the claim protects him under the statute of 
limitations for purpose of litigation; suit can be filed within 6 months 
after the date of mailing of notice of final denial by the DA, thus 
potentially allowing negotiations to continue indefinitely. An attorney 
representing a claimant should be advised of the limitations on fees for 
purposes of administrative settlement (20 percent) and litigation (25 
percent). The attorney may also be advised that there is no jury trial 
under the FTCA.
    (9) Notification to claimant of action on claim. (i) The filing of 
an administrative claim and its denial are prerequisite to filing suit. 
Any suit must be filed not later than 6 months after notification by 
certified or registered mail of the denial of the administrative claim. 
Failure of a settlement authority to take final action on a properly 
filed claim within 6 months may be treated by the claimant as a final 
denial for the purposes of filing suit. If the claimant has provided 
insufficient documentation to permit evaluation of the claim, written 
notice should be given to this effect. Since administrative settlements 
are a voluntary process, the preferred method of negotiating is to 
attempt to exchange information on an open basis.
    (ii) Upon final denial of a claim, or upon rejection by the claimant 
of a partial allowance, and further efforts to reach a settlement are 
not considered feasible (Sec. 536.5(h)(1)), the settlement authority 
will inform the claimant of the action on his claim by certified or 
registered mail. Notification will be made as set forth in 
Sec. 536.11(b).
    (iii) If a claim has been presented to the DA and, also, to other 
Federal agencies, without any notification to the DA of this fact, final 
action taken by the DA prior to that of any other agency is conclusive 
on a claim presented to other agencies, unless another agency decides to 
take further action to settle the claim. Such agency may treat the 
matter as a reconsideration under 28 CFR 14.9(b), unless suit has been 
filed. The foregoing applies likewise to DA claims in which another 
Federal Agency has already taken final action.
    (iv) If, after final denial by another agency, a claim is filed with 
the DA, the new submission will not toll the 6 months limitation for 
filing suit, unless the DA treats the second submission as a request for 
reconsideration under paragraph (k)(9)(iv)(A) of this section.
    (A) Reconsideration. (1) While there is no appeal from the action of 
an approving or settlement authority under the FTCA and this section, an 
approving or settlement authority may reconsider a claim upon request of 
the claimant or someone acting in his behalf. Even in the absence of 
such a request, an approving or settlement authority may on his own 
initiative reconsider a claim. He may reconsider a claim which he 
previously disapproved in whole or in part (even where a settlement 
agreement has been executed)

[[Page 260]]

when it appears that his original action was incorrect in law or fact 
based on the evidence of record at the time of the action or 
subsequently received. If he determines that his original action was 
incorrect, he will modify the action and, if appropriate, make a 
supplemental payment. The basis for a change in action will be stated in 
a memorandum included in the file.
    (2) A successor approving or settlement authority may also 
reconsider the original action on a claim but only on the basis of 
fraud, substantial new evidence, errors in calculation or mistake 
(misinterpretation) of law.
    (3) A request for reconsideration must be submitted prior to the 
commencement of suit and prior to the expiration of the 6-month period 
provided in 28 U.S.C. 2401(b). Upon timely filing, the appropriate 
authority shall have 6 months from the date of filing in which to make a 
final disposition of the request, and the claimant's option under 28 
U.S.C. 2675(a) shall not accrue until 6 months after the filing of the 
request.
    (4) A request for reconsideration should indicate fully the legal or 
factual basis asserted as grounds for relief. Following completion of 
any investigation or other action deemed necessary for an informed 
disposition of the request, the approving or settlement authority will 
reconsider the claim and attempt to settle it by granting such relief as 
may appear warranted. When further settlement efforts appear 
unwarranted, the entire file with a memorandum of opinion will be 
referred through claims channels to the Commander, USARCS, and the 
claimant informed of such referral.
    (B) [Reserved]



Sec. 536.60  Maritime claims.

    (a) Statutory authority. Administrative settlement or compromise of 
admiralty and maritime claims in favor of and against the United States 
by the Secretary of the Army or his designee is authorized by the Army 
Maritime Claims Settlement Act (10 U.S.C. 4801-04, 4806, as amended).
    (b) Related statutes. The Army Maritime Claims Settlement Act is 
supplemented by the following statutes under which suits in admiralty 
may be brought: the Suits in Admiralty Act of 1920 (41 Stat. 525, 46 
U.S.C. 741-752); the Public Vessels Act of 1925 (43 Stat. 1112, 46 
U.S.C. 781-790); the Act of 1948 Extending the Admiralty and Maritime 
Jurisdiction (62 Stat. 496, 46 U.S.C. 740). Similar maritime claims 
settlement authority is exercised by the Department of the Navy under 10 
U.S.C. 7365, 7621-23 and by the Department of the Air Force under 10 
U.S.C. 9801-9804, 9806.
    (c) Scope. 10 U.S.C. 4802 provides for the settlement or compromise 
of claims for--
    (1) Damage caused by a vessel of, or in the service of, the DA or by 
other property under the jurisdiction of the DA;
    (2) Compensation for towage and salvage service, including contract 
salvage, rendered to a vessel of, or in the service of, the DA or to 
other property under the jurisdiction of the DA; or
    (3) Damage caused by a maritime tort committed by any agent or 
employee of the DA or by property under the jurisdiction of the DA.
    (d) Claims exceeding $500,000. Claims against the United States 
settled or compromised in a net amount exceeding $500,000 are not 
payable hereunder, but will be investigated and processed under this 
section, and, if approved by the Secretary of the Army, will be 
certified by him to Congress.
    (e) Claims not payable. A claim is not allowable under this section 
which:
    (1) Is for damage to, or loss or destruction of, property, or for 
personal injury or death, resulting directly or indirectly from action 
by the enemy, or by U.S. Armed Forces engaged in armed combat, or in 
immediate preparation for impending armed combat.
    (2) Is for personal injury or death of a member of the Armed Forces 
of the United States or a civilian employee incurred incident to his 
service.
    (3) Is for personal injury or death of a Government employee for 
whom benefits are provided by the FECA (5 U.S.C. 8101-8150).
    (4) Is for personal injury or death of an employee, including 
nonappropriated fund employees, for whom benefits are provided by the 
Longshoremen's and Harbor Workers' Compensation Act (44 Stat. 1424, 33 
U.S.C. 901).

[[Page 261]]

    (5) Has been made the subject of a suit by or against the United 
States, except as provided in subparagraph (h)(2) of this section.
    (6) Arises in a foreign country and was considered by the 
authorities of a foreign country and final action taken thereon under 
Article VIII of the NATO Status of Forces Agreement, Article XVIII of 
the Treaty of Mutual Cooperation and Security between the United States 
and Japan regarding facilities and areas and the Status of United States 
Armed Forces in Japan, or other similar treaty or agreement, if 
reasonable disposition was made of the claim.
    (f) Claims under other laws and regulations. (1) Claims of military 
personnel and civilian employees of the DOD and the Army, including 
military and civilian officers and crews of Army vessels, for damage to 
or loss of personal property occurring incident to their service will be 
processed under the provisions of the Military Personnel and Civilian 
Employees' Claims Act (31 U.S.C. 3721).
    (2) Claims which are within the scope of this section and also 
within the scope of the FCA (10 U.S.C. 2734) may be processed under that 
statute when specific authority to do so has been obtained from the 
Commander, USARCS. The request for such authority should be accompanied 
by a copy of the report of the incident by the Marine Casualty 
Investigating Officer, or other claims investigator.
    (g) Subrogation. (1) An assurer will be recognized as a claimant 
under this section to the extent that it has become subrogated by 
payment to, or on behalf of, its assured, pursuant to a contract of 
insurance in force at the time of the incident from which the claim 
arose. An assurer and its assured may file a claim either jointly or 
separately. Joint claims must be asserted in the names of, and must be 
signed by, or on behalf of, all parties; payment then will be made 
jointly. If separate claims are filed, payment to each party will be 
limited to the extent of such party's undisputed interest.
    (2) For the purpose of determining authority to settle or compromise 
a claim, the payable interests of an assurer (or assurers) and the 
assured represent merely separable interests, which interests in the 
aggregate must not exceed the amount authorized for administrative 
settlement or compromise.
    (3) The policies set forth in paragraphs (g) (1) and (2) of this 
section with respect to subrogation arising from insurance contracts are 
applicable to all other types of subrogation.
    (h) Limitation of settlement. (1) The period for effecting an 
administrative settlement under the Army Maritime Claims Settlement Act 
is subject to the same limitation as that for beginning an action under 
the Suits in Admiralty Act; that is, a 2-year period from the date of 
the origin of the cause of action. The claimant must have agreed to 
accept the settlement, and it must be approved for payment by the 
Secretary of the Army or his designee prior to the end of such period; 
otherwise, thereafter the cause of action ceases to exist, except under 
the circumstances set forth in paragraph (h)(2) of this section. The 
presentation of a claim, or its consideration by the DA, neither waives 
nor extends the 2-year limitation period.
    (2) In the event that an action has been filed in a U.S. district 
court before the end of the 2-year statutory period, an administrative 
settlement may be negotiated by the Commander, USARCS, with the 
claimant, even though the 2-year period has elapsed since the cause of 
action accrued, provided the claimant obtains the written consent of the 
appropriate office of the Department of Justice charged with the defense 
of the complaint. Payment may be made upon dismissal of the complaint.
    (3) When a claim under this section, notice of damage, invitation to 
a damage survey, or other written notice of an intention to hold the 
United States liable is received, the receiving installation, office, or 
person immediately will forward such document to the Commander, USARCS. 
USARCS will promptly advise the claimant or potential claimant in 
writing of the comprehensive application of the time limit.
    (4) When a claim under this section for less than $10,000 is 
presented to a Corps of Engineers office and thus may be appropriate for 
action by the Corps

[[Page 262]]

of Engineers pursuant to the delegation of authority set forth in 
paragraph (i)(2) of this section, the receiving Corps of Engineers 
office will promptly advise the claimant in writing of the comprehensive 
application of the time limit (unless such has already been done by 
USARCS).
    (i) Delegation of authority. (1) Where the amount to be paid is not 
more than $10,000, claims under this section may be settled or 
compromised by the Commander, USARCS, chief of overseas command claims 
service, or his designee.
    (2) When a claim under this section arises from a civil works 
activity of the Corps of Engineers, engineer area claims offices are 
delegated authority to approve and pay in full, or in part, subject to 
the execution of an appropriate settlement agreement, claims presented 
for $10,000 or less, and compromise and pay claims regardless of the 
amount claimed, provided an award of $10,000 or less is accepted by the 
claimant in full satisfaction and final settlement of the claim, subject 
to such limitations as may be imposed by the Chief of Engineers. 
Meritorious claims arising from civil works activities of the Corps of 
Engineers will be paid from Corps of Engineers funds.



 Subpart C--Claims Arising From Activities of National Guard Personnel 
                    While Engaged in Duty or Training



Sec. 536.70  Statutory authority.

    The statutory authority for this chapter is contained in the Act of 
13 September 1960 (74 Stat. 878, 32 U.S.C. 715), commonly referred to as 
the National Guard Claims Act (NGCA), as amended by Public Law 90-486, 
13 August 1968 (82 Stat. 756), Public Law 90-525, 26 September 1968 (82 
Stat. 877), Public Law 91-312, 8 July 1970 (84 Stat. 412), and Public 
Law 93-336, 8 July 1974, (88 Stat. 291); and the Act of 8 September 1961 
(75 Stat. 488, 10 U.S.C. 2736) as amended by Public Law 90-521, 26 
September 1968 (82 Stat. 874), Public Law 97-124, 29 December 1981 (95 
Stat. 1666), and Public Law 98-564, 30 October 1984 (98 Stat. 2918).



Sec. 536.71  Definitions.

    For purposes of Secs. 536.70 to 536.81 the following terminology 
applies:
    (a) ARNG personnel. A member of the ARNG engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709.
    (b) Claimant. An individual, partnership, association, corporation, 
country, State, Commonwealth, territory or a political subdivision 
thereof, or the District of Columbia, presenting a claim and meeting the 
conditions set forth in Sec. 536.5. The term does not include the U.S. 
Government, any of its instrumentalities, except as prescribed by 
statute, or a State, commonwealth, territory or the District of Columbia 
which maintains the unit to which the ARNG personnel causing the injury 
or damage are assigned. This exclusion does not ordinarily apply to a 
unit of local government which does not control the ARNG organization 
involved. As a general rule, a claim by a unit of local government other 
than a State, commonwealth or territory will be entertained unless the 
item claimed to be damaged or lost was procured or maintained by State, 
commonwealth, or territorial funds.



Sec. 536.72  Scope.

    (a) Sections 536.70 through 536.81 apply in all places and set forth 
the procedures to be followed in the settlement and payment of claims 
for death, personal injury, or damage to or loss or destruction of 
property caused by members or employees of the ARNG, or arising out of 
the noncombat activities of the ARNG when engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709, provided such claim is 
not for personal injury or death of a member of the Armed Forces or 
Coast Guard, or a civilian officer or employee whose injury or death is 
incident to service.
    (b) A claimant dissatisfied with an administrative settlement under 
Secs. 536.70 through 536.81 as the result of activities of the ARNG of a 
State, Commonwealth, or territory is not entitled to judicial relief in 
an action against the United States. Whether he or she has a legal cause 
of action or may file an administrative claim

[[Page 263]]

against such a political entity depends upon controlling local law.
    (c) Claims arising out of activities of the ARNG when performing 
duties at the call of the governor of a State maintaining the unit are 
not cognizable under Secs. 536.70 through 536.81 or any other law, 
regulation or appropriation available to the Army for the payment of 
claims. Such claims should be returned or referred to the authorities of 
the State for whatever action they choose to take, and claimants should 
be informed of the return or referral. Care should be taken to determine 
the status of the unit and members at the time the claims incident 
occurred, particularly in civil emergencies as units called by the 
governor are sometimes ``federalized'' during the call-up. If the unit 
was ``federalized'' at the time the claim incident occurred, the claim 
will be cognizable under Secs. 536.20 through 536.35, 536.50, or 536.90 
through 536.97 or other sections pertaining to the Active Army.



Sec. 536.73  Claims payable.

    (a) Tort claims. All claims for personal injuries, death, or damage 
to or loss of real or personal property, arising out of incidents 
occurring on or after 29 December 1981, based on negligent or wrongful 
acts or omissions of ARNG personnel acting within the scope of 
employment, within the United States while engaged in training or duty 
under 32 U.S.C. 316, 502, 503, 504, 505, or 709 will be processed under 
the FTCA, Sec. 536.50. Such claims arising before 29 December 1981 will, 
except as modified herein, be processed and settled in accordance with 
the provisions of Secs. 536.20 through 536.35.
    (b) Noncombat activities. A claim incident to the noncombat 
activities of the ARNG while engaged in duty or training under 32 U.S.C. 
316, 502, 503, 504, 505, or 709 may be settled under Secs. 536.70 
through 536.81. ``Noncombat activities'' are defined in Sec. 536.3.
    (c) Subrogated claims. Subrogated claims will be processed as 
prescribed in Sec. 536.5(b).
    (d) Advance payments. Advance payments in partial settlement of 
meritorious claims to alleviate immediate hardship are authorized as 
provided in Sec. 536.13.



Sec. 536.74  Claims not payable.

    The type of claims listed in Sec. 536.24 as not payable are also not 
payable under Secs. 536.70 through 536.81.



Sec. 536.75  Notification of incident.

    Except where claims are regularly paid from State sources, for 
example, insurance, court of claims, legislative committee, etc., the 
appropriate adjutant general will ensure that each incident which may 
give rise to a claim cognizable under Secs. 536.70 through 536.81 is 
reported immediately by the most expeditious means to the area claims 
office in whose geographic area the incident occurs or to a claims 
processing office designated by the area claims office. The report will 
contain the following information:
    (a) Date of incident.
    (b) Place of incident.
    (c) Nature of incident.
    (d) Names and organizations of ARNG personnel involved.
    (e) Names of potential claimant(s).
    (f) A brief description of any damage, loss, or destruction of 
private property, and any injuries or death of potential claimants.



Sec. 536.76  Claims in which there is a State source of recovery.

    Where there is a remedy against the State, as a result of either 
waiver of sovereign immunity or where there is liability insurance 
coverage, the following procedures apply:
    (a) Where the State is insured, direct contact with State or ARNG 
officials rather than the insurer is desirable. Regular procedures will 
be established and followed wherever possible. Such procedures should be 
agreed on by both local authorities and the appropriate claims 
authorities subject to concurrence by the Commander, USARCS. Such 
procedures will be designed to ensure that local authorities and U.S. 
authorities do not issue conflicting instructions for processing claims, 
and whenever possible and in accordance with governing local and Federal 
law, a mutual arrangement for disposition of such claims as in paragraph 
(c) of this section is worked out. Amounts recovered or recoverable by 
claimant from any insurer (other than claimant's insurer who has 
obtained no subrogated

[[Page 264]]

interest against the United States) will be deducted from the amount 
otherwise payable.
    (b) If there is a remedy against the State or its insurer, the 
claimant may be advised of that remedy. If the payment by the State or 
its insurer does not fully compensate claimant, an additional payment 
may be made under Secs. 536.70 through 536.81. If liability is clear and 
claimant settles with the State or its insurer for less than the maximum 
amount recoverable, the difference between the maximum amount 
recoverable from the State or its insurer and the settlement normally 
will be also deducted from the payment by the United States.
    (c) If the State or its insurer desires to pay less than their 
maximum jurisdiction or policy limit on a basis of 50 percent or more of 
the actual value of the entire claim, any payment made by the United 
States must be made directly to the claimant. This can be accomplished 
by either having the United States pay the entire claim and have the 
State or its insurer reimburse its portion to the United States, or by 
having each party pay its agreed share directly to the claimant. If the 
State or its insurer desires to pay less than 50 percent of the actual 
value of the claim, the procedure set forth in paragraph (d) of this 
section will be followed.
    (d) If there is a remedy against the State and the State refuses to 
make payment, or there is insurance coverage and the claimant has filed 
an administrative claim against the United States, forward file with a 
memorandum of opinion to the Commander, USARCS, including information as 
to the status of any judicial or administrative action the claimant has 
taken against the State or its insurer. The Commander, USARCS, will 
determine whether the claimant will be required to exhaust his remedy 
against the State or its insurer, or whether the claim against the 
United States can be settled without such requirement. If the Commander, 
USARCS, determines to follow the latter course of action, he will also 
determine whether an assignment of the claim against the State or its 
insurer will be obtained and whether recovery action will be taken. The 
State or its insurer will be given appropriate notification in 
accordance with State law necessary to obtain contribution of 
indemnification.



Sec. 536.77  Claims against the ARNG tortfeasor individually.

    The procedures set forth in Sec. 536.9(f) are applicable. With 
respect to claims arising before 29 December 1981, an ARNG driver acting 
pursuant to the authorities cited in Sec. 536.73(a) is not protected by 
the provisions of the Drivers Act (28 U.S.C. 2670(b)) and the driver may 
be sued individually in State court. When this situation occurs, it 
should be monitored closely by ARNG authorities. If possible an early 
determination will be made as to whether any private insurance of the 
ARNG tortfeasor is applicable. Where such insurance is applicable and 
the claim against the United States is of doubtful validity, final 
actions will be withheld pending resolution of the demand against the 
ARNG tortfeasor. If, in the opinion of the claims approving or 
settlement authority, such insurance is applicable and the claim against 
the United States is payable in full or in a reduced amount, settlement 
efforts will be made either together with the insurer or singly by the 
United States. Any settlement will not include amounts recovered or 
recoverable as in Sec. 536.9. If the insurance is not applicable, 
settlement or disapproval action will proceed without further delay.



Sec. 536.78  When claim must be presented.

    A claim may be settled under Secs. 536.70 through 536.81 only if 
presented in writing within 2 years after it accrues, except that if it 
accrues in time of war or armed conflict, or if war or armed conflict 
intervenes within 2 years after it accrues, and if good cause is shown, 
the claim may be presented not later than 2 years after war or armed 
conflict is terminated. As used in this section, a war or armed conflict 
is one in which any Armed Force of the United States is engaged. The 
dates of commencement and termination of an armed conflict must be 
established by concurrent resolution of Congress or by determination of 
the President.

[[Page 265]]



Sec. 536.79  Where claim must be presented.

    A claim must be presented to the appropriate Federal agency. Receipt 
of a written claim by any full time officer or employee of the National 
Guard will be considered receipt. However, the statute of limitations is 
tolled if a claim is filed with a State agency, the claim purports to be 
under the NGCA and it is forwarded to the Army within 6 months, or the 
claimant makes inquiry of the Army concerning the claim within 6 months. 
If a claim is received by a DA official who is not a claims approval or 
settlement authority, the claim will be transmitted without delay to the 
nearest approval or settlement authority.



Sec. 536.80  Procedures.

    (a) The form of a claim under Secs. 536.70 through 536.81 will be as 
described in Sec. 536.5 (d) and (e).
    (b) So far as they are not inconsistent with Secs. 536.70 through 
536.81, the guidance set forth in Secs. 536.10 through 536.12 will be 
followed in processing a claim under Secs. 536.70 through 536.81.
    (c) The following provisions are applicable to claims under 
Secs. 536.70 through 536.81 and are hereby incorporated by reference:
    (1) Sec. 536.28 (applicable law);
    (2) Sec. 536.29 (determination of quantum);
    (3) Sec. 536.31 (claims over $100,000);
    (4) Sec. 536.32 (settlement procedures);
    (5) Sec. 536.33 (attorney fees).



Sec. 536.81  Settlement agreement.

    Procedures concerning settlement agreements will be in accordance 
with Sec. 536.10, except that the agreement will be modified to include 
a State and its National Guard in most cases. A copy of the agreement 
will be furnished to State authorities and the individual tortfeasor.



   Subpart D--Claims Incident to Use of Government Vehicles and Other 
      Property of the United States Not Cognizable Under Other Law



Sec. 536.90  Statutory authority.

    The statutory authority for Secs. 536.90 through 536.97 is contained 
in the act of 9 October 1962 (76 Stat. 767, 10 U.S.C. 2737). This 
statute is commonly called the ``Nonscope Claims Act.'' For the purposes 
of Secs. 536.90 through 536.97, a Government installation is a facility 
having fixed boundaries owned or controlled by the Government, and a 
vehicle includes every description of carriage or other artificial 
contrivance used, or capable of being used, as a means of transportation 
on land (1 U.S.C. 4).



Sec. 536.91  Scope.

    (a) Sections 536.90 through 536.97 prescribe the substantive bases 
and special procedural requirements for the administrative settlement 
and payment, in an amount not more than $1,000, of any claim against the 
United States not cognizable under any other provision of law for damage 
to or loss of property, or for personal injury or death, caused by 
military personnel or civilian employees of the DA or by civilian 
employees of the DoD incident to the use of a United States vehicle at 
any place or incident to the use of other United States property on a 
Government installation.
    (b) Any claim in which there appears to be a disputed issue relating 
to whether the employee was acting within the scope of employment will 
be considered under Secs. 536.20 through 536.35, Sec. 536.50, or 
Secs. 536.70 through 536.81 as applicable. Only when all parties, to 
include an insurer, agree that there is no ``in scope'' issue will 
Secs. 536.90 through 536.97 be used.



Sec. 536.92  Claims payable.

    (a) General. A claim for personal injury, death, or damage to or 
loss of

[[Page 266]]

property, real or personal, is payable under Secs. 536.90 through 536.97 
when
    (1) Caused by the act or omission, negligent, wrongful, or otherwise 
involving fault, of military personnel of the DA or the ARNG, or 
civilian employees of the DA or the ARNG--
    (i) Incident to the use of a vehicle of the United States at any 
place.
    (ii) Incident to the use of any other property of the United States 
on a Government installation.
    (2) The claim may not be settled under any other claims statute and 
claims regulation available to the DA for the administrative settlement 
of claims.
    (3) The claim has been determined to be meritorious, and the 
approval or settlement authority has obtained a settlement agreement in 
an amount not in excess of $1,000 in full satisfaction of the claim 
prior to approval of the claim for payment.
    (b) Personal injury or death. A claim for personal injury or death 
is allowable only for the cost of reasonable medical, hospital, or 
burial expenses actually incurred and not otherwise furnished or paid by 
the United States.
    (c) Property loss or damage. A claim for damage to or loss of 
property is allowable only for the cost of reasonable repairs or value 
at time of loss, whichever is less.



Sec. 536.93  Claims not payable.

    A claim is not allowable under Secs. 536.90 through 536.97 that--
    (a) Results wholly or partly from the negligent or wrongful act of 
the claimant, his or her agent or employee. The doctrine of comparative 
negligence is not applicable.
    (b) Is for medical, hospital, and burial expenses furnished or paid 
by the United States.
    (c) Is for any element of damage pertaining to personal injuries or 
death other than provided in Sec. 536.92(b). All other items of damage, 
for example, compensation for loss of earnings and services, diminution 
of earning capacity, anticipated medical expenses, physical 
disfigurement, and pain and suffering, are not payable.
    (d) Is for loss of use of property or for the cost of a substitute 
property, for example, a rental.
    (e) Is legally recoverable by the claimant under an indemnifying law 
or indemnity contract. If the claim is legally recoverable in part, that 
part recoverable by the claimant is not payable.
    (f) Is a subrogated claim.



Sec. 536.94  When claim must be presented.

    A claim may be settled under Secs. 536.90 through 536.97 only if it 
is presented in writing within 2 years after it accrues.



Sec. 536.95  Procedures.

    So far as not inconsistent with Secs. 536.90 through 536.97, the 
procedures for the investigation and processing of claims contained in 
Secs. 536.1 through 536.13 will be followed.



Sec. 536.96  Settlement agreement.

    A claim may not be paid under Secs. 536.90 through 536.97 unless the 
amount tendered is accepted by the claimant in full satisfaction. A 
settlement agreement (Sec. 536.10) is required before payment.



Sec. 536.97  Reconsideration.

    (a) An approval or settlement authority may reconsider the quantum 
of a claim upon request of the claimant or someone acting in his behalf. 
In the absence of such a request, an approval or settlement authority 
may on his own initiative reconsider the quantum of a claim. 
Reconsideration may occur even in a claim which was previously 
disapproved in whole or in part (even though a settlement agreement has 
been executed) when it appears that his or her original action was 
incorrect in law or fact based on the evidence of record at the time of 
the action or subsequently received. If he or she determines that the 
original action was incorrect, he or she will modify the action and, if 
appropriate, make a supplemental payment. If the original action is 
determined correct, the claimant will be so notified. The basis for 
either action will be stated in a memorandum included in the file.
    (b) An approval or settlement authority may reconsider the 
applicability of Secs. 536.90 through 536.97 to a claim upon request of 
the claimant or someone

[[Page 267]]

acting in his behalf, or on his own initiative. Such reconsideration may 
occur even though all parties had previously agreed per Sec. 536.91(b) 
when it appears that this agreement was incorrect in law or fact based 
on the evidence of record at the time of the agreement or subsequently 
received. If he or she determines the agreement to be incorrect, the 
claim will be reprocessed under the applicable sections of this 
regulation. If he or she determines the agreement to have been correct, 
that is, that Secs. 536.90 through 536.97 are applicable, he or she will 
so advise the claimant. This advice will include reference to any appeal 
or judicial remedies available under the section which the claimant 
alleges the claim should be processed under.
    (c) A successor or higher approval or settlement authority may also 
reconsider the original action on a claim as in paragraph (a) or (b) of 
this section, but only on the basis of fraud substantial new evidence, 
errors in calculation or mistake (misinterpretation) of law.
    (d) A request for reconsideration should indicate fully the legal or 
factual basis asserted as grounds for relief.



PART 537--CLAIMS ON BEHALF OF THE UNITED STATES--Table of Contents




  Subpart A--Claims for Damage to or Loss or Destruction of Army (DA) 
                                Property

Sec.
537.1  General.
537.2  Recovery of property unlawfully detained by civilians.
537.6  Maritime casualties; claims in favor of the United States.
537.7  Maritime claims.

Subpart B--Claims for the Reasonable Value of Medical Care Furnished by 
                                the Army

537.21  General.
537.22  Basic considerations.
537.23  Predemand procedures.
537.24  Post demand procedures.

    Authority: 10 U.S.C. 3012; sections 537.21 through 537.24 issued 
under 42 U.S.C. 2651-2653;

    Source: 54 FR 43914, Oct. 27, 1989, unless otherwise noted.



  Subpart A--Claims for Damage to or Loss or Destruction of Army (DA) 
                                Property



Sec. 537.1  General.

    (a) Purpose. This section prescribes, within the limitations 
indicated in AR 27-20 (AR 27-20 and other Army Regulations referenced 
herein are available thru: National Technical Information Services, U.S. 
Department of Commerce, 5285 Port Royal Road, Springfield, VA 22161), 
and in paragraph (b) of this section, the procedures for the 
investigation, determination, assertion, and collection, including 
compromise and termination of collection action, of claims in favor of 
the United States for damage to or loss or destruction of Department of 
the Army (DA) property.
    (b) Applicability and scope. (1) Other regulations establish systems 
of property accountability and responsibility; prescribe procedures for 
the investigation of loss, damage, or destruction by causes other than 
fair wear and tear in the service; and provide for the administrative 
collection of charges against military and civilian personnel of the 
United States, contractors and common carriers, and other individuals 
and legal entities from whom collection may be made without litigation. 
When the investigation so prescribed results in preliminary indication 
of pecuniary liability, and no other method of collection is provided, 
the matter is referred for action under this section. This relationship 
exists with regard to--
    (i) Property under the control of the DA.
    (ii) Property of the Defense Logistics Agency in the custody of the 
DA.
    (iii) Property of nonappropriated funds of the DA (except Army and 
Air Force Exchange Service property unless a special agreement exists). 
See AR 215-1 and AR 215-2.
    (iv) Federal property made available to the Army National Guard 
(ARNG).
    (2) This section does not apply to--
    (i) Claims arising from marine casualties.
    (ii) Claims for damage to property funded by civil functions 
appropriations.

[[Page 268]]

    (iii) Claims for damage to property of the DA and Air Force Exchange 
Service.
    (iv) Reimbursements from agencies and instrumentalities of the 
United States for damage to property.
    (v) Collection for damage to property by offset against the pay of 
employees of the United States, or against amounts owed by the United 
States to common carriers, contractors, and States.
    (vi) Claims by the United States against carriers, warehousemen, 
insurers, and other third parties for amounts paid in settlement of 
claims by members and employees of the Army, or the Department of 
Defense (DOD), for loss, damage, or destruction of personal property 
while in transit or storage at Government expense.
    (3) The commander of a major overseas command, as defined in 
paragraph (c)(5) of this section, is authorized to establish procedures 
for the processing of claims in favor of the United States for loss, 
damage, or destruction of property which may, to the extent deemed 
necessary, modify the procedures prescribed herein. Two copies of all 
implementing directives will be furnished Commander, U.S. Army Claims 
Service (USARCS). Procedures will be prescribed--
    (i) To carry out the provisions of DOD Directive No. 5515.8, 
assigning single service claims responsibility.
    (ii) To carry out provisions of treaties and other international 
agreements which limit or provide special methods for the recovery of 
claims in favor of the United States.
    (c) Definitions. For the purpose of this section only, the following 
terms have the meaning indicated:
    (1) Claim. The Government's right to compensation for damage caused 
to Army property.
    (2) Prospective defendant. An individual, partnership, association, 
corporation, governmental body, or other legal entity, foreign or 
domestic, except an instrumentality of the United States, against whom 
the United States has a claim.
    (3) Damage. A comprehensive term, including not only damage to, but 
also loss or destruction of Army property.
    (4) DA property. Real or personal property of the United States or 
its instrumentalities and, if the United States is responsible therefor, 
real or personal property of a foreign government, which is in the 
possession or under the control of the DA, one of its instrumentalities, 
or the ARNG, including that property of an activity for which the Army 
has been designated the administrative agency, and that property located 
in an area in which the Army has been assigned single service claims 
responsibility by appropriate DOD directive.
    (5) Major overseas command. U.S. Army Europe; U.S. Army Forces 
Southern Command; Eighth U.S. Army, Korea; Western Command; and any 
command outside the continental limits of the contiguous States 
specially designated by The Judge Advocate General (TJAG) under the 
provisions of AR 27-20.
    (6) Area Claims Office. The principal office for the investigation, 
assertion, adjudication and settlement of claims, staffed with qualified 
legal personnel under the supervision of a Staff Judge Advocate (SJA) or 
Command Judge Advocate or Corps of Engineers district or Command Legal 
Counsel under provisions of AR 27-20.
    (7) Recovery judge advocate (RJA). A JAGC officer or legal adviser 
responsible for assertion and collection of claims in favor of the 
United States for medical expenses and property damage.
    (d) Limitation of time. The Act of July 18, 1966 (80 Stat. 304, 28 
U.S.C. 2415) established a 3-year statute of limitations, effective July 
19, 1966, upon actions in favor of the United States for money damages 
founded upon a tort. In computing periods of time excluded under 28 
U.S.C. 2416, the RJA concerned shall be deemed the official charged with 
responsibility and will ensure that action may be brought in the name of 
the United States within the limitation period.
    (e) Foreign prospective defendants. Except as indicated below, 
claims within the scope of this section against foreign prospective 
defendants will be investigated, processed, and asserted without regard 
to the nationality of the prospective defendant. Claims against an 
international organization,

[[Page 269]]

a foreign government or a political subdivision, agency, or 
instrumentality thereof, or against a member of the armed forces or an 
official or civilian employee of such international organization or 
foreign government, will not be asserted without prior approval of TJAG. 
Investigation and report thereof, together with recommendations 
regarding assertion and enforcement, will be forwarded through command 
channels to Commander, USARCS, unless the provisions of applicable 
agreements, or regulations in implementation thereof, negate the 
requirement for such investigation and report.
    (f) Standards of liability. (1) The Government's right to 
compensation for damage caused to Army property will be determined in 
accordance with the law of the place in which the damage occurred, 
unless other law may properly be applied under conflict of law rules.
    (2) To the extent that the prospective defendant's liability is 
covered by insurance, liability will be determined without regard to 
standards of pecuniary liability set forth in other regulations. If no 
insurance is available, claims will be asserted under this section 
against military and civilian employees of the United States and of host 
foreign governments only where necessary to complete the collection of 
charges imposed upon such persons under the standards established by 
other regulations.
    (g) Concurrent claims under other regulations. (1) Claims for damage 
to DA property and claims for medical care cognizable under Secs. 537.21 
through 537.24 arising from the same incident will be processed under 
the sections applicable to each.
    (2) If the incident giving rise to a claim in favor of the United 
States also gives rise to a potential claim or suit against the United 
States, the claim in favor of the Government will be asserted and 
otherwise processed only by an RJA who has apparent authority to take 
final action on the claim against the Government.
    (h) Repayment in kind. The RJA who asserts a claim under this 
section may accept, in lieu of full payment of the claim, the 
restoration of the property to its condition prior to the incident 
causing the damage, or the replacement thereof. Acceptability of these 
methods of repayment is conditioned upon the certification of the 
appropriate staff officer responsible for maintenance, such as is 
described for motor vehicles in AR 735-5, before a release may be 
executed. The authority conferred by this paragraph is not limited to 
incidents involving motor vehicles.
    (i) Delegation of authority. Subject to the provisions of paragraph 
(k) of this section, the authority conferred by AR 27-20, to compromise 
claims and to terminate collection action, with respect to claims that 
do not exceed $20,000, exclusive of interest, penalties and 
administrative fees, is further delegated as follows:
    (1) An Area Claims Office, as defined in paragraph (c)(6) of this 
section, is authorized to:
    (i) Compromise claims, provided the compromise does not reduce the 
claim by more than $10,000.
    (ii) Terminate collection action, provided the uncollected amount of 
claim does not exceed $10,000.
    (2) The SJA, or if so designated, the chief of the Command Claims 
Service of a major overseas command, as defined in paragraph (c)(5) of 
this section, is authorized to:
    (i) Compromise claims, not over $20,000 without monetary 
limitations.
    (ii) Terminate collection action, provided the uncollected amount of 
the claim does not exceed $20,000.
    (j) Compromise and termination of collection action. (1) The 
authority delegated in paragraph (j) of this section to compromise 
claims will be exercised in accordance with the standards set forth in 4 
CFR part 104.
    (2) The authority delegated in paragraph (j) of this section to 
terminate collection action will be exercised in accordance with the 
standards set forth in 4 CFR part 104.
    (3) A debtor's liability to the United States arising from a 
particular incident shall be considered as a single claim in determining 
whether the claim is not more than $20,000, exclusive of interest, 
penalties and administrative fees for the purpose of compromise, or 
termination of collection action.

[[Page 270]]

    (4) Only the Department of Justice may approve claims involving:
    (i) Compromise or waiver of a claim asserted for more than $20,000 
exclusive of interest, penalties and administrative fees.
    (ii) Settlement actions previously referred to the Department.
    (iii) Settlement where a third party files suit against the United 
States or the individual federal tortfeaser arising but of the same 
incident.
    (k) Releases. The RJA who receives payment of the claim in full, or 
who receives full satisfaction of an approved compromise settlement, is 
authorized to execute a release. A standard form furnished by the 
prospective defendant or his insurer may be executed, provided no 
indemnity agreement is included.
    (l) Receipts. The RJA may execute and deliver to a prospective 
defendant a receipt for payment in full, installment payment or an 
offered compromise payment, subject to approval of the SJA. DA Form 
2135-R (Receipt for Payment for Damage to or Loss of Government 
Property) be used.



Sec. 537.2  Recovery of property unlawfully detained by civilians.

    Whenever information is received that any property belonging to the 
military service of the United States is unlawfully in the possession of 
any person not in the military service, the procedures contained in AR 
735-11, Para. 3-15, Unit Supply UPDATE 10, should be followed.



Sec. 537.6  Maritime casualties; claims in favor of the United States.

    See 32 CFR 536.60, which covers claims on behalf of the United 
States as well as claims against the United States.



Sec. 537.7  Maritime claims.

    (a) Statutory authority. Administrative settlement or compromise of 
admiralty and maritime claims in favor of and against the United States 
by the Secretary of the Army or his designee, under the direction of the 
Secretary of Defense, is authorized by Army Maritime Claims Settlement 
Act of 1956 (70A Stat. 270), as amended (10 U.S.C. 4801-4804, 4806).
    (b) Related statutes. This statute authorizes the administrative 
settlement or compromise of maritime claims and supplements the 
following statutes under which suits in admiralty may be brought; the 
Suits in Admiralty Act of 1920 (41 Stat. 525, 46 U.S.C. 741-752); the 
Public Vessels Act of 1925 (43 Stat. 1112, 46 U.S.C. 781-790); the 
Extention of the Admiralty Act of 1948 (62 Stat. 496, 46 U.S.C. 740). 
Similar maritime claims settlement authority is exercised by the 
Department of the Navy under title 10, United States Code (U.S.C.), 
sections 7365, 7621-7623, and by the Department of the Air Force under 
10 U.S.C. 9801 through 9804, 9806.
    (c) Scope. (1) Section 4803 of title 10, U.S.C., provides for the 
settlement or compromise of claims of a kind that are within the 
admiralty jurisdiction of a district court of the United States and of 
claims for damage caused by a vessel or floating object to property 
under the jurisdiction of the DA or property for which the Department 
has assumed an obligation to respond in damages, where the net amount 
payable to the United States does not exceed $500,000.
    (2) Section 4804 of title 10, U.S.C., for the settlement or 
compromise of claims in any amount for salvage services (including 
contract salvage and towage) performed by the DA for any vessel. The 
amounts of claims for salvage services are based upon per diem rates for 
the use of salvage vessels and other equipment; and materials and 
equipment damaged or lost during the salvage operation. The sum claimed 
is intended to compensate the United States for operational costs only, 
reserving, however, the right of the Government to assert a claim on a 
salvage bonus basis, in accordance with commercial practice, in an 
appropriate case.
    (d) Amounts exceeding $500,000. Maritime claims in favor of the 
United States, except claims for salvage services, may not be settled or 
compromised under this section at a net amount exceeding $500,000 
payable to the United States. However, all such claims otherwise within 
the scope of this section will be investigated and reported to the 
Commander, USARCS.

[[Page 271]]

    (e) Civil works activities. Rights of the United States to fines, 
penalties, forfeitures, or other special remedies in connection with the 
protection of navigable waters, the control and improvement of rivers 
and harbors, flood control, and other functions of the Corps of 
Engineers involving civil works activities, are not dealt with in this 
section. However, claims for money damages which are civil in nature, 
arising out of civil works activities of the Corps of Engineers and 
otherwise under this section, for which an adequate remedy is not 
available to the Chief of Engineers, may be processed under this 
section.
    (f) Delegation of authority. Where the amount to be received by the 
United States is not more than $10,000, claims under this section, 
except claims for salvage services, paragraph (c)(2) of this section, 
may be settled or compromised by the Commander, USARCS, or designee, 
subject to such limitations as may be imposed by the Commander, USARCS 
and by engineer area claims offices, subject to such limitations as may 
be imposed by the Chief of Engineers.
    (g) Demands. Demand for the payment of claims in favor of the United 
States under this section may be made by the Commander, USARCS, or 
designee.



Subpart B--Claims for the Reasonable Value of Medical Care Furnished by 
                                the Army



Sec. 537.21  General.

    (a) Authority. The regulations in Secs. 537.21 through 537.24 are in 
implementation of the Act of September 25, 1962 (76 Stat. 593, 42 U.S.C. 
2651-3), Executive Order Number 11060 (27 FR 10925), and Attorney 
General's Order Number 289-62, as amended (28 CFR part 43), providing 
for the recovery of the reasonable value of medical care furnished or to 
be furnished by the United States to a person on account of injury or 
disease incurred after December 31, 1962, under circumstances creating a 
tort liability upon some third person.
    (b) Applicability and scope. (1) Sections 537.21 through 537.24 
apply to all claims for the reasonable value of medical services 
furnished by or at the expense of the Army which result from incidents 
occurring on or after March 1, 1969. Cases which arise from incidents 
occurring prior to that date:
    (i) And which are the responsibility of an SJA or JA who is 
designated an RJA will be processed under Secs. 537.21 through 537.24;
    (ii) And which are the responsibility of an SJA or JA not so 
designated will be processed under the predecessor regulation until 
either completed or transferred.
    (2) The procedures prescribed herein are to be employed within the 
DA for the investigation, determination, assertion, and collection, 
including compromise and waiver, in whole or in part, of claims in favor 
of the United States for the reasonable value of medical services 
furnished by or at the expense of DA. TJAG provides general supervision 
and control of the investigation and assertion of claims arising under 
the Federal Medical Care Recovery Act.
    (3) In Continental U.S., Army SJA's and RJA's will be assigned 
responsibility under Secs. 537.21 through 537.24 on a geographical area 
basis.
    (4) The commander of any major overseas command specified in 
paragraph (c)(5) of this section is authorized to modify the procedures 
prescribed herein to accommodate any special circumstances which may 
exist in the command.
    (5) Claims for medical care furnished by the DA on a reimbursable 
basis (see table 1, AR 40-3) ordinarily will be forwarded for processing 
directly to the Federal department or agency responsible for 
reimbursement.
    (c) Definitions. For the purpose of Secs. 537.21 through 537.24 
only, the following terms have the meaning indicated.
    (1) Claim. The Government's right to recover from a prospective 
defendant the reasonable value of medical care furnished to each injured 
party.
    (2) Medical care. Includes hospitalization, out-patient treatment, 
dental care, nursing service, drugs, and other adjuncts such as 
prostheses and medical appliances furnished by or at the expense of the 
United States.
    (3) Injured party. The person who received an injury or contracted a 
disease which resulted in the medical

[[Page 272]]

care. Such person may be an active duty or retired member, a dependent, 
or any other person who is eligible for medical care at DA expense. See 
section III, AR 40-3, and Secs. 577.60 through 577.71 of this chapter.
    (4) Prospective defendant. A person other than the injured party. An 
individual partnership, association, corporation, governmental body, or 
other legal entity, foreign or domestic, against whom the United States 
has a claim.
    (5) Major overseas command. U.S. Army Forces Southern Command; the 
U.S. Army, Europe; Eighth U.S. Army, Korea; Western Command; and any 
command outside the continental limits of the contiguous states 
specially designated by TJAG under the provisions of AR 27-20.
    (6) Recovery judge advocate. A JAGC officer or legal adviser 
responsible for assertion and collection of claims in favor of the 
United States for medical expenses.



Sec. 537.22  Basic considerations.

    (a) The right of recovery--(1) Applicable law. The right of the 
United States to recover the reasonable value of medical care furnished 
or to be furnished an injured party is based on the Federal Medical Care 
Recovery Act. It accrues simultaneously with the accrual of the injured 
party's right to recover damages from the prospective defendant but is 
independent of any claim which the injured person may have against the 
prospective defendant. Recovery is allowed only if the injury or 
diseases resulted from circumstances creating a tort liability under the 
law of the place where the injury occurred.
    (2) Time limitation. The Act of 18 July 1966 (28 U.S.C. 2415 et 
seq.) establishes a 3-year statute of limitation upon actions in favor 
of the United States for money damages founded upon a tort. The RJA will 
take appropriate steps within the limitation period to assure that 
necessary legal action is not barred by the statute.
    (3) Amount. The Government's right of recovery is limited to amounts 
expended or to be expended by the United States for medical care from 
other than Federal sources, and to amounts determined by the rates 
established by the Office of Management and Budget for medical care from 
Federal sources, less any amounts reimbursed by the injured party.
    (b) Certain prospective defendants--(1) U.S. Government agencies. No 
claim will be asserted against any department, agency, or 
instrumentality of the United States.
    (2) U.S. personnel. Claims against a member of the uniformed 
services; or an employee of the United States, its agencies or 
instrumentalities; or a dependent of a service member or an employee 
will not be asserted unless the prospective defendant has the benefit of 
liability insurance coverage or was guilty of gross negligence or 
willful misconduct. If simple negligence occurring in the scope of a 
member's or employee's employment is the basis of the claim, no claim 
will be asserted if such claim is excluded from the coverage of the 
liability insurance policy involved. No claim, in the absence of 
specific statutory authorization, will be made directly against a member 
or employee, or his or her dependents for injuries sustained to himself 
or herself through acts of simple negligence, gross negligence, or 
willful misconduct.
    (3) Government contractors. Claims, the cost or expense of which may 
be reimbursable by the United States under the terms of a contract, will 
not be asserted against a contractor without the prior approval of 
USARCS. Such claims will be investigated and the report thereof, which 
will include citation to the specific contract clauses involved and 
recommendations regarding assertion will be forwarded through command 
channels to Commander, USARCS.
    (4) Foreign persons. Claims within the scope of Secs. 537.21 through 
537.24 against foreign prospective defendants will be investigated, 
processed, and asserted without regard to the nationality of the 
prospective defendant, unless such action is precluded by treaty or 
international agreement. Claims against an international organization, 
or foreign government, will be investigated and reports thereof, 
together with recommendations regarding assertion and enforcement, will 
be forwarded through

[[Page 273]]

command channels to Commander, USARCS.
    (5) National Guard Members. Claims arising from the tortious conduct 
of NG members will be investigated and if assertion appears appropriate, 
a recommendation shall be made to Commander, USARCS.
    (c) Concurrent claims under other regulations--(1) Section 537.1. 
Claims for medical care and claims for damage to DA property arising 
from the same incident will be processed by the RJA in accordance with 
Sec. 537.1(g). If an RJA lacks settlement authority sufficient to settle 
a concurrent claim under Sec. 537.1, he may request additional authority 
under that section from the appropriate major overseas command SJA or 
area claims authority, who may delegate such additional authority in an 
amount not exceeding his own settlement authority. Where time is of the 
essence, telephonic delegations of authority are encouraged, provided 
they are confirmed in a writing which will be made a part of the case 
file.
    (2) Counterclaims. Claims for medical care and claims against the 
United States which arise from the same incident will be processed by 
the RJA in accordance with Sec. 537.1(g)(2). If an RJA lacks authority 
sufficient to settle the claim against the Government, he will 
coordinate his action with that claims echelon which has the necessary 
authority to settle the particular claim against the United States.



Sec. 537.23  Predemand procedures.

    (a) Relations with the injured party--(1) Advice. The injured party, 
or, in appropriate cases, his guardian, next-of-kin, personal 
representative, or the executor or administrator of his estate, will be 
advised of the following:
    (i) That under the Act of September 25, 1962 (76 Stat. 593, 42 
U.S.C. 2651-3, the United States may be entitled to recover the 
reasonable value of medical care furnished or to be furnished him in the 
future from the person or persons who injured him, or who were otherwise 
responsible for his injury or disease; and
    (ii) That if he is otherwise entitled to legal assistance under AR 
27-3, he should seek guidance from a legal assistance officer regarding 
any claim he may have for personal injury; and
    (iii) That he is required to cooperate in the prosecution of all 
actions of the United States against the person or persons who injured 
him; and
    (iv) That he is required to furnish a complete statement regarding 
the facts and circumstances surrounding the incident which resulted in 
the injury or disease; and
    (v) That he is required to furnish information concerning any legal 
action brought or to be brought by or against the prospective defendant, 
or to furnish the name and address of the attorney representing him; and
    (vi) That he should not execute a release or settle any claim which 
he may have as a result of his injury without first notifying the RJA.
    (2) Statement. A written statement will be obtained from the injured 
party, or his representative, in which he acknowledges receipt of the 
advice in paragraph (a)(1) of this section, and provides the information 
required by paragraphs (a)(1) (iv) and (v) of this section. If the 
injured party or representative fails or refuses to furnish necessary 
information or cooperation, the originator of the notification of 
potential claims may be requested to withhold records as to medical 
history, diagnoses, findings, and treatment, from the injured party or 
anyone acting on his behalf pending compliance with the requirements in 
paragraph (a)(1) of this section. Mere refusal by the injured party or 
his representative to include the Government's claim in his claim is not 
sufficient basis, by itself, for this action.
    (b) Determination and assertion--(1) Liability. The RJA will review 
all the evidence including any claims officer's report of investigation 
and, after assuring completeness of the file, will make a written 
determination as to the liability of the prospective defendant and note 
his reasons for such determination.
    (2) Value. If the RJA determines that the prospective defendant is 
liable, he will also ascertain the reasonable value of medical care 
furnished or to be furnished to the injured party, in accordance with 
Sec. 537.22(a)(3) and rates established by the Office of Management and

[[Page 274]]

Budget. When a military member has been retained in a military hospital 
for administrative reasons, or where the patient was absent from the 
hospital or was in a purely convalescent status, the amount of the claim 
will be recomputed to apply the outpatient rate, if under circumstances 
warranting only outpatient treatment in a civilian hospital or eliminate 
such periods altogether if the injured party received no treatment 
during those periods. In making these determinations the RJA will 
coordinate with the registrar or other responsible official of the 
hospital or medical unit in his area of responsibility.
    (3) Amount. In the event of doubt concerning the extent of medical 
care furnished or to be furnished an injured party, the RJA will assert 
the claim in an indefinite amount. Demand will be made in a definite 
amount at the earliest possible date, based on an estimate of a 
reasonable value of medical care to be furnished, if appropriate. The 
RJA will assure that the file contains complete statements of the value 
of medical care furnished, including all charges by civilian physicians, 
medical technicians and civilian hospitals.



Sec. 537.24  Post demand procedures.

    (a) Coordination with the injured party's claim. (1) Every effort 
will be made to coordinate action to collect the claim of the United 
States with the injured party's action to collect his own claim for 
damages, in order that the injured party's recovery for his damages, 
other than the reasonable value of medical care furnished or to be 
furnished by the United States, is not prejudiced by the Government's 
claim.
    (2) Attorneys representing an injured party may be authorized to 
assert the claim on behalf of the government as an item of special 
damages with the injured party's claim or suit except where prohibited 
by law. Any agreement to this effect will be in writing, and the 
agreement should expressly recognize the fact that counsel fees may be 
neither paid by the Government (5 U.S.C. 3106) nor computed on the basis 
of the Government's portion of the recovery. The agreement must also 
require the Government's permission to settle its claim.
    (3) If the injured party, denies or his attorney or legal 
representative, fails or refuses to cooperate in the prosecution of the 
claim of the United States, independent collection action will be 
vigorously pursued.
    (b) Independent collection action. Unless suit between the injured 
party and the prospective defendant is pending, all available 
administrative collection procedures will be followed prior to reference 
of the claim to the Department of Justice under paragraph (e) of this 
section. Direct contact with the prospective defendant's insurer, if 
known, is desirable. If the prospective defendant is an uninsured 
motorist, timely and appropriate action will be taken to collect the 
claim, or to request suspension of driving and registration privileges 
under the applicable uninsured motorist fund statute, or to seek 
compensation from the victim's insurer, or otherwise under financial 
responsibility laws.
    (c) Delegation of authority. Subject to the provisions of paragraphs 
(d) and (e) of this section, authority to compromise or waive, in whole 
or in part, claims of the United States not in excess of $40,000 
exclusive of interest penalties and administrative fees is delegated as 
follows. The Area Claims Office as defined in paragraph (c)(6) of 
section 537.1 is authorized to:
    (1) Compromise claims, provided the compromise does not reduce the 
claim by more than $15,000 in any claim not asserted for more than 
$25,000; and
    (2) Waive claims for the convenience of the Government (but not on 
account of undue hardship upon the injured party) provided the 
uncollected amount of the claim does not exceed $15,000 in any claim not 
asserted for more than $25,000; and
    (3) Redelegation in an amount not to exceed $5,000 compromise 
authority to any claim processing office with approval authority is 
permitted.
    (d) Compromise and waiver of claims--(1) General. A debtor's 
liability to the United States arising from a particular incident will 
be considered as a single claim in determining whether the claim is not 
more than $40,000, for the purpose of compromise or waiver. Claims not 
resolved within the delegation of authority stated in this section

[[Page 275]]

or referred to the Department of Justice, will be forwarded to 
Commander, USARCS. A claim file forwarded to higher authority will 
contain a memorandum of opinion supported by necessary exhibits.
    (2) Compromise. (i) The authority delegated in paragraph (c) of this 
section to compromise claims will be exercised in accordance with 
standards set forth in 4 CFR 103. When available funds are insufficient 
to satisfy both the claim of the United States and that of the injured 
party, the claim of the United States will be compromised to the extent 
required to achieve an equitable apportionment of the available funds.
    (ii) If appropriate, a request by the injured party or his attorney 
for waiver on the ground of undue hardship may be treated initially as a 
suggestion for compromise with the tortfeasor, and the compromised 
amount of the claim of the United States will be determined. In such 
cases, RJA's may make offers of compromise within their delegated 
authority. RJA's may also make counteroffers within their delegated 
authority to offers of compromise beyond their delegated authority. If 
settlement within the limits of delegated authority is not achieved, the 
claim will be referred to higher authority.
    (iii) When time is a factor, SJA or major overseas command staff 
JA's may make telephonic delegation within their compromise authority on 
a case by case basis. When such verbal delegations are made, they will 
be confirmed in writing and the writing included in the case file.
    (3) Waiver. (i) The authority delegated in paragraph (c) of this 
section to waive claims for the convenience of the Government will be 
exercised in accordance with standards set forth in 4 CFR part 103.
    (ii) If the injured party or his attorney requests waiver of the 
full or any compromised amount of the claim on the ground of undue 
hardship, and the request may not be appropriately treated under 
paragraph (d)(2)(ii) of this section, the file will be forwarded to 
appropriate major overseas command claims authority or Commander, 
USARCS. For the purpose of evaluation of the request for waiver, the 
file will include detailed information concerning the reasonable value 
of the injured party's claim for permanent injury, pain and suffering, 
decreasing earning power, and other items of special damages, pension 
rights, and other Government benefits accruing to the injured party; and 
the present and prospective assets, income, and obligations of the 
injured party, and those dependent on him.
    (iii) In the event an affirmative determination is made by TJAG 
that, as a result of the collection of the Government's claim the 
injured party has suffered an undue hardship, the RJA will be authorized 
to direct issuance of the amount waived to the injured party.
    (4) A file forwarded to higher authority for waiver of compromise 
consideration will contain a memorandum by the RJA giving his assessment 
of the case and his recommendation with regard to the approval or denial 
of the requested compromise or waiver.
    (e) Only the Department of Justice may approve claims involving. (1) 
compromise or waiver of a claim asserted for more than $40,000 exclusive 
of interest, penalties or administrative fees,
    (2) Settlement actions previously referred to the Department,
    (3) Settlement where a third party files suit against the United 
States on the injured party arising out of the same incident.



PART 538--MILITARY PAYMENT CERTIFICATES--Table of Contents




Sec.
538.1  Definitions.
538.2  Use of military payment certificates.
538.3  Restrictions on possession and use.
538.4  Convertibility of military payment certificates.
538.5  Conversion of invalidated military payment certificates.
538.6  Claims.

    Authority: Sec. 3, 58 Stat. 821, as amended; 31 U.S.C. 492c.

    Source: 44 FR 76784, Dec. 28, 1979, unless otherwise noted.



Sec. 538.1  Definitions.

    (a) United States dollar instruments. For the purpose of this 
section, United States dollar instruments include the following:

[[Page 276]]

    (1) United States Treasury checks (standard dollar checks) drawn on 
the Treasurer of the United States by authorized finance and accounting 
officers.
    (2) Travelers' checks issued by the American Express Company; Bank 
of America, National Trust and Savings Association; Mellon National Bank 
and Trust Company; Citibank of New York; Thomas Cook and Son (Bankers) 
Ltd.; and the First National Bank of Chicago, when expressed in United 
States dollars.
    (3) United States military disbursing officers' payment orders.
    (4) American Express Company money orders, when expressed in United 
States dollars, and United States postal money orders.
    (5) Telegraphic money orders, when expressed in United States 
dollars.
    (b) Military Payment Certificate (MPC). The military payment 
certificate is an instrument, denominated in U.S. dollars and fractions 
thereof, that may be used as the official medium of exchange in U.S. 
military establishments located in overseas areas when such areas are 
designated as ``Military Payment Certificate Areas.''
    (c) Authorized Personnel. As used herein, the term ``authorized 
personnel'' means all individuals authorized to purchase goods, supplies 
and services from U.S. Government sponsored and controlled facilities 
located and operated in an MPC area.



Sec. 538.2  Use of military payment certificates.

    (a) Areas in which used. Military payment certificates are to be 
used only in the Department of Defense by authorized personnel in 
designated MPC areas. A Military Payment Certificate Area is a 
particular foreign country(s), or a specific area within a foreign 
country, that has been officially authorized for designation as an MPC 
area.
    (b) Disbursement of military payment certificates. Military payment 
certificates will be disbursed to authorized personnel for all items of 
pay and allowances and for all other authorized payments to individuals 
in and under the Department of Defense.
    (c) Facilities in which used. Military payment certificates are the 
only authorized medium of exchange in the following facilities:
    (1) Army, Navy, and Air Force sales and services installations and 
activities.
    (2) Theaters and other entertainment facilities operated by 
Department of Defense.
    (3) Officers' and enlisted personnel messes and clubs, including 
American Red Cross installations.
    (4) Army, Navy, and Air Force postal installations for purchase of 
postal money orders and stamps, and cashing of postal money orders.
    (5) Contribution to all authorized charitable appeals, church 
collections, and chaplain's funds when remittance is to be forwarded to 
the United States through Department of Defense channels.
    (6) Payments to all travel agencies, radio, cable, telegraph, and 
telephone companies, and all other similar facilities when remittance is 
to be forwarded to the United States through Department of Defense 
channels.
    (7) All other official agencies, quasi-official and private agencies 
of or working in behalf of United States Army Forces providing goods, 
services, and facilities to members of the United States Armed Forces.



Sec. 538.3  Restrictions on possession and use.

    (a) Possession or use prohibited. Possession or use of military 
payment certificates is prohibited unless acquired in accordance with 
Secs. 538.1 through 538.4 and such additional regulations as may be 
issued by the major overseas commander concerned.
    (b) Not to violate directives. Acquisition, possession, and use of 
military payment certificates incident to normal legitimate transactions 
within the Department of Defense must not violate Department of the Army 
or major overseas command directives or the Uniform Code of Military 
Justice.
    (c) Acceptance, transfer, or exchange. Under no circumstances will 
military payment certificates be accepted from, transferred to, or 
exchanged for persons other than authorized personnel. Military payment 
certificates will not

[[Page 277]]

be accepted or exchanged after the date specified by the Secretary of 
the Army as the last day for their acceptance or exchange.
    (d) Transmission through mail. Individuals are prohibited from 
transmitting military payment certificates through the mail to any areas 
other than those designated as an MPC area. Military payment 
certificates may be transmitted to authorized personnel or official 
agencies by mail within or between designated MPC areas.



Sec. 538.4  Convertibility of military payment certificates.

    (a) For authorized personnel. Authorized personnel having in their 
possession military payment certificates that were acquired legitimately 
may exchange those certificates for U.S. currency, coin, or dollar 
instruments, including U.S. Treasury dollar checks under the following 
conditions:
    (1) Upon departure for the United States.
    (2) When traveling under competent orders to areas where military 
payment certificates are not designated for use.
    (3) When traveling under competent orders to military payment 
certificate areas where finance and accounting officers, Class ``B'' 
Agent Officers, including military attache agent officers, or exchange 
facilities are not readily available to the traveler.
    (b) The provisions of this section will not be construed as 
authorizing finance and accounting officers or their agents in areas 
outside of military payment certificate areas to convert military 
payment certificates for authorized personnel returning from MPC areas. 
Such exchange must be made prior to departure from the MPC area.
    (c) Conversion of Military Payment Certificates suspected of being 
acquired illegitimately. Military payment certificates will not be 
converted for any holder under circumstances where there are reasonable 
grounds to believe that the holder was not an authorized person at the 
time of acquisition or that the certificates were acquired by the 
holder, or by another with the holder's knowledge, from a person not 
authorized to possess or use them. Amounts of certificates exceeding 
those which the holder would normally acquire or hold under applicable 
circumstances as prescribed by local regulations will not be approved 
for conversion unless the holder shows by a preponderance of evidence 
that they were acquired legitimately. Where there are reasonable grounds 
to believe that the military payment certificates were not acquired 
legitimately, they will be impounded and retained pending an 
administrative determination as to the source of acquisition. If it is 
determined that the individual concerned was not an authorized person at 
the time of acquisition, the certificates will be confiscated and the 
dollar proceeds deposited in the Treasury to the General Fund 
(Miscellaneous) Receipt Account 211099, ``Fines, penalties and 
forfeitures not otherwise classified.'' If it is determined that the 
individual concerned was an authorized person at the time of 
acquisition, or that the certificates belong to an authorized person, 
the certificates or their dollar value will be returned to the owner 
unless there are reasonable grounds to believe the certificates were 
acquired by the holder or another with the holder's knowledge from an 
unauthorized person. If it is determined that the certificates were 
acquired from an unauthorized person, the certificates will be 
confiscated and the dollar proceeds deposited in the Treasury to the 
General Fund (Miscellaneous) Receipt Account 211099, ``Fines, penalties 
and forfeitures not otherwise classified.'' Collection vouchers 
affecting these deposits will cite claimants' names and sufficient 
information to permit ready identification of the deposits in order to 
facilitate the processing of any subsequent claims for amounts so 
deposited.
    (d) Transactions with disbursing officers of other services. Dollar 
instruments may be exchanged for military payment certificates or 
military payment certificates for dollar instruments in transactions 
with Navy and Air Force disbursing officers and their agents. Major 
overseas commanders may specifically authorize such transactions with 
other disbursing officers of the United States Government and their 
agents.

[[Page 278]]



Sec. 538.5  Conversion of invalidated military payment certificates.

    (a) When converted. Time limit on filing claims for the conversion 
of invalidated Series 461, 471, 472, 481, 521, 541, 591, 611, 641, 651, 
661, 681, and 692 expires on 30 September 1980.
    (b) When found in effects of deceased personnel. Invalidated series 
of military payment certificates in amounts not in excess of $500, found 
in the effects of deceased personnel or personnel in a missing status, 
will be converted into a Treasury check. Such military payment 
certificates will be converted only if date of death or entry into 
missing status was prior to the date the series of military payment 
certificates was withdrawn from circulation. The Treasury check will be 
disposed of in accordance with regulations governing disposition of 
effects of deceased or missing personnel. Amounts in excess of $500 will 
be forwarded by the summary court officer to the U.S. Army Finance and 
Accounting Center for decision regarding exchange of such certificates.
    (c) Disposition when received with claim. Under no circumstances 
will invalidated series of military payment certificates received with 
claims for conversion be taken up in the accounts of the finance and 
accounting officer. Such certificates will be held in safekeeping until 
decision is made. If the claim is disapproved, the certificates will be 
returned to the claimant. In the event these certificates are again 
received by the finance and accounting officer as undeliverable and 
reasonable efforts fail to locate the claimant, the certificates will be 
held for a period of 6 months after which time the proceeds of the 
certificates will be deposited in the Treasury to the General Fund 
(Miscellaneous) Receipt Account 211060, ``Forfeitures of unclaimed money 
and property.''



Sec. 538.6  Claims.

    Claims for conversion of military payment certificates, as well as 
claims arising out of the refusal of the overseas command to convert 
military payment certificates, will be referred to the U.S. Army Finance 
and Accounting Center, ATTN: FINCY-D, Indianapolis, Indiana 46249. The 
U.S. Army Finance and Accounting Center will adjudicate and make final 
determination on all claims.

[[Page 279]]



                    SUBCHAPTER C--MILITARY EDUCATION





PART 542--SCHOOLS AND COLLEGES--Table of Contents




Sec.
542.1  Purpose.
542.2  Applicability.
542.3  Definitions.
542.4  Objectives.
542.5  Policies.
542.6  Responsibilities.
542.7  Program information.

    Authority: 10 U.S.C. 2031 and 4651.

    Source: 44 FR 51219, Aug. 31, 1979, unless otherwise noted.



Sec. 542.1  Purpose.

    This regulation prescribes policies for administering the Junior 
Reserve Officers' Training Corps (JROTC) and the National Defense Cadet 
Corps (NDCC).



Sec. 542.2  Applicability.

    This regulation applies to the Department of the Army (including the 
corps and their units), schools, and personnel associated with applying 
for these programs.



Sec. 542.3  Definitions.

    The following terms apply to the JROTC and NDCC programs:
    (a) Junior Reserve Officers' Training Corps (JROTC). The 
organization of units established by the Department of the Army (under 
10 U.S.C 2031) at public and private secondary schools to conduct 
student leadership training. Also, a general term used:
    (1) To describe all JROTC training conducted at secondary schools.
    (2) To denote the members, instruction, and other related matters.
    (b) National Defense Cadet Corps (NDCC). Students taking part in 
leadership studies at any school under 10 U.S.C. 4651 and as prescribed 
by the Secretary of the Army. Used in a broad sense to refer to the 
program and related matters.
    (c) Leadership Development (LD) Program. The JROTC curriculum which 
consists of a 4- or 3-year program of instuction (LD-1, -2, -3, and -4).
    (d) Military Science (MS). The Senior ROTC curriculum which consists 
of two courses--the basic course (MS-I and MS-II) and the advanced 
course (MS-III and MS-IV).
    (e) Region commander. The commanding general of a US Army ROTC 
Region who is responsible for the operation, training, and 
administration of the ROTC program within his/her geographical area. 
Region commanders are located at:
    (1) US Army First ROTC Region, Fort Bragg, NC 28307.
    (2) US Army Second ROTC Region, Fort Knox, KY 40121.
    (3) US Army Third ROTC Region, Fort Riley, KS 66442.
    (4) US Army Fourth ROTC Region, Fort Lewis, WA 98433.
    (5) The Commander-in-Chief, US Army Europe and Seventh Army, APO New 
York 09102.



Sec. 542.4  Objectives.

    The Army JROTC/NDCC objectives are to develop in each cadet--
    (a) Good citizenship and partiotism.
    (b) Self-reliance, leadership, and responsiveness to constituted 
authority.
    (c) The ability to communicate well both orally and in writing.
    (d) An appreciation of the importance of physical fitness.
    (e) A respect for the role of the US Army in support of national 
objectives.
    (f) A knowledge of basic military skills.



Sec. 542.5  Policies.

    (a) The Junior Reserve Officers' Training Corps and the National 
Defense Cadet Corps programs are designed for physically fit citizens 
attending participating schools. They provide meaningful leadership 
instruction of benefit to the student and of value to the Armed Forces. 
The programs provide unique educational opportunities for young citizens 
through their participation in a Federally-sponsored course while 
pursuing a normal civilian education. Students will acquire:
    (1) An understanding of the fundamental concept of leadership, 
military art and science,

[[Page 280]]

    (2) An introduction to related professional knowledge, and
    (3) An appreciation of requirements for national security. The dual 
roles of citizen/soldier and soldier/citizen are studied.
    (b) Participants in either of the programs will acquire relevant 
knowledge and develop personally. Schools conducting these programs will 
offer their students the challenge of intellectual inquiry under the 
direction of instructors who are experienced leaders. (JROTC instructors 
are active duty or retired members of the US Army. NDCC schools may 
employ retired or Reserve members.) These programs provide an atmosphere 
designed to develop the qualities of leadership. Through classroom and 
other activities, the students will acquire the knowledge, self-
discipline, patriotism, sense of responsibility, and responsiveness to 
constituted authority which will better prepare them for the future. 
These programs will enable cadets to better serve their country as 
leaders, as citizens, and in military service should they enter it.
    (c) The programs were set up as part of the National Defense Act of 
1916. The principle of maintaining national programs of training for the 
young citizens attending school was validated during congressional 
hearings preceding passage of the ROTC Vitalization Act of 1964. The 
JROTC and NDCC are not, of themselves, officer-producing programs but 
should create favorable attitudes and impressions toward the Services 
and toward careers in the Armed Forces. JROTC/NDCC cadets may qualify 
for an advantageous position in the Senior ROTC and for a higher pay 
grade upon enlistment in a Regular or Reserve component of the Armed 
Forces.
    (d) Participation in JROTC/NDCC does not obligate the student to 
perform military or any other Federal service. Although all qualified 
students of JROTC/NDCC host schools are encouraged to take part in these 
programs, they are not required by Federal law to do so. State, 
community, or school authorities decree whether students must be in the 
programs.



Sec. 542.6  Responsibilities.

    (a) The Commanding General, US Army Military Personnel Center, 200 
Stovall Street, Alexandria, VA 22332, is responsible for administering 
the Army JROTC/NDCC programs and announcing policy changes.
    (b) The Commanding General, US Army Training and Doctrine Command, 
Ft. Monroe, VA 23651, is responsible for managing the JROTC/NDCC except 
for those functions and responsibilities retained by Headquarters, 
Department of the Army.
    (c) Region commanders are responsible for operating and 
administering the JROTC/NDCC training conducted within their areas.



Sec. 542.7  Program information.

    (a) The JROTC/NDCC is organized into units at public and private 
secondary schools. The NDCC differs from the JROTC in that NDCC 
instructors must be provided by the school. Although these instructors 
are subject to Army approval, there is no cost-sharing arrangement as 
exists for JROTC. Also schools or students must provide uniforms, if 
desired, in the NDCC program. Schools desiring to conduct either program 
must apply to the region commander of the area in which the school is 
located. To participate in the program a school must maintain an 
enrollment in the unit of at least one hundred physically fit students 
who are at least 14 years of age and meet one of the following 
accreditation standards:
    (1) Be accredited by a nationally recognized accrediting agency.
    (2) Be accredited by a State, State educational agency, or State 
university.
    (3) Have attained a preaccreditable status of reasonable assurance 
subject to attainment and maintenance of a status listed above within 5 
years of initial academic enrollment of students.
    (b) Students who desire to enroll and continue as a member of the 
JROTC/NDCC program must:
    (1) Be enrolled in and attending full-time a regular course of 
instruction at a JROTC/NDCC institution.
    (2) Be a citizen of the United States.
    (3) Be at least 14 years of age.

[[Page 281]]

    (4) Meet the physical fitness standards prescribed by the school.



PARTS 543-544 [RESERVED]




[[Page 282]]



       SUBCHAPTER D--MILITARY RESERVATIONS AND NATIONAL CEMETERIES





PART 552--REGULATIONS AFFECTING MILITARY RESERVATIONS--Table of Contents




Subpart A--Use of Department of the Army Real Estate Claims Founded Upon 
                                Contract

Sec.
552.16  Real estate claims founded upon contract.

                        Subpart B--Post Commander

552.18  Administration.
552.19  Hunting and fishing permits.

 Subpart C--Entry Regulations for Certain Army Training Areas in Hawaii

552.25  Entry regulations for certain Army training areas in Hawaii.

       Subpart D--Acquisition of Real Estate and Interest Therein

552.30  Purpose.
552.31  Definitions.
552.32  Authority to acquire real estate and interests therein.
552.33  Estates and methods of acquisition.
552.34  Policies relative to new acquisition.
552.35  Rights-of-entry for survey and exploration.
552.36  Rights-of-entry for construction.
552.37  Acquisition by Chief of Engineers.
552.38  Acquisition of maneuver agreements for Army commanders.
552.39  Acquisition of short-term leases by local commanding officers.

            Subpart E--Solicitation on Military Reservations

552.50  Purpose.
552.51  Applicability.
552.52  Explanation of terms.
552.53  Regulatory requirements.
552.54  Solicitation.
552.55  Restrictions.
552.56  Licensing requirements.
552.57  Authorization to solicit.
552.58  Other transactions.
552.59  Granting solicitation privileges.
552.60  Supervision of on-post commercial activities.
552.61  Products and services offered in solicitation.
552.62  Advertising rules and educational programs.
552.63  ``Cooling off'' period for door-to-door sales.
552.64  Sound insurance underwriting and programing.
552.65  Command supervision.
552.66  Actions required by agents.
552.67  Life insurance policy content.
552.68  Minimum requirements for agents.
552.69  Application by companies to solicit on military installations in 
          the United States, its territories, or the Commonwealth of 
          Puerto Rico.
552.70  Application by companies to solicit on installations in foreign 
          countries.
552.71  Associations--general.
552.72  Use of the allotment of pay system.
552.73  Minimum requirements for automobile insurance policies.
552.74  Grounds for suspension.
552.75  Factors in suspending solicitation privileges.
552.76  Preliminary investigation.
552.77  Suspension approval.
552.78  ``Show cause'' hearing.
552.79  Suspension action.
552.80  Suspension period.
552.81  Agents or companies with suspended solicitation privileges.
552.82  Exercise of ``off limits'' authority.
552.83  Standards of fairness.

                  Subpart F--Fort Lewis Land Use Policy

552.84  Purpose.
552.85  Applicability.
552.86  References.
552.87  General.
552.88  Responsibilities.
552.89  Activities.
552.90  Permit office.
552.91  Individual permit procedures.
552.92  Group permit procedures.
552.93  Permit deadline and duration.
552.94  Area access procedures.
552.95  Compatible use.
552.96  Violations.
552.97  Communications.

                     Subpart G--Firearms and Weapons

552.98  Purpose.
552.99  Applicability.
552.100  Definitions.
552.101  Prohibitions.
552.102  Requirements for possession and use.
552.103  Requirements for carrying and use.
552.104  Disposition of confiscated/seized weapons.

  Subpart H--Regulation Controlling the Access to the Fort Lewis Main 
Cantonment Area and Prohibiting Certain Conduct Upon Fort Lewis Military 
                               Reservation

552.105  Purpose.
552.106  Applicability.

[[Page 283]]

552.107  References.
552.108  General.
552.109  Routine security controls.
552.110  Requests for exception.
552.111  Severability.

 Subpart I--Physical Security of Arms, Ammunition, and Explosives--Fort 
                            Lewis, Washington

552.112  Purpose.
552.113  References.
552.114  Violations.
552.115  Applicability.
552.116  Privately owned weapons--security.
552.117  Disposition of Commander's Letter of Authorization.
552.118  Issuance from unit arms rooms.
552.119  Registration and storage.
552.120  Possession and control.
552.121  Possession or retention of prohibited weapons.
552.122  Personnel not authorized to possess or retain personal weapons.
552.123  Storage of personal weapons other than firearms or handguns.
552.124  Transportation of privately owned weapons and ammunition.
552.125  Disposition of confiscated weapons.

 Subpart J--Control of Firearms, Ammunition and Other Dangerous Weapons 
                             on Fort Gordon

552.126  Definitions.
552.127  Prohibitions.
552.128  Requirements for possession and use.
552.129  Requirements for carrying and use.
552.130  Disposition of confiscated/seized weapons.

  Subpart K--Restriction of Training Areas on the Installation of Fort 
                       Benjamin Harrison, Indiana

552.140  Purpose.
552.141  Applicability.
552.142  References.
552.143  Definitions.
552.144  Procedures.
552.145  Violations.

 Subpart L--Prohibited Personnel Practices on the Installation of Fort 
                         Jackson, South Carolina

552.150  Purpose.
552.151  Scope.
552.152  Prohibited practices.
552.153  Dissemination.


Appendix A to Subpart L--Partial List of Other Publications Applicable 
          on Fort Jackson Which List Prohibited Practices

 Subpart M--Land Use Policy for Fort Lewis, Yakima Training Center, and 
                             Camp Bonneville

552.160  Purpose.
552.161  References.
552.162  Abbreviations.
552.163  Applicability.
552.164  General.
552.165  Responsibilities.
552.166  Recreational use.
552.167  Activities.
552.168  Fort Lewis Area Access Office.
552.169  Yakima Training Center Area Access Office.
552.170  Camp Bonneville Area Access Office.
552.171  Compatible Use.
552.172  Violations.


Appendix A to Subpart M--DPCA Recreational Areas in Training Areas
Appendix B to Subpart M--Non-Permit Access Routes
Appendix C to Subpart M--Authorized Activities for Maneuver Training 
          Area Access
Appendix D to Subpart M--Unauthorized Activities in Maneuver Training 
          Areas
Appendix E to Subpart M--References
Appendix F to Subpart M--Abbreviations

     Subpart N--Operation and Use of Fort Monroe, Virginia, Fishing 
                               Facilities

552.180  Purpose.
552.181  Applicability.
552.182  References.
552.183  Responsibilities.
552.184  Policy.
552.185  Eligibility.

                          Subpart O [Reserved]

Subpart P--Protests, Picketing, and Other Similar Demonstrations on the 
            Installation of Aberdeen Proving Ground, Maryland

552.211  Purpose.
552.212  Scope.
552.213  Policy.
552.214  Procedures.
552.215  Responsibilities.
552.216  Violations.


Appendix A to Part 552--DPCA Recreational Areas in Training Areas
Appendix B to Part 552--Non-Permit Access Routes
Appendix C to Part 552--Authorized Activities for Fort Lewis Maneuver 
          Area Access
Appendix D to Part 552--Unathorized Activities in Fort Lewis Maneuver 
          Areas

    Authority: 5 U.S.C. 301; 10 U.S.C. 3012, 15 U.S.C. 1601; 18 U.S.C. 
1382; 31 U.S.C. 71; 40 U.S.C. 258a; 41 U.S.C. 14; 50 U.S.C. 797.

[[Page 284]]



Subpart A--Use of Department of the Army Real Estate Claims Founded Upon 
                                Contract



Sec. 552.16  Real estate claims founded upon contract.

    (a) Purpose. This regulation provides guidance in investigating and 
processing contractual claims involving real estate which are to be 
settled and adjusted by the General Accounting Office (GAO) according to 
the authority in paragraph (c) of this section. It is applicable to the 
active Army, Army National Guard, and the US Army Reserve.
    (b) Applicability. This regulation applies to the following classes 
of contractual claims.
    (1) Rent and payments for janitor, custodial, utility, and other 
similar contractual services.
    (2) Damages founded upon express or implied contract.
    (3) Permanent or recurring damages to real property situated in the 
United States or its territories, resulting in the Government taking of 
an interest in real estate for which compensation must be made according 
to the Fifth Amendment to the Constitution.
    (c) Statutory provision (except as otherwise provided by law). All 
claims and demands whatever by the Government of the United States or 
against it, and all accounts whatever in which the Government of the 
United States is concerned, either as debtor or creditor, shall be 
settled and adjusted in the GAO (31 U.S. Code 71). The GAO discharges 
its settlement and adjusting responsibilities--
    (1) Through the audit of transactions after payment.
    (2) By adjudication before payment is made or denied.
    (d) Claims not payable. The classes of claims that are not payable 
according to the authority in paragraph (c) of this section are--
    (1) Damages to real property sounding in tort and not constituting a 
taking.
    (2) Damages arising in foreign countries which could not be settled 
under chapter 10, AR 27-20, if otherwise applicable, because they--
    (i) Result from combat activities.
    (ii) Are waived or assumed by a foreign government.
    (iii) Are brought by a foreign national excluded in paragraph 10-
8b(1), AR 27-20.
    (3) Claims which must be settled by some other procedure according 
to statute, determination of GAO, or provision in the contract on which 
the claim is founded.
    (e) Claims payable under contract. When claims are founded on 
express or legally implied provisions of an existing written contract, 
and if liability and the amount thereof are certain and agreed between 
the parties, they should be paid according to the contract or 
supplemental agreement thereto. Rental claims based on still-continuing 
Government use and occupancy not under lease may be avoided by 
negotiation of a lease effective from the date Government occupancy 
begins.
    (f) Claims cognizable under other regulations. (1) The procedure 
believed to be in the best interest of the Government should be followed 
if a claim under this regulation is also cognizable under--
    (i) Chapter 3, AR 27-20 as a claim for damages incident to noncombat 
activities of the Army.
    (ii) Chapter 10, AR 27-20 as a foreign claim.
    (2) If a real estate claim under this regulation includes an 
incidental claim for damages to personal property not founded on 
contract, the entire claim may be--
    (i) Processed under this regulation.
    (ii) Processed separately under other regulations, believed to be in 
the best interest of the Government.
    (g) Claims to be submitted. Section 5 of title 4, GAO Manual for 
Guidance of Federal Agencies (cited as 4 GAO 5.1) lists the following 
categories of claims of a contractual nature to be submitted for 
settlement (letters of transmittal will indicate the applicable 
category):
    (1) Claims involving doubtful questions of law or fact. This will 
include any claims based upon a taking and contractual claims which 
could be settled administratively except for the doubt.
    (2) Claims required by statute, regulation, or decision of the 
Comptroller General to be submitted.

[[Page 285]]

    (3) Reclaims of items for which payment under contract has been 
administratively denied, unless it is determined administratively that 
the action taken was clearly in error and properly can be corrected by 
the agency which denied the claim.
    (4) Claims barred by statute of limitation. These claims may be 
forwarded without investigation, except when needed to establish time of 
accrual.
    (h) Time for filing claims. Claims cognizable by GAO are barred if 
not received in that office within 6 years after the date of accrual. A 
claim which may be barred in the near future should be transmitted 
directly, preferably within 4 years of the date of accrual, to GAO for 
filing, with a request that it be returned for further processing.
    (i) Procedures. (1) Claims for investigation and report will be 
forwarded to the office of the Division of District Engineer having real 
estate responsibility over the area in which the involved real property 
is located. In the absence of such an office, the claims will be 
forwarded to the command responsible for the lease or other contract on 
which the claim is founded.
    (2) The responsible office--
    (i) Will appoint a claims officer to conduct the investigation and 
prepare the report as outlined in AR 27-20.
    (ii) When appropriate, may request a command more conveniently 
located to appoint the claims officer.
    (iii) Will have a staff attorney or staff judge advocate review the 
completed report.
    (iv) Will approve or disapprove the report.
    (v) Will forward the report (in three copies) through channels to 
the Chief of Engineers (HQDA DAEN-REM) WASH DC 20314).
    (3) The report will include--
    (i) The original signed claim, preferably but not necessarily on 
Standard Form 95 (Claim for Damage or Injury). It will be itemized when 
applicable, and for a sum certain.
    (ii) Any supporting evidence the claimant desires to submit.
    (iii) A certified voucher, stating the citation of funds to be 
charged if the responsible office submitting the claim recommends 
payment in whole or in part.
    (4) The letter of transmittal will include--
    (i) A brief statement of the essential facts giving rise to the 
claim.
    (ii) The category in paragraph (g) under which the claim is 
forwarded for settlement by GAO under 31 U.S. Code 71.
    (iii) A recommendation for allowance or disallowance with 
justification.
    (iv) Fiscal information required by paragraph 11-51, AR 37-103, 
including a citation of funds to be charged if payment is made.
    (v) A statement that the claim has not been and will not be paid 
except according to certification in the name of the Comptroller 
General.


(31 U.S.C. 71)

[44 FR 37911, June 29, 1979]



                        Subpart B--Post Commander



Sec. 552.18  Administration.

    (a) Purpose. This section outlines the duties and prescribes the 
general authority and general responsibilities of an installation 
commander.
    (b) Applicability. The regulations in this section are applicable to 
installations in the United States, and where appropriate, to oversea 
installations. Oversea commanders should consult with the appropriate 
judge advocate to determine to what extent the provisions of treaties or 
agreements, or the provisions of local law may make inapplicable, in 
whole, or in part, the provisions of these regulations.
    (c) General. The installation commander is responsible for the 
efficient and economical operation, administration, service, and supply 
of all individuals, units, and activities assigned to or under the 
jurisdiction of the installation unless specifically exempted by higher 
authority. Activities will be designated as ``attached activities'' only 
when specifically designated by higher authority. The installation 
commander will furnish base operation support to all Army tenant 
activities except when the Department of the Army has given approval for 
the tenant to perform base operation functions. Reimbursement for such 
support will

[[Page 286]]

be in accordance with applicable regulations.
    (d) Motor vehicle and traffic regulations. See AR 190-5, Motor 
Vehicle Traffic Supervision; AR 190-5-1, Registration of Privately Owned 
Motor Vehicles; AR 190-29, Minor Offenses and Uniform Violation 
Notices--Referred to US District Courts; AR 210-4, Carpooling and 
Parking Controls; AR 230-14, Registration and Licensing of 
Nonappropriated Fund Owned Vehicles; AR 385-55, Prevention of Motor 
Vehicle Accidents; and AR 600-55, Motor Vehicle Driver-Selection, 
Testing, and Licensing. A copy of the above documents may be obtained by 
writing to Headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314.
    (e) Firearms. The installation commander will publish regulations on 
the registration of privately owned firearms. See AR 608-4, Control and 
Registration of War Trophies and War Trophy Firearms. A copy of the 
above document may be obtained by writing to Headquarters, Department of 
the Army (DAAG-PAP-W), Washington, DC 20314.
    (f) Entry, exit, and personal search. The installation commander 
will establish rules that govern the entry into and exit from the 
installation and the search of persons and their possessions as listed 
in paragraphs (f) (1), (2), and (3) of this section.
    (1) The installation commander may direct authorized guard 
personnel, while in the performance of assigned duty, to search persons 
(including military personnel, employees, and visitors), and their 
possessions (including vehicles) when entering, during their stay, or 
when leaving facilities for which the Army has responsibility. These 
searches are authorized when based on probable cause that an offense has 
been committed or on military necessity. Instructions of commanders 
regarding searches should be specific and complete. When the person to 
be searched is a commissioned officer, or a warrant officer, the search 
should be conducted in private by or under the supervision of a 
commissioned officer, unless such is precluded by the exigencies of the 
situation. When the person to be searched is a noncommissioned officer, 
the search should be conducted in private by or under the supervision of 
a person of at least equal grade, unless such is precluded by the 
exigencies of the situation. If the situation precludes search by or 
under the supervision of an officer (or noncommissioned officer, as 
appropriate), the person conducting the search will notify a responsible 
commissioned officer (or noncommissioned officer, as appropriate), as 
soon as possible. Persons who are entering the installation should not 
be searched over their objection, but they may be denied the right of 
entry if they refuse to consent to the search. All persons entering 
facilities should be advised in advance (by a prominently displayed 
sign, AR 420-70, (Buildings and Structures)), that they are liable to 
search when entering the installation, while within the confines of the 
installation, or when leaving (AR 190-22, Search, Seizure and 
Disposition of Property). A copy of the above documents may be obtained 
by writing to headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314.
    (2) The installation commander may authorize and control hunting and 
fishing on a military installation under installation rules in 
accordance with applicable Federal, State, and local laws and Army 
regulations, and in harmony with cooperative plans with appropriate 
State and Federal conservation agencies (AR 420-74, Natural Resources--
Land, Forest, and Wildlife Management). To detect violations of these 
rules, special guards may be posted and authorized to search persons (or 
possessions, including vehicles of individuals), based on military 
necessity. The installation commander may eject violators of game laws 
or post regulations and prohibit their reentry under 18 U.S.C. 1382. 
Violations of State laws which apply to military reservations according 
to the provisions of section 13, title 18, U.S.C. (Assimilative Crimes 
Acts), may be referred to the United States Magistrate in accordance 
with AR 190-29, Minor Offenses and Uniform Violation Notices--Referred 
to United States District Courts. Reports of violations of game laws 
will be reported to Federal or State authorities. An installation 
commander may not require membership in a voluntary sundry fund activity 
as a prerequisite to hunting

[[Page 287]]

and fishing on the installation. Accounting for the collection and 
spending of fees for hunting and fishing permits is outlined in chapter 
12, AR 37-108, General Accounting and Reporting for Finance and 
Accounting Offices. A copy of the above documents may be obtained by 
writing to Headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314.
    (3) When the installation commander considers that the circumstances 
warrant its use, DA Form 1818 (Individual Property Pass), will be used 
to authorize military and civilian personnel to carry Government or 
personal property onto an installation or to remove it from an 
installation.
    (4) Commanders will establish procedures to ensure than when blind 
persons are otherwise authorized to enter military facilities, their 
accompanying seeing-eye or guide dogs will not be denied entry. Such 
facilities include, but are not limited to: Cafeterias, snack bars, 
AAFES exchanges, retail food sales stores, medical treatment facilities, 
and recreational facilities. Seeing-eye or guide dogs will remain in 
guiding harness or on leash and under control of their blind masters at 
all times while in the facility. For purposes of safety and to prevent 
possible agitation of military police working dogs, seeing-eye or guide 
dogs will not be allowed in or around working dog kennels and 
facilities.
    (g) Official Personnel Register. DA Form 647 (Personnel Register), 
is a source document that will be used at the lowest level of command 
having responsibility for strength accounting. The official register 
will be used for registering military personnel on arrival at or on 
departure from Army installations on permanent change of station, leave, 
or temporary duty. DA Form 647 may also be used for recording passes, 
visitors, etc. Registration of visists of less than 12 hours will be at 
the discretion of the commander except that registrations will be 
required when visits are at a place where United States troops are on 
duty in connection with a civil disorder.
    (h) Outside employment of DA Personnel. See paragraph 2-6, AR 600-50 
Standards of Conduct for Department of the Army Personnel. A copy of 
this document may be obtained by writing to Headquarters, Department of 
the Army (DAAG-PAP-W), Washington, DC 20314.
    (i) Preference to blind persons in operating vending stands. As used 
in paragraphs (i) (1), (2), and (3) of this section, the term ``vending 
stand'' includes shelters, counters, shelving, display and wall cases, 
refrigerating apparatus, and other appropriate auxiliary equipment 
necessary for the vending of merchandise. The term ``vending machine'' 
means any coin-operated machine that automatically vends or delivers 
tangible personal property.
    (1) The installation commander will give preference to blind persons 
when granting permission to civilians to operate vending stands on 
installations where stands may be operated properly and satisfactorily 
by blind persons licensed by a State agency. Legal authority for such 
action is contained in the Randolph-Sheppard Vending Stand Act (20 
U.S.C. 2-107 et seq.). Commanders will cooperate with the appropriate 
State licensing agency in selecting the type, location, or relocation of 
vending stands to be operated by licensed blind persons, except that 
preference may be denied or revoked if the commander determines that--
    (i) Existing security measures relative to location of the vending 
stand or to the clearance of the blind operator cannot be followed.
    (ii) Vending stand standards relating to appearance, safety, 
sanitation, and efficient operation cannot be met.
    (iii) For any other reasons which would adversely affect the 
interests of the United States or would unduly inconvenience the 
Department of the Army. Issuance of such a permit will not be denied 
because of loss of revenue caused by granting a rent-free permit for 
operating a vending stand to a blind person. However, the permit will 
not be granted if in the opinion of the responsible commander such 
action would reduce revenue below the point necessary for maintaining an 
adequate morale and recreation program. The commander should consider 
the fact that funds derived from certain nonappropriated fund activities 
such as post exchanges, motion picture theaters, and post restaurants 
are used to

[[Page 288]]

supplement appropriated funds in conducting the morale and recreation 
program.
    (2) The preference established in paragraph (i)(1) of this section 
will be protected from the unfair or unreasonable competition of vending 
machines. No vending machine will be located within reasonable proximity 
of a vending stand that is operated by a licensed blind person if the 
vending machine vends articles of the same type sold at the stand, 
unless local needs require the placement of such a machine. If such is 
the case, the operation of, and income from the machine, will be assumed 
by the blind vending stand operator.
    (3) So far as is practicable, goods sold at vending stands that are 
operated by the blind will consist of newspapers, periodicals, 
confections, tobacco products, articles that are dispensed automatically 
or are in containers or wrappings in which they were placed before they 
were received by the vending stand, and other suitable articles that may 
be approved by the installation commander for each vending stand 
location.
    (4) If the commanders and State licensing agencies fail to reach an 
agreement on the granting of a permit for a vending stand, the 
revocation or modification of a permit, the suitability of the stand 
location, the assignment of vending machine proceeds, the methods of 
operation of the stand, or other terms of the permit (including articles 
which may be sold), the State licensing agency may appeal the 
disagreement, through channels, to the Secretary of the Army. Appeals 
will be filed by State licensing agencies with the installation 
commander who will conduct a complete investigation and will give the 
State licensing agency an opportunity to present information. The report 
of investigation with the appeal will be forwarded through channels to 
Headquarters, Department of the Army (DAPE-ZA), Washington, DC 20310, as 
soon as possible. A final decision by the Secretary of the Army will be 
rendered within 90 days of the filing of the appeal to the installation 
commander. Notification of the decision on the appeal and the action 
taken will be reported to the State licensing agency, the Department of 
Health, Education, and Welfare, and the Department of Defense (Manpower, 
Reserve Affairs, and Logistics).
    (j) [Reserved]
    (k) Request from private sector union representatives to enter 
installations. (1) When labor representatives request permission to 
enter military installations on which private contractor employees are 
engaged in contract work to conduct union business during working hours 
in connection with the contract between the government and the 
contractor by whom union members are employed, the installation 
commander may admit these representatives, provided--
    (i) The presence and activities of the labor representatives will 
not interfere with the progress of the contract work involved; and
    (ii) The entry of the representatives to the installation will not 
violate pertinent safety or security regulations.
    (2) Labor representatives are not authorized to engage in organizing 
activities, collective bargaining discussions, or other matters not 
directly connected with the Government contract on military 
installations. However, the installation commander may authorize labor 
representatives to enter the installation to distribute organizational 
literature and authorization cards to employees of private contractors, 
provided such distribution does not--
    (i) Occur in working areas or during working times;
    (ii) Interfere with contract performance;
    (iii) Interfere with the efficient operation of the installation; or
    (iv) Violate pertinent safety or security considerations.
    (3) The determination as to who is an appropriate labor 
representative should be made by the installation commander after 
consulting with his/her labor counselor or judge advocate. Nothing in 
this regulation, however, will be construed to prohibit private 
contractors' employees from distibuting organizational literature or 
authorization cards on installation property if such activity does not 
violate the conditions enumerated in

[[Page 289]]

paragraph (k)(2) of this section. Business offices or desk space for 
labor organizations on the installation is not authorized to be provided 
for solicitation of membership among contractors' employees, collection 
of dues, or other business of the labor organization not directly 
connected with the contract work. The providing of office or desk space 
for a contractor is authorized for routine functions by the working 
steward whose union duties are incidental to his/her assigned job and 
connected directly with the contract work.
    (4) Only the installation commander or a contracting officer can 
deny entry to a labor representative who seeks permission to enter the 
installation in accordance with paragraph (k) of this section. If a 
labor representative is denied entry for any reason, such denial will be 
reported to the Labor Advisor, Office of the Assistant Secretary of the 
Army (IL&FM), Washington, DC 20310. This report will include the reasons 
for denial, including--
    (5) The provisions of paragraphs (k), (1), (2), (3), and (4) of this 
section on organizations representing private contractors' employees 
should be distinguished from activities involving organization and 
representation of Federal civilian employees. See CPR 711 for the 
functions, duties and obligations of an installation commander regarding 
Federal civilian employee unions.
    (l) Publication of telephone directories. See chapter 5, AR 105-23. 
A copy of this document may be obtained by writing to Headquarters, 
Department of the Army (DAAG-PAP-W), Washington, DC 20314.
    (m) Observance of labor laws on military installations. (1) 
Installation and activity commanders will ensure that all his/her 
employers on the installation or activity are apprised of their 
obligation to comply with Federal, State, and local laws, including 
those relating to the employment of child labor. When an employer who is 
operating on the installation or activity is responsible to an authority 
other than the installation or activity commander, the commander will 
direct that the authority's representative apprise the employer of his/
her obligations regarding labor law. This applies to employers in all 
activities, including nonappropriated fund activities established as 
Federal instrumentalities according to AR 230-1, Nonappropriated Fund 
System, concessionaires of such activities, and other private employers. 
A copy of the above document may be obtained by writing to Headquarters, 
Department of the Army (DAAG-PAP-W), Washington, DC 20314.
    (2) Installation commander will cooperate fully with state or other 
governmental officials who bring to their attention complaints that 
children are employed on military installations or reservations under 
conditions that are detrimental to their health, safety, education, and 
well-being.
    (n) Hitchhiking. Hitchhiking is prohibited by the Army. This does 
not preclude acceptance of offers of rides voluntarily made by 
individuals or properly accredited organizations nor does it preclude 
the use of properly authorized and established share-the-ride or similar 
stations which may be sanctioned by local military authorities. For 
personal safety, personnel should exercise caution at facilities, for 
example, by accepting rides only from persons they know or by traveling 
in groups. Similarly, drivers should use discretion when offering rides 
to personnel at share-the-ride stations. Drivers are prohibited from 
picking up hitchhikers.
    (o) Employment of civilian food service personnel. See AR 30-1, The 
Army Food Service Program. A copy of this document may be obtained by 
writing to Headquarters, Department of the Army (DAAG-PAP-W), 
Washington, DC 20314
[44 FR 7948, Feb. 8, 1979, as amended at 45 FR 73037, Nov. 4, 1980]



Sec. 552.19  Hunting and fishing permits.

    All permits to hunt, catch, trap, or kill any kind of game animal, 
game or nongame bird, or to fish on a military reservation or the waters 
thereof will be issued by the commanding officer.
[13 FR 6058, Oct. 15, 1948]

[[Page 290]]



 Subpart C--Entry Regulations for Certain Army Training Areas in Hawaii



Sec. 552.25  Entry regulations for certain Army training areas in Hawaii.

    (a) Purpose. (1) This regulation establishes procedures governing 
the entry onto certain Army training areas in Hawaii as defined in 
paragraph (d) of this section.
    (2) These procedures have been established to prevent the 
interruption of the use of these Army training areas by any person or 
persons. The continued and uninterrupted use of these training areas by 
the military is vital in order to maintain and to improve the combat 
readiness of the U.S. Armed Forces. In addition, conditions exist within 
these training areas which could be dangerous to any unauthorized 
persons who enter these areas.
    (b) Applicability. The procedures outlined in this regulation apply 
to all individuals except for soldiers and Army civilians of the United 
States who in performance of their official duties enter the training 
areas defined in paragraph (d) of this section.
    (c) References. Related publications are listed below:
    (1) Executive Order No. 11166 of 15 August 1964. (3 CFR, 1964-1965 
Comp., pp 219-220).
    (2) Executive Order No. 11167 of 15 August 1964. (3 CFR, 1964-1965 
Comp., pp 220-222).
    (3) Title 18, United States Code, section 1382.
    (4) Internal Security Act of 1950, section 21 (50 U.S.C. 797).
    (d) Definition. For the purpose of this regulation, ``certain Army 
training areas in Hawaii'' are defined as follows:
    (1) Makua Valley, Waianae, Oahu, Hawaii: That area reserved for 
military use by Executive Order No. 11166 (paragraph (c)(1) of this 
section).
    (2) Pohakuloa Training Area, Hawaii: That area reserved for military 
use by Executive Order No. 11167 (paragraph (c)(2) of this section).
    (e) Procedures. (1) Except for soldiers and Army civilians of the 
United States in the performance of their duties, entry onto Army 
training areas described in paragraph (d) of this section for any 
purpose whatsoever without the advance consent of the Commander, United 
States Army Support Command, Hawaii, or his authorized representative, 
is prohibited (paragraph (c)(3) and (c)(4) of this section).
    (2) Any person or group of persons desiring the advance consent of 
the Commander, United States Army Support Command, Hawaii, shall, in 
writing, submit a request to the following address: Commander, USASCH, 
ATTN: Chief of Staff, Fort Shafter, Hawaii 96858-5000.
    (3) Each request for entry will be considered on an individual basis 
weighing the operational and training commitments of the area involved, 
security, and safety with the purpose, size of party, duration of visit, 
destination, and the military resources which would be required by the 
granting of the request.
    (f) Violations. (1) Any person entering or remaining upon any 
training area described in paragraph (d) without the advance consent of 
the Commander, USASCH, or his authorized representative, shall be 
subject to the penalties prescribed by paragraph (c)(3) of this section, 
which provides in pertinent part: ``Whoever, within the jurisdiction of 
the United States, goes upon any military, naval * * * reservation, 
post, fort, arsenal, yard, station, or installation, for any purpose 
prohibited by law or lawful regulation * * * shall be fined not more 
than $500.00 or imprisoned not more than 6 months or both.''
    (2) Moreover, any person who willfully violates this regulation is 
subject to a fine not to exceed $5,000.00 or imprisonment for not more 
than 1 year or both as provided in paragraph (c)(4) of this section.
    (3) In addition, violation of this regulation by persons subject to 
the Uniform Code of Military Justice (10 U.S.C. 801-940) is a violation 
of Article 92 of the Uniform Code of Military Justice.
[52 FR 44393, Nov. 19, 1987]



       Subpart D--Acquisition of Real Estate and Interest Therein

    Source: 22 FR 9284, Nov. 21, 1957, unless otherwise noted.

[[Page 291]]



Sec. 552.30  Purpose.

    The regulations in Secs. 552.30 to 552.39 set forth the authority, 
policy, responsibility, and procedure for the acquisition of real estate 
and interests therein, for use for military purposes by the Department 
of the Army. The regulations of Secs. 552.30 to 552.39 do not apply to 
Civil Works Projects which are under the supervision of the Chief of 
Engineers.



Sec. 552.31  Definitions.

    As used in Secs. 552.30 to 552.39, the following definitions apply:
    (a) Real estate. Real estate includes lands and interests therein, 
leaseholds, standing timber, buildings, improvements, and appurtenances 
thereto owned by the United States and under the control of the 
Department of the Army. It also includes piers, docks, warehouses, 
rights-of-way, and easements, whether temporary or permanent, and 
improvements permanently attached to and ordinarily considered real 
estate. It does not include machinery, equipment, or tools which have 
not been affixed to or which have been severed or removed from any such 
lands or buildings or may be so severed or removed without destroying 
the usefulness of the structures.
    (b) Installation. An installation is real estate and the 
improvements thereon which is under the control of the Department of the 
Army, at which functions of the Department of the Army are carried on, 
and which has been established by order of the Department of the Army. 
Real estate and the improvements thereon utilized by posts, camps, 
airfields, hospitals, depots, arsenals, industrial facilities, 
cemeteries, etc., generally will be designated as an installation where 
located separately, but where located contiguously or on the same 
reservation the combined property will usually be designated as one 
installation and the separate functions will be designated as activities 
at that installation. As used in the regulations in Secs. 552.30 to 
552.39, the term ``installation'' will include installations, 
subinstallations, and separate locations housing an activity.
    (c) Subinstallation. A subinstallation is real estate and the 
improvements thereon which is under the control of the Department of the 
Army, at which functions of the Department of the Army are carried on, 
and which has been assigned as a subinstallation by Department of the 
Army authority. Subinstallations are attached to installations for 
command and administrative purposes, although they are located 
separately.
    (d) Activity. An activity is a function or a group of related 
functions which may be carried on at an installation, a subinstallation, 
or a separate location which has not been designated as a Department of 
the Army installation or subinstallation.
    (e) Command installation. A command installation is any installation 
of the Department of the Army, including nonmanufacturing arsenals, 
primarily used or useful for activities of the Army other than for the 
production of materiel, munitions, or supplies.
    (f) Industrial installation. Any unit of real property under control 
of the Department of the Army (including structures on land owned by or 
leased to the United States, substantially equipped with production 
utilities and maintenance machinery, tools, equipment, and including 
housing and other supporting facilities built as an integral part of the 
installation) designed for the production of equipment, supplies, or 
materials for military use; or for the processing, production, or 
manufacturing of components of such items.
    (g) Lease. A lease is a conveyance of an interest in real estate for 
a term of years, revocable at will, or as otherwise provided in the 
instrument in consideration of a return of rent.
    (h) License. A license is a bare authority to do a specified act or 
acts upon the land of the licensor without possessing or acquiring any 
estate therein.
    (i) Easement. An easement is a conveyance of an interest in real 
estate for the purpose or purposes specified in the grant.



Sec. 552.32  Authority to acquire real estate and interests therein.

    While the Federal Government has the inherent power to acquire land 
for its constitutional purposes, this power can be exercised only at the 
discretion

[[Page 292]]

of Congress (Van Brocklin v. Tennessee, 117 U.S. 151; 29 L. Ed. 845; 6 
S. Ct. 670). No land shall be purchased on account of the United States, 
except under a law authorizing such purchase (R. S. 3736; 41 U.S.C. 14). 
No real estate not in Federal ownership shall be acquired by a military 
department, except as such acquisition is or shall be expressly 
authorized by law (section 501(b), Act July 27, 1954; Pub. L. 534, 83d 
Congress; 68 Stat. 560).



Sec. 552.33  Estates and methods of acquisition.

    (a) Title to non-Government-owned real estate will be by purchase, 
condemnation, donation (when the authorization act specifies donation), 
and exchange (when the authorization act specifies exchange).
    (b) Easements in non-Government-owned real estate are the same as in 
paragraph (a) of this section.
    (c) Licenses in non-Government-owned real estate are generally by 
donation, although a nonrevocable license might be acquired by purchase.
    (d) Leaseholds in non-Government-owned real estate will be by 
negotiation or condemnation. Leaseholds may give the Government 
exclusive use or may give the Government co-use with the owner for 
specific purposes.
    (e) Jurisdiction over Government-owned real estate will be by 
transfer, reassignment, withdrawal, and reservation.
    (f) Permits to use Government-owned real estate will be by 
instrument issued by another Government department or agency. Although 
in the nature of a license (may be revocable or nonrevocable), the 
instrument is designated as a ``permit'', since it relates to 
Government-owned real estate, to distinguish it from a ``license'' 
relating to non-Government-owned real estate.
    (g) Recapture of use of former Government-owned real estate which 
was disposed of subject to a ``National Security Clause,'' a ``National 
Emergency Clause,'' or a similar provision will be by letter from the 
Chief of Engineers to the owner of the property, based upon a directive 
from the Secretary of the Army or his designee.
    (h) Revestment of title to former Government-owned real estate which 
was disposed of subject to a reverter provision, such as a ``National 
Defense Purpose Clause'' will be by letter to the owner by the official 
of the department designated in the conveyance by the Government.
    (i) Procurement of options on real estate which is ``suitable and 
likely to be required'' in connection with a military public works 
project, prior to express authorization by law for the acquisition of 
said real estate will be by negotiation.
    (j) Extinguishment of third party interests in lands owned or 
controlled by the United States, such as outstanding oil, gas, and other 
mineral rights; grazing rights; timber rights; water rights; and 
easements for rights-of-way for highways, railroads, power lines, 
communication lines, water lines, and sewer lines will be the same as 
prescribed in paragraph (a) of this section. Payment for extinguishment 
of grazing rights or licenses on public domain or other property owned 
by or under the control of the United States is made pursuant to Act 
July 9, 1942; 56 Stat. 654; as amended by Act May 28, 1948; 62 Stat. 
277; and as further amended by Act October 29, 1949; 63 Stat. 996 (43 
U.S.C. 315q and r).



Sec. 552.34  Policies relative to new acquisition.

    (a) Present holdings inadequate for essential mission. No request to 
acquire real estate by transfer from Navy or Air Force or from another 
Government agency, or by purchase, lease or condemnation will be 
considered or approved unless it is established that:
    (1) The activity to be accommodated is essential to an assigned 
mission.
    (2) Real property under the control of the Army is inadequate to 
satisfy these requirements.
    (3) No real property under the control of the Navy or Air Force or 
other Federal agencies is suitable and available for use by the Army on 
a permit or joint use basis.
    (b) Order of priority for method of acquisition. If the activity 
qualifies as essential to an assigned mission but the need cannot be 
filled by the use of other Army property or other Federal property on a 
permit or joint use basis,

[[Page 293]]

the following alternatives will be considered in the order listed:
    (1) Donation or long-term nominal rental lease.
    (2) Transfer from Navy or Air Force. Acquisition of lands excess to 
the requirements of other military departments.
    (3) Recapture of use.
    (4) Public Domain. Withdrawal from the public domain for military 
use. (Pub. L. 85-337, Feb. 28, 1958 (72 Stat. 28) requires that an Act 
of Congress be obtained to withdraw, reserve, or restrict for defense 
purposes more than 5,000 acres of the public domain.)
    (5) Acquisition by exchange. Exercise of existing authorities for 
the exchange of Government-owned real property for non-Government-owned 
real property that is by type or location adaptable to the military 
need.
    (6) Transfer from other Federal agencies. Acquisition of lands 
excess to the requirement of Federal agencies other than military 
departments.
    (7) Acquisition by purchase, lease or condemnation.
    (c) Current requirements given preference. In considering the use of 
Army real property by another military department, current requirements 
will, in the absence of unusual circumstances, be given preference over 
future needs and mobilization requirements. If the current requirement 
will not continue through mobilization, care must be exercised to avoid 
modification of the property in a manner that would prevent its timely 
return to the holding department to meet the mobilization requirement. 
If it is contemplated that the current requirement will continue through 
mobilization, the property may be modified as required and the 
mobilization plans of the military departments concerned should be 
changed accordingly.
    (d) Firm requirements and minimum acquisition. Requirements in each 
individual case will be firmly determined and only the minimum amount of 
property necessary will be acquired.
    (e) Factors considered insufficient justification for acquisition by 
lease. Desirability of location in an urban area, reduced travel time 
for employees or business representatives, nominal savings in 
transportation costs, environmental considerations (such as noise or 
traffic), or desirability of single unit offices instead of split 
locations in close proximity will not be considered sufficient 
justification for acquiring leased space or facilities when Government-
owned property is available. For exceptions, see paragraph (f) of this 
section.
    (f) Special location considerations. Acquisition of title or a 
leasehold interest in real property may be justified where it is 
demonstrated that the function to be accommodated is an essential 
activity and the geographic location thereof in other than Government-
owned space is vital to the accomplishment of the assigned mission. 
Examples that may fall in this group are recruiting stations (exclusive 
of kindred examining and induction units), airbases, air defense sites, 
and sites for construction of facilities for Reserve Components of the 
Armed Forces.
    (g) Army Reserve training sites. In general, title to lands will not 
be acquired for exclusive use as training sites. Training sites will be 
acquired by one of the following means in the order listed:
    (1) Use of lands under the control of the Department of the Army 
regardless of the agency maintaining jurisdiction, to include class II 
and industrial installations and other Reserve Component facilities, see 
title 10 U.S.C. 2331 and 2237.
    (2) Use of reservoir lands of Civil Works Projects. By informal 
agreement with the Resident Engineer or Manager (when training 
activities do not involve exclusive use, construction, or destruction of 
vegetation) or by permit from the District Engineer (for other 
activities when such activities are compatible with the operation and 
maintenance of the project and will not endanger the use by the general 
public of public access areas).
    (3) Use of lands, by permit or otherwise, under the control of the 
other military departments.
    (4) Use of lands by permit of other Government-owned land, including 
the public domain.
    (5) Use by license or nominal rental lease of local, county, or 
State-owned public lands.

[[Page 294]]

    (6) Use of privately owned land by short-term co-use lease under the 
authority granted in Sec. 552.39.
    (7) Use of non-Government-owned land by lease.
    (8) Acquisition of lands excess to the requirements of the other 
military departments.
    (9) Acquisition of lands excess to the requirements of Federal 
agencies other than the military departments.
    (10) Acquisition of the non-Government-owned land.
    (11) As a rule of thumb, lands will not be acquired for training 
from any source when the value of the land exceeds that of rural farm 
land in the area.
    (h) Public notice and release of information relative to proposed 
real estate acquisitions. It is the policy of the Department of the Army 
to give notice to the public and to release information to the public as 
early as possible (at the site selection stage) and as completely as 
possible, consistent with existing regulations. Even though opposition 
may develop in some cases because of early release of information as to 
proposed acquisitions, application of this policy should more often 
result in favorable public relations, general public support of proposed 
acquisitions, and material assistance in the selection of sites which 
will fulfill the military requirement and still have the least impact on 
the civilian economy. This policy will permit consideration of public 
preferences in the establishment of military facilities. Section 302 of 
the Act of July 14, 1960; Pub. L. 86-645, which is applicable to 
military as well as water resources public works projects, provides for 
dissemination of information on large new installations.
    (1) Restrictions relating to Agency Budget Estimates and 
Presidential Budget Recommendations. Bureau of the Budget Circular No. 
A-10, as revised, places restrictions on disclosure of Agency Budget 
Estimates and Presidential Budget Recommendations. It provides that 
budget recommendations and estimates are administratively confidential 
until made public through formal transmittal of the budget to Congress. 
Public notice and release of information relative to proposed real 
property acquisitions will, therefore, exclude any information as to 
whether the proposed acquisition has been included in a pending budget 
not yet formally transmitted to the Congress or is to be included in a 
future budget. Public notice and release of information will be on the 
basis of ``advance planning.''
    (2) General application and exceptions. Non-Government-owned real 
property generally is acquired by negotiations, based on its fair market 
value as established by Government appraisal and regardless of who the 
owner is, how much the owner paid for the property, and how long the 
owner has owned the property. For this reason, public notice and release 
of information should not tend normally to increase the value of the 
land involved or create speculation therein. Experience has proved that 
interest of the Government in specific real property normally tends to 
discourage trafficking therein. Though normally the release of 
information should not result in subsequent disadvantage to the 
Government, information will not be released in any specific case where 
it might have that result. AR 345-15 applies to the acquisition of real 
property only in those instances in which the release of advance 
information on proposed plans might provide undue discriminatory 
advantage to private or personal interests.
    (3) Application to Army Reserve facilities. During the preliminary 
site selection stage for Army Reserve facilities, the Army commander's 
representative will contact responsible local public officials to 
explain the nature of the proposed facility and to obtain their 
concurrence in the Army's acquisition and use of the site tentatively 
selected. Such a statement, including the names and titles of officials 
contacted, will be furnished by the Army commander to the District 
Engineer for inclusion in the Real Estate Planning Report. Release of 
information on Army Reserve centers will be made only by an authorized 
representative of the Army commander.
    (i) Use of unappropriated and nonnavigable water. It is the policy 
of the Department of the Army to utilize unappropriated and nonnavigable 
water upon or under lands under jurisdiction in such a manner as is 
consonant with

[[Page 295]]

the purposes of water laws which have been enacted by the several 
States.
    (j) Permanent construction. If permanent construction, defined as 
that which produces a building suitable and appropriate to serve a 
specific purpose for a maximum period of time (at least 25 years) and 
with a minimum of maintenance, is to be constructed by the Government, 
the Government must either hold or acquire title to the land (inclusive 
of all mineral rights and improvements) or a permanent easement 
interest, with the following exceptions:
    (1) Right of reuse by exercise of National Security Clause. 
Property, including land or buildings, over which the Government 
currently holds the right of reuse by exercise of the National Security 
Clause.
    (2) Right of reuse by exercise of National Emergency Use Provision. 
Property, including land or buildings, over which the Government holds 
the right of reuse by exercise of a National Emergency Use Provision. 
Inasmuch as such rights inure to the Government only during the period 
or periods of national emergency as may be declared by the President or 
the Congress and are extinguished by the termination thereof, every 
effort will be made to negotiate a lease covering such property under 
terms that would provide for the right of continuous possession by the 
Government for a minimum of 25 years.
    (3) Rights-of-way. Property required as a site for installation of 
utility lines and necessary appurtenances thereto, provided a long-term 
easement or lease can be secured at a consideration of $1 per term or 
per annum.
    (4) Airbase. Property required for airbases, provided such property 
can be acquired by lease containing provisions for:
    (i) Right of continuous use by the Government under firm term or 
right of renewal, for a minimum of 50 years.
    (ii) A rental consideration of $1 per term or per annum.
    (iii) Reserving to the Government title to all improvements to be 
placed on the land and the right to dispose of such improvements by sale 
or abandonment.
    (iv) Waiver by the lessor of any and all claims for restoration of 
the leased premises.
    (v) Use of the property for ``Government purposes'' rather than for 
a specific purpose.
    (5) Reserve Components facilities. Property required for facilities 
for the Reserve Components of the Armed Forces, provided such property 
can be acquired by lease containing provisions detailed in paragraphs 
(j)(4) (i), (ii), (iii), and (iv) of this section. When possible the 
insertion in a lease of provision restricting the use of the land to a 
specific purpose will be avoided; use of a term as ``Government 
purposes'' should be employed whenever possible.
    (6) Air defense sites. Property required for air defense sites 
provided such property can be acquired by lease containing provisions 
detailed in paragraphs (j)(4) (i), (ii), and (iv) of this section and in 
addition thereto a right of continuous use by the Government under a 
firm term or right of renewal for as long as required for defense 
purposes.
    (7) Exception by Assistant Secretary of Defense (Installations and 
Logistics). Where leases (for airbases, facilities for Reserve 
Components of the Armed Forces, or air defense sites) can be obtained 
containing some but not all of the above-listed provisions or where 
leases (for all other types of installations upon which permanent 
construction is to be placed by the Government) can be obtained 
containing similar provisions and it is considered to be to the best 
interest of the Government to acquire a lesser interest than fee title, 
it will be necessary to obtain approval from the Assistant Secretary of 
Defense (Installations and Logistics) prior to placing permanent 
construction thereon.
    (8) Construction projects not in excess of $25,000. Construction 
projects estimated to cost not in excess of $25,000 will not be 
considered as permanent construction for purposes of applying the above 
policy.
    (9) Industrial installations. See paragraph (l) of this section.
    (k) No permanent construction. Where temporary construction or no 
construction is to be placed by the Government, acquisition of a lesser 
interest

[[Page 296]]

(leasehold, easement, license, as appropriate) will generally be 
considered to be in the best interest of the Government, with the 
following exceptions:
    (1) Cost of construction. Where any proposed temporary construction 
to be placed by the Government has an estimated cost equal to or in 
excess of the current market value of the property.
    (2) Rent plus restoration. Where the calculated period of required 
use is of sufficient duration that the sum expended for rentals over 
this period plus restoration, if required, would exceed 50 percent of 
the current market value of the property. (Apply calculated period of 
required use or 20 years, whichever is less.)
    (3) Easement costing 75 percent of fee value. Where the cost of 
acquiring an easement right exceeds 75 percent of the current fair 
market value of the property.
    (l) Industrial installations--(1) Definitions. Industrial facilities 
as used herein are defined as plants, buildings, utilities, 
improvements, and additions and appurtenances thereto used for military 
production and related purposes, including testing and development. 
Nonseverable industrial facilities as used herein are defined as 
industrial facilities located on other than Government-owned land, and 
which, after erection or installation, cannot be removed without 
substantial loss of value or damage thereto, or to the premises where 
installed.
    (2) Policy. Industrial facilities will be located on land owned by 
the Government or in which the Government has a permanent, disposable 
interest. Nonseverable industrial facilities will be located on land in 
which the Government has a disposable interest equal in term to the 
estimated useful life of the facilities, unless the Head of a Procuring 
Activity, with consideration to any nonrecoverable costs involved, 
determines that such location is not feasible. If the Head of a 
Procuring Activity makes this determination, he may authorize the 
location of such facilities on other land, provided:
    (i) The estimated useful life of the facilities will not extend 
beyond the contract under which the facilities are installed or the 
completion of the work for which the facilities are provided; or
    (ii) The contractor agrees to purchase the facilities upon the end 
of the facilities contract at the acquisition cost of the facilities, 
less depreciation; or
    (iii) The Secretary approves other provisions as being in the 
interest of national defense.
    (iv) If location on land in which the Government does not have a 
disposable interest, as above set out, is authorized under paragraphs 
(l)(2)(i), (ii), or (iii) of this section, the Government must have the 
right to abandon the facilities in place, with no obligation to restore 
or rehabilitate the facilities or the premises on which they are 
located.
    (m) Commercial and industrial type facilities--(1) Policy. Privately 
owned or Government-owned and privately operated commercial and 
industrial type facilities will be used to the greatest extent 
practicable, recognizing the basic military necessity for integrated, 
self-sustaining units responsible to command and the necessity for 
operating anywhere in the world. It is the policy of the Department of 
the Army not to engage in the operation of industrial or commercial type 
facilities unless it can be demonstrated that it is necessary for the 
Government itself to perform the required work or service.
    (2) Definition. Commercial and industrial type facilities are 
defined as those devoted to an activity which normally might be 
performed by private industry (except commissaries, post exchanges, and 
nonappropriated fund activities) including, but not limited to, 
warehouses, motor repair shops, bakeries, laundries, and drycleaning 
facilities.
    (n) Department of Defense policy relative to liaison with Governor 
of Commonwealth of Puerto Rico. By letter dated August 19, 1953, the 
Secretary of Defense informed the Governor of the Commonwealth of Puerto 
Rico that the Department of Defense would establish liaison with the 
Governor to coordinate all military requirements for land acquisition in 
Puerto Rico. By memorandum dated August 19, 1953, the Secretary of 
Defense instructed that such liaison would be established under the 
direction of the Department of the Army, in coordination with the other 
interested services. On September 8,

[[Page 297]]

1953, the Department of the Army requested the Commander in Chief, 
Caribbean Command, to establish such liaison. Liaison is being 
maintained locally between the Commandant of the Caribbean Sea Frontier 
and the Chairman of the Puerto Rico Planning Board. The liason applies 
to the proposed acquisition of title or any interest in land which is 
other than (Federal) Government-owned land. In all cases, liaison action 
will be initiated during the advance planning or site selection stages. 
The purpose is to give Puerto Rican officials advance notice of military 
real property requirements and to give them an opportunity to suggest 
suitable alternatives in an effort to improve public relations with 
Puerto Rican officials, landowners, and the general public.
[27 FR 6140, June 29, 1962]



Sec. 552.35  Rights-of-entry for survey and exploration.

    (a) Voluntary. Where it is necessary to enter upon non-Government-
owned real estate during site selection, particularly for the purpose of 
conducting topographic surveys and test borings, the appropriate 
division or district engineer will negotiate rights-of-entry for survey 
and exploration. The instrument is in the nature of a license which does 
not convey an interest in land but precludes the entry from being a 
trespass. Since the entry is for a limited purpose and for a relatively 
short period of time, the landowner is not offered rental for the 
privileges requested. Where the landowner insists upon payment for the 
privileges requested, district engineers are authorized to negotiate 
short-term co-use leases, within the limits of existing regulations.
    (b) Involuntary. Where rights-of-entry for survey and exploration or 
short-term co-use leases cannot be negotiated, the right-of-entry may be 
obtained through the institution of proceedings for the condemnation of 
a short-term co-use leasehold interest. This action is taken only where 
it can be shown that the entry is imperative and that it is impossible 
to negotiate a voluntary right-of-entry or short-term co-use lease.



Sec. 552.36  Rights-of-entry for construction.

    (a) When authorized. Rights-of-entry for construction will be 
obtained by the district engineer only after a real estate directive or 
authorization to lease has been issued and then only when the 
construction schedule does not allow sufficient time to complete 
negotiations for an option to purchase or for a lease, as appropriate.
    (b) Involuntary. Where a right-of-entry for construction cannot be 
negotiated, under the circumstances set forth in paragraph (a) of this 
section, a right-of-entry will be obtained through the institution of 
proceedings for the condemnation of fee title, an easement interest, or 
a leasehold interest, as appropriate.



Sec. 552.37  Acquisition by Chief of Engineers.

    (a) Statutory authority. The Chief of Engineers, under the direction 
of the Secretary of the Army, is charged with the acquisition of all 
real estate for the use of the Department of the Army (10 U.S.C. 3038).
    (b) Scope of responsibility. This authority is exercised by the 
Chief of Engineers, acting for the Secretary of the Army, in the 
acquisition of all real estate and interests therein for the use of the 
Department of the Army in continental United States, Territories, 
possessions, and the Commonwealth of Puerto Rico.
    (c) Delegated authority. The Chief of Engineers or his duly 
authorized representative has authority to approve, for the Secretary of 
the Army:
    (1) Fee, easement, and license acquisitions which do not exceed 
$5,000 for any one parcel and which constitute small tracts of 
additional land needed in connection with projects for which final 
Department of the Army, Department of Defense, and/or Congressional 
approval has been obtained, or which constitute rights-of-way for roads, 
railroads, and utility lines necessary to the construction, maintenance, 
and operation of an approved project.
    (2) Leasehold acquisition where the estimated annual rental for any 
single leasehold does not exceed $25,000 and the acquisition is not 
controversial,

[[Page 298]]

unusual, or inconsistent with Department of Army policies.
    (3) Renewal or extension of leaseholds.
    (4) Acquisition by permit of the right to use real property of 
another Government department or agency, except as to ``general 
purpose'' space from the General Services Administration and the Post 
Office Department and all space in the metropolitan District of Columbia 
area.
    (d) Minor boundary changes. The Chief of Engineers, in accomplishing 
acquisition in accordance with Department of Defense and Department of 
the Army policies and with real estate directives and authorizations to 
lease issued by the Secretary of the Army or his designee, is authorized 
to make minor boundary changes to avoid severance damages, by including 
or excluding small tracts of land which will not decrease the usefulness 
of the area for the purpose for which it is being acquired.
    (e) Responsibility for all negotiations. To avoid any possibility of 
misunderstanding by property owners and resultant embarrassment to the 
Department of the Army, under no circumstances will commitments be made 
either by negotiation or by dissemination of information to property 
owners, by any authority other than the Chief of Engineers. This is not 
intended to restrict the public notice and release of general 
information as set forth in Sec. 552.34(h).
    (f) Approval of title. The written opinion of the Attorney General, 
in favor of the validity of the title, will be obtained for any site or 
land purchased by the United States. Unless expressly waived by the 
pertinent authorization act or other act of Congress, this opinion will 
be obtained prior to the expenditure of public money upon such site or 
land (section 355, as amended, of the Revised Statutes; 50 U.S.C. 175) 
except:
    (1) Easements acquired for military purposes. (By agreement with the 
Attorney General, his opinion is obtained only in acquiring easements at 
a cost in excess of $100.)
    (2) Leases and licenses.
    (3) Jurisdiction of Government-owned land by transfer or use of 
Government-owned land by permit.
    (g) Furnishing title evidence. The Chief of Engineers, acting under 
the authority of the Secretary of the Army, will procure any evidence of 
title required by the Attorney General. The expense of procurement, 
except where otherwise authorized by law or provided by contract, may be 
paid out of the appropriations for the acquisition of land or out of the 
appropriations made for the contingencies of the Department of the Army 
(section 355, as amended, of the Revised Statutes; 50 U.S.C. 175).
    (h) Condemnation--(1) General. Fee title, easements, or leasehold 
interests may be acquired by the exercise of right of eminent domain 
through the institution of condemnation proceedings. These proceedings 
are instituted in the United States District Courts by the Attorney 
General, based upon requests from the Secretary of the Army. Normally, 
condemnation proceedings are instituted only after agreement cannot be 
reached with landowners or other parties in interest as to the value of 
the real property or interest therein to be acquired by the Government; 
where there are title defects which do not permit acquisition by 
purchase or lease, as appropriate; or where construction schedules or 
occupancy dates do not allow the Chief of Engineers sufficient time to 
conduct normal negotiations for options to purchase or lease.
    (2) Vesting of title or other interest in the United States. Under a 
condemnation proceeding, title, or other interest condemned vests in the 
United States upon entry of final judgment in the proceeding. Where it 
is necessary to have title or other interest vested in the United States 
at an earlier date, a Declaration of Taking, signed by the Secretary of 
the Army, may be filed in the proceeding, with the petition or at any 
time before final judgment. Upon the filing of the Declaration of Taking 
and deposit in the court of the amount of estimated compensation, title 
or other interest condemned vests in the United States (Act of February 
26, 1931; 46 Stat. 1421; 40 U.S.C. 258a).
[22 FR 9284, Nov. 21, 1957, as amended at 27 FR 6142, June 29, 1962]

[[Page 299]]



Sec. 552.38  Acquisition of maneuver agreements for Army commanders.

    (a) Authorization. After a maneuver is authorized by the Department 
of the Army, the Army commander will select the specific areas desired 
for use.
    (b) Real estate coverage. Real estate coverage will be in the form 
of agreements with landowners, granting the right to conduct maneuvers 
at a given time or periodically. Short-term leases for exclusive use may 
also be acquired for special areas (such as headquarters areas, radio 
relay sites, base camp sites, field hospital sites, and supply dumps) 
and buildings needed for warehouses, ordnance shops and similar purposes 
directly related to the maneuver. Permits will also be obtained to cover 
the use of lands under the jurisdiction of another Government department 
or agency.
    (c) Responsibility for negotiation and restoration. The appropriate 
division or district engineer will be responsible for negotiating 
maneuver agreements and short-term leases and, after the maneuver is 
completed, will be responsible for negotiating restoration settlements 
and/or releases, as appropriate.



Sec. 552.39  Acquisition of short-term leases by local commanding officers.

    Local commanding officers are authorized, without approval by higher 
authority, to make leases of camp sites, buildings, and grounds, for 
troops; office and storage space for small detachments; garage or 
parking space; space for recruiting stations; and land or space for 
similar purposes, provided:
    (a) Funds are available to the local commanding officer,
    (b) Rental consideration conforms to the prevailing rate in the 
locality,
    (c) The premises are to be occupied not longer than 3 months or in 
the case of Reserve training sites, not more than 90 days per year,
    (d) Rental for the entire period of occupancy does not exceed $500, 
and
    (e) Clearance is made with the General Services Administration, 
where required.
[22 FR 9284, Nov. 21, 1957, as amended at 23 FR 10536, Dec. 31, 1958]



            Subpart E--Solicitation on Military Reservations

    Authority: Sections 552.50 through 552.83 issued under 15 U.S.C. 
1601.

    Source: 45 FR 73037, Nov. 4, 1980, unless otherwise noted.



Sec. 552.50  Purpose.

    This regulation--
    (a) Prescribes general policy on the solicitation and sale of all 
goods, services, and commodities, including all types of insurance, on 
military installations. These are sold or solicited by dealers, 
tradesmen, and their agents.
    (b) Prescribes procedures for suspension of solicitation privileges.
    (c) Prescribes policies and procedures for investigative and 
enforcement actions.
    (d) Permits representatives of credit unions, banks, and approved 
non-profit associations to conduct national educational programs on--
    (1) Insurance, estate planning, savings, and budgeting, and
    (2) The protection and remedies afforded consumers under the Truth-
in-Lending Act.



Sec. 552.51  Applicability.

    (a) This regulation applies to--
    (1) All Department of the Army military and civilian personnel, 
including Army National Guard and Army Reserve personnel on active duty 
or annual training.
    (2) Individuals seeking to conduct commercial solicitation on 
military installations, including controlled housing areas. They will 
also be governed by regulations and controls of the local commander and, 
in overseas areas, by regulations of the unified or specified commander. 
They must also observe applicable laws, regulations, and agreements of 
the host country.
    (b) The provisions of this regulation do not apply to--
    (1) Commercial companies that furnish services to military 
installations (such as deliveries of milk, bread, and laundry) when they 
are authorized by the installation commander.
    (2) An individual who sells his own personal property or privately 
owned dwelling.

[[Page 300]]



Sec. 552.52  Explanation of terms.

    (a) Agent. Anyone who solicits the ordering or purchasing of goods, 
services, or commodities in exchange for money. ``Agent'' includes an 
individual who receives remuneration as a salesman for an insurer or 
whose remuneration is dependent on volume of sales or the making of 
sales.
    (b) Solicitation. The conduct of any private business, including the 
offering and sale of insurance on a military installation, whether 
initiated by the seller or the buyer. (Solicitation on installations is 
a privilege as distinguished from a right, and its control is a 
responsibility vested in the installation commander, subject to 
compliance with applicable regulations.)
    (c) Door-to-door solicitation. A sales method whereby an agent 
proceeds randomly or selectively from household to household without 
specific prior appointments or invitations. Door-to-door solicitation is 
not permitted on Army installations.
    (d) Specific appointment. A prearranged appointment that has been 
agreed upon by both parties and is definite as to place and time.
    (e) Insurer. Any company or association engaged in the business of 
selling insurance policies to Department of Defense (DOD) personnel.
    (f) Insurance carrier. An insurance company issuing insurance 
through an association or reinsuring or coinsuring such insurance.
    (g) Insurance policy. A policy or certificate of insurance issued by 
an insurer or evidence of insurance coverage issued by a self-insured 
association.
    (h) DOD personnel. Unless stated otherwise, such personnel means all 
active duty officer and enlisted members, and civilian employees of the 
Armed Forces. This includes Government employees of all the offices, 
agencies, and departments carrying on functions on a Defense 
installation, including non-appropriated fund instrumentalities.



Sec. 552.53  Regulatory requirements.

    Commanders may issue regulations governing solicitation within their 
commands and on their installations. These regulations will avoid 
discriminatory requirements which could eliminate or restrict 
competition. When there is a clear need to prescribe more restrictive 
requirements for solicitation than those in this regulation or the 
regulations of the major commander, these additional requirements or 
restrictions must first be reviewed and confirmed by The Adjutant 
General Center (DAAG-PSI), or by the overseas commander.



Sec. 552.54  Solicitation.

    The installation commanders may permit solicitation and transaction 
of commercial business on military installations. These solicitations 
and transactions must conform to installation regulations (CONUS and 
overseas) and must not interfere with military activities. No person may 
enter an installation and transact commercial business as a matter of 
right.



Sec. 552.55  Restrictions.

    To maintain discipline; protect property; and safeguard the health, 
morale, and welfare of his personnel, the installation commander may 
impose reasonable restrictions on the character and conduct of 
commercial activities. Members of the Armed Forces must not be subjected 
to fraudulent, usurious, or unethical business practices. Reasonable and 
consistent standards must be applied to each company and its agents in 
their conduct of commercial transactions on the installation.



Sec. 552.56  Licensing requirements.

    To transact personal commercial business on military installations 
in the United States, its territories, and the Commonwealth of Puerto 
Rico, individuals must present, on demand, to the installation 
commander, or his designee, documentary evidence that the company and 
its agents meet the licensing requirements of the State in which the 
installation is located. They must also meet any other applicable 
regulatory requirements imposed by civil authorities (Federal, State, 
county, or municipality). For ease of administration, the installation 
commander will issue a temporary permit to agents who meet these 
requirements.

[[Page 301]]



Sec. 552.57  Authorization to solicit.

    (a) Solicitation must be authorized by the installation commander. A 
specific appointment must be made with the individual and must be 
conducted in family quarters or in other areas designated by the 
installation commander. Before issuing a permit to solicit, the 
commander will require and review a statement of past employment. The 
commander will also determine, if practicable, whether the agent is 
employed by a reputable firm.
    (b) Certain companies seeking solicitation privileges on military 
installations may arrange personal demonstrations of their products at 
social gatherings and advise potential customers on their use. If these 
added services are provided, even though the merchandise sold by these 
companies is similar to that stocked by the post exchange, the 
installation commander may authorize solicitation privileges. Requests 
for this type of solicitation privilege will be coordinated with the 
local Army and Air Force Exchange Service representative. See paragraph 
3-2, Army Regulation 60-10.



Sec. 552.58  Other transactions.

    Commercial transactions with other than individuals (such as 
nonappropriated fund activities) are restricted to the office of the 
custodian of the specific fund activity. Business will be conducted 
during normal duty hours.



Sec. 552.59  Granting solicitation privileges.

    (a) Authorizations (permits) to solicit on Army installations will 
be in writing and will be valid for periods of 1 year or less.
    (b) Particular caution must be taken when granting solicitation 
permission. The impression that permission is official indorsement or 
that the Department of the Army favors, sponsors, or recommends the 
companies, agents, or the policies offered for sale must not be 
conveyed. As continuing policy, the Department of the Army does not 
indorse any seller or product.



Sec. 552.60  Supervision of on-post commercial activities.

    (a) General. (1) Installation commanders will ensure that all agents 
are given equal opportunity for interviews, by appointment, at the 
designated areas.
    (2) DOD personnel will not act in any official or business capacity, 
either directly or indirectly, as liaison with agents to arrange 
appointments.
    (3) Home address of members of the command or unit will not be given 
to commercial enterprises or individuals engaged in commercial 
solicitation, except when required by Army Regulation 340-17 and Army 
Regulation 340-21. The written consent of the individual must be 
obtained first.
    (b) Hours and location for solicitation. (1) Military personnel and 
their dependents will be solicited individually, by specific 
appointment, and at hours designated by the installation commander or 
his designee. Appointments will not interfere with any military duty. 
Door-to-door solicitation without a prior appointment, including 
solicitation by personnel whose ultimate purpose is to obtain sales 
(e.g., soliciting future appointments), is prohibited. Solicitors may 
contact prospective clients initially by methods such as advertising, 
direct mail, and telephone.
    (2) Commanders will provide one or more appropriate locations on the 
installation where agents may interview prospective purchasers. If space 
and other factors dictate limiting the number of agents who may use 
designated interviewing areas, the installation commander may publish 
policy covering this matter.
    (c) Regulations to be read by solicitors. A conspicuous notice of 
installation regulations will be posted in a form and a place easily 
accessible to all those conducting on-post commercial activities. Each 
agent authorized to solicit must read this notice and appropriate 
installation regulations. Copies will be made available on 
installations. When practicable, as determined by the installation 
commander, persons conducting on-base commercial activities will be 
furnished a copy of the applicable regulations. Each agent seeking a 
permit must acknowledge, in writing,

[[Page 302]]

that he has read the regulations, understands them, and further 
understands that any violation or noncompliance may result in suspension 
of the solicitation privilege for himself, his employer, or both.
    (d) Forbidden solicitation practices. Installation commanders will 
prohibit the following:
    (1) Solicitation during enlistment or induction processing or during 
basic combat training, and within the first half of the one station unit 
training cycle.
    (2) Solicitation of ``mass,'' group, or ``captive'' audiences.
    (3) Making appointments with or soliciting of military personnel who 
are in an ``on-duty'' status.
    (4) Soliciting without an appointment in areas used for housing or 
processing transient personnel, or soliciting in barracks areas used as 
quarters.
    (5) Use of official identification cards by retired or Reserve 
members of the Armed Forces to gain access to military installations to 
solicit.
    (6) Offering of false, unfair, improper, or deceptive inducements to 
purchase or trade.
    (7) Offering rebates to promote transaction or to eliminate 
competition. (Credit union interest refunds to borrowers are not 
considered a prohibited rebate.)
    (8) Use of any manipulative, deceptive, or fraudulent device, 
scheme, or artifice, including misleading advertising and sales 
literature.
    (9) Any oral or written representations which suggest or appear that 
the Department of the Army sponsors or endorses the company or its 
agents, or the goods, services, and commodities offered for sale.
    (10) Commercial solicitation by an active duty member of the Armed 
Forces of another member who is junior in rank or grade, at any time, on 
or off the military installation (Army Regulation 600-50).
    (11) Entry into any unauthorized or restricted area.
    (12) Assignment of desk space for interviews, except for specific 
prearranged appointments. During appointments, the agent must not 
display desk or other signs announcing the name of the company or 
product affiliation.
    (13) Use of the ``Daily Bulletin'' or any other notice, official, or 
unofficial, announcing the presence of an agent and his availability.
    (14) Distribution of literature other than to the person being 
interviewed.
    (15) Wearing of name tags that include the name of the company or 
product that the agent represents.
    (16) Offering of financial benefit or other valuable or desirable 
favors to military or civilian personnel to help or encourage sales 
transactions. This does not include advertising material for prospective 
purchasers (such as pens, pencils, wallets, and notebooks, normally with 
a value of $1 or less).
    (17) Use of any portion of installation facilities, to include 
quarters, as a showroom or store for the sale of goods or services, 
except as specifically authorized by regulations governing the 
operations of exchanges, commissaries, non-appropriated fund 
instrumentalities, and private organizations. This is not intended to 
preclude normal home enterprises, providing State and local laws are 
complied with.
    (18) Advertisements citing addresses or telephone numbers of 
commercial sales activities conducted on the installation.
    (e) Business reply system. Agents who desire to use a business reply 
card system will include the information on the card which a military 
member can complete to indicate where and when the member can meet the 
agent to discuss the subject. The meeting place should be that 
established in accordance with paragraph (b)(2) of this section, if the 
meeting is to be on the installation. This procedure should assist in 
removing any impression that the agent or his company are approved by 
the Department of the Army. It should further prevent an undesirable 
situation (e.g., military personnel paged on a public address system or 
called by a unit runner to report to the orderly room).



Sec. 552.61  Products and services offered in solicitation.

    Products and services, including life insurance, offered and sold on 
Army installations must comply with the laws

[[Page 303]]

of the States (and other civil jurisdictions) in which the installations 
are located. If a dispute or complaint arises, the applicable State will 
make the determination (Sec. 552.56).



Sec. 552.62  Advertising rules and educational programs.

    (a) The Department of the Army expects that commercial enterprises 
soliciting military personnel through advertisements appearing in 
unofficial military publications will voluntarily observe the highest 
business ethics in describing both the goods, services, and commodities 
and the terms of the sale (such as guarantees and warranties). If not, 
the publisher of the military publication will request the advertiser to 
observe them. The advertising of credit will conform to the provisions 
of the Truth-in-Lending Act, as implemented by Regulation Z, published 
by the Federal Reserve Board (12 CFR part 226).
    (b) Commanders will provide appropriate information and educational 
programs to provide members of the Army with information pertaining to 
the conduct of their personal commercial affairs (e.g., the protections 
and remedies offered consumers under the Truth-in-Lending Act, 
insurance, Government benefits, savings, estate planning, and 
budgeting). The services or representatives of credit unions, banks, and 
nonprofit military associations approved by HQDA may be used for this 
purpose provided their programs are entirely educational. Under no 
circumstances will the services of commercial agents, including loan or 
finance companies and their associations, be used for this purpose. 
Educational materials prepared or used by outside organizations or 
experts in this field may be adapted or used with applicable permission, 
provided the material is entirely educational and does not contain 
applications or contract forms.



Sec. 552.63  ``Cooling off'' period for door-to-door sales.

    The Federal Trade Commission Rule, 16 CFR part 429, p. 233, 
effective 7 June 1974, pertains to a cooling off period for door-to-door 
sales. The rule applies to any sale, lease, or rental of consumer goods 
or services with a purchase price of $25 or more, whether under single 
or multiple contracts, in which the seller or business representative 
personally solicits the sale, including those in response to or 
following an invitation by the buyer, and the buyer's agreement or offer 
to purchase is made at a place other than the place of business of the 
seller. The purpose of the law is to allow the consumer the right to 
cancel a transaction at any time prior to midnight of the third business 
day after the date of the transaction. When any door-to-door sale or 
transaction takes place anywhere on or off the installation (other than 
the seller's place of business) the consumer must be provided with a 
full and complete receipt or copy of a contract pertaining to the sale 
at the time of its execution which shall include the ``cancellation 
statements'' as required by the FTC rule.



Sec. 552.64  Sound insurance underwriting and programing.

    The Department of the Army encourages the acquisition of a sound 
insurance program that is suitably underwritten to meet the varying 
needs of the individual and is within his financial means. Accordingly, 
insurance agents may conduct personal business on an installation, when 
feasible, with disinterested third-party counseling provided, 
interviewing hours set aside, and facilities supplied. However, the 
privilege of insurance solicitation on installations is conditioned on 
full compliance with this regulation and on the clear understanding that 
permission is not indorsement of the company or the policies offered for 
sale.



Sec. 552.65  Command supervision.

    (a) All insurance business conducted on Army installation will be by 
appointment. When setting up the appointment, insurance agents must 
identify themselves to the prospective purchaser as an agent for a 
specific insurance company.
    (b) Department of Defense personnel are expressly prohibited from 
representing any insurance company or dealing either directly or 
indirectly with any insurance company or any

[[Page 304]]

recognized representative of an insurance company as an agent or in any 
official or business capacity for the solicitation of insurance to 
personnel on a military installation with or without compensation.
    (c) In addition to the forbidden practices, installation commanders 
will prohibit the following:
    (1) The use of a commercial insurance agent as a participant in any 
military-sponsored education or orientation program.
    (2) The designation or announcement of any agent as ``Battalion 
Insurance Advisor,'' ``Unit Insurance Counselor,'' ``SGLI Conversion 
Consultant,'' or similar quasi-official titles.



Sec. 552.66  Actions required by agents.

    (a) The agent must know that--
    (1) Soldiers to be solicited are in grades E-1, E-2, or E-3, and
    (2) The solicitation of these members is restricted to specified 
times and locations designated by the installation commander.
    (b) Agents must leave information on the policy applied for with 
each member in grades E-1, E-2, and E-3 who applies for insurance and 
the unit insurance officer or counselor. Agents must complete DA Form 
2056 (Commercial Insurance Solicitation Record). Blank DA Forms 2056 
(not allotment forms) will be available to insurance agents on request. 
In the ``Remarks'' section of DA Form 2056, agents will include all 
pertinent information and a clear statement that dividends are not 
guaranteed if the presentation refers to dividends.



Sec. 552.67  Life insurance policy content.

    Insurance policies offered and sold on Army installations must--
    (a) Comply with the insurance laws of the States or country in which 
the installations are located. The applicable State insurance 
commissioner will determine such compliance if there is a dispute or 
complaint.
    (b) Contain no restrictions because of military service or military 
occupational specialty of the insured, unless restrictions are clearly 
indicated on the face of the policy.
    (c) Plainly indicate any extra premium charges imposed because of 
military service or military occupational specialty.
    (d) Not vary in the amount of death benefit or premium based on the 
length of time the policy has been in force, unless it is clearly 
described therein.
    (e) For purposes of paragraphs (b) through (d) of this section, be 
stamped with an appropriate reference on the face of the policy to focus 
attention on any extra premium charges imposed and on any variations in 
the amount of death benefit or premium based on the length of time the 
policy has been in force.
    (f) Variable life insurance policies may be offered provided they 
meet the criteria of the appropriate insurance regulatory agency and the 
Securities and Exchange Commission.
    (g) Show only the actual premiums payable for life insurance 
coverage.



Sec. 552.68  Minimum requirements for agents.

    (a) In the United States, its territories, and the Commonwealth of 
Puerto Rico, agents may be authorized to solicit on an installation 
provided--
    (1) Both the company and its agents are licensed in the State in 
which the installation is located. ``State'' as it pertains to political 
jurisdictions includes the 50 States, territories, and the Commonwealth 
of Puerto Rico.
    (2) The application to solicit is made by an accredited company 
(Sec. 552.69).
    (b) On Army military installation in foreign areas.
    (1) An agent may solicit business on U.S. military installations in 
foreign areas if--
    (i) The company he represents has been accredited by DOD;
    (ii) His name is on the official list of accredited agents 
maintained by the applicable major command;
    (iii) His employer, the company, has obtained clearance for him from 
the appropriate overseas commanders; and
    (iv) The commanding officer of the military installation on which he 
desires to solicit has granted him permission.
    (2) To be employed for overseas solicitation and designated as an 
accredited agent, agents must have at least 1 year

[[Page 305]]

of successful life insurance underwriting in the United States or its 
territories. Generally, this is within the 5 years preceding the date of 
application.
    (3) General agents and agents will represent only one accredited 
commercial insurance company. The overseas commander may waive this 
requirement if multiple representation can be proven to be in the best 
interest of DOD personnel.
    (4) An agent must possess a current State license. The overseas 
commander may waive this requirement on behalf of an accredited agent 
who has been continuously residing and successfully selling life 
insurance in foreign areas and forfeits his eligibility for a State 
license, through no fault of his own, due to the operation of State law 
or regulation governing domicile requirements, or requiring that the 
agent's company be licensed to do business in that State. The request 
for a waiver will contain the name of the State and jurisdiction, which 
would not renew the agent's license.
    (5) An agent, once accredited in an overseas area, may not change 
his affiliation from the staff of one general agent to another, unless 
the losing company certifies, in writing, that the release is without 
justifiable prejudice. Unified commanders will have final authority to 
determine justifiable prejudice.
    (6) Where the accredited insurer's policy permits, an overseas 
accredited life insurance agent, if duly qualified to engage in security 
activities either as a registered representative of a member of the 
National Association of Securities Dealers or an associated person of a 
broker/dealer registered with the Securities and Exchange Commission 
only, may offer life insurance and securities for sale simultaneously. 
In cases of commingled sales, the allotment of pay for the purchase of 
securities cannot be made to the insurer.
    (7) Overseas commanders will exercise further agent control 
procedures as necessary.



Sec. 552.69  Application by companies to solicit on military installations in the United States, its territories, or the Commonwealth of Puerto Rico.

    Before a company may be accredited to solicit on a military 
installation, the commander must receive a letter of application, signed 
by the company's president or vice president. It must be understood that 
a knowing and willful false statement is punishable by fine or 
imprisonment (18 U.S.C. 1001). The letter of application will--
    (a) Report the States in which the company is qualified and licensed 
to sell insurance.
    (b) Give the name, complete address, and telephone number of each 
agent who will solicit on the installation if approval is granted; the 
State in which licensed; the date of licensing and the expiration date; 
and a statement of agreement to report all future additions and 
separations of agents employed for solicitation on the installation.
    (c) List all policies and their form numbers that are to be offered 
for purchase on the installation. Application will be offered for 
purchase and that these policies meet the requirements of 
Sec. 552.67(d).
    Attest that--
    (1) The privilege of soliciting the purchase of life insurance is 
not currently suspended or withdrawn from the company by any of the 
military departments.
    (2) The privilege of soliciting the purchase of life insurance is 
not currently suspended or withdrawn by any Armed Forces installations 
from any of the agents named.
    (3) The company and the agent named have proper and currently 
validated licenses as required by Sec. 552.68.
    (4) The company assumes full responsibility for its agents complying 
with this regulation and with any regulations published by the 
installation commander.



Sec. 552.70  Applications by companies to solicit on installations in foreign countries.

    (a) Each May and June only, DOD accepts applications from commercial

[[Page 306]]

life insurance companies for accreditation to solicit the purchase of 
commercial life insurance on installations in foreign countries for the 
fiscal year beginning the following October.
    (b) Information about permission to solicit on installations outside 
the United States (exclusive of its territories and the Commonwealth of 
Puerto Rico) is contained in instructions issued by DOD. Applications 
and any correspondence relating thereto should be addressed to Assistant 
Secretary of Defense (Manpower, Reserve Affairs, and Logistics), ATTN: 
Directorate, Personnel Services, ODASD(MPP), WASH DC 20301.
    (c) Advice of action taken by DOD is announced annually by letters 
sent to overseas commanders as soon as practicable after 15 September. 
The list of companies and agents may vary from year to year.



Sec. 552.71  Associations--general.

    The recent growth of quasi-military associations offering various 
insurance plans to military personnel is recognized. Some associations 
are not organized within the supervision of insurance laws of either the 
Federal or State Government. While some are organized for profit, others 
function as nonprofit associations under Internal Revenue Service 
regulations. Regardless of how insurance plans are offered to members, 
the management of the association is responsible for assuring that all 
aspects of its insurance programs comply fully with the instructions of 
this regulation.



Sec. 552.72  Use of the allotment of pay system.

    (a) Allotments of military pay will be made in accordance with Army 
Regulation 37-104-3. Allotments will not be made to an insurer for the 
purchase of a commingled sale (e.g., retirement plans, securities).
    (b) Under no circumstances will agents have allotment forms in their 
possession or attempt to assist or coordinate the administrative 
processing of such forms.
    (c) For personnel in grades E-1, E-2, and E-3, at least 7 days 
should elapse between the signing of a life insurance application or 
contract and the certification of an allotment. The purchaser's 
commanding officer may grant a waiver of this requirement for good 
cause, such as the purchaser's imminent permanent change of station.



Sec. 552.73  Minimum requirements for automobile insurance policies.

    Policies sold on installations by both accepted and accredited 
insurers will meet all statutory and regulatory requirements of the 
State or host nation in which the installation is located. Policies will 
not be issued in amounts lower than the minimum limits prescribed by 
these authorities. In addition, policies will--
    (a) Clearly identify the name of the insurer and the full address.
    (1) Applications without the name and address of the insurer 
underwriting the insurance may be used; the names of sales or 
underwriting agents alone is not sufficient.
    (2) Post office box addresses are not an acceptable address.
    (b) Provide bodily injury and property damage liability coverage for 
all drivers authorized by the named insured to operate the vehicle. 
Military indorsements, excluding persons other than the named insured, 
whether in the military or not, are not acceptable.
    (c) Not contain unusual limitations or restrictions, including, but 
not limited to, the following:
    (1) Limitations specifying that coverage is afforded only when the 
insured vehicle is operated in the designated geographic areas in the 
United States (e.g., coverage applicable only on a military 
reservation). If the installation is located within the United States, 
the standard provision limiting coverage to the United States and Canada 
is acceptable.
    (2) Coverage limited to exclude liability for bodily injury to 
passengers and guests if such a liability exists as a matter of law.



Sec. 552.74  Grounds for suspension.

    The installation commander will deny or revoke permission of a 
company and its agents to conduct commercial activities on the 
installation if

[[Page 307]]

it is in the best interests of the command. The grounds for taking this 
action will include, but will not be limited to, the following:
    (a) Failure of company to meet the licensing and other regulatory 
requirements prescribed in Sec. 552.56.
    (b) An agent or representative engaged in any of the solicitation 
practices prohibited by this regulation.
    (c) Substantiated adverse complaints or reports about the quality of 
the goods, services, or commodities and the manner in which they are 
offered for sale.
    (d) Personal misconduct by agents or representatives while on the 
military installation.
    (e) The possession of or any attempt to obtain allotment forms, or 
to assist or coordinate the administrative processing of such forms.
    (f) Knowing and willful violation of the Truth-in-Lending Act or 
Federal Regulation Z.
    (g) Failure to incorporate and abide by the Standards of Fairness 
policies. (See Sec. 552.83.)



Sec. 552.75  Factors in suspending solicitation privileges.

    In suspending privileges for cause, the installation commander will 
determine whether to limit suspension to the agent alone or to extent it 
to the company he represents. This decision will be based on the 
circumstances of the particular case. Included are--
    (a) The nature of the violations and their frequencies;
    (b) The extent to which other agents of the company have engaged in 
these practices;
    (c) Previous warnings or suspensions; and
    (d) Other matters that show the company's guilt or failure to take 
reasonable corrective or remedial action.



Sec. 552.76  Preliminary investigation.

    When unauthorized solicitation practices have apparently occurred, 
an investigating officer will be appointed (Army Regulation 15-6). The 
investigating officer will gather sworn statements from all interested 
parties who have any knowledge of the alleged violations.



Sec. 552.77  Suspension approval.

    The installation commander will personally approve all cases in 
which solicitation privileges have been denied or suspended for cause. 
This includes agents, companies, or other commercial enterprises. 
Authority to temporarily suspend solicitation privileges for 30 days or 
less while an investigation is conducted may be delegated by the 
commander to the installation solicitation officer or other designee. 
Exception to this time frame must be approved by The Adjutant General 
(DAAG-PSI) or by the overseas commander. The commander will make the 
final determination.



Sec. 552.78  ``Show cause'' hearing.

    Before suspending the solicitation privilege, the company and the 
agent will have a chance to show cause why the action should not be 
taken. ``Show cause'' is an opportunity for the company, the agent, or 
both to present facts informally on their behalf. The company and agent 
will be notified, by letter, far in advance of the pending hearing. If 
unable to notify the agent directly or indirectly of the hearing, then 
the hearing may proceed.



Sec. 552.79  Suspension action.

    (a) When suspended for cause, immediately notify the company and the 
agent, in writing, of the reason. When the installation commander 
determines that suspension should be extended throughout the Department 
of the Army (whether for the agent or his company), send the case to 
HQDA (DAAGPSI) WASH DC 20314. Provide all factors on which the commander 
based his decision concerning the agent or company (exempt report, para 
7-2o, Army Regulation 335-15). This notification should include--
    (1) Copies of the ``show cause'' hearing record or summary,
    (2) The installation regulations or extract,
    (3) The investigation report with sworn statements by all personnel 
affected by or having knowledge of the violations,
    (4) The statement signed by the agent as required in Sec. 552.60(c).

[[Page 308]]

    (5) Notification letters sent to the company and the agent advising 
of suspension of installation solicitation privileges, and
    (6) If the agent failed to respond to notification of the hearing, a 
copy of the letters sent to him and the company offering them the 
opportunity to be heard.
    (b) If the grounds for suspension bear significantly on the 
eligibility of the agent or company to hold a State license or to meet 
other regulatory requirements, notify the appropriate State or local 
civil authorities.



Sec. 552.80  Suspension period.

    All solicitation privileges suspended by installation commanders 
will be for a specific time. Normally, it will not exceed 2 years. When 
the suspension period expires, the agent may reapply for permission to 
solicit at the installation authorizing the denial or suspension. 
Requests for suspension periods in excess of 2 years will be sent with 
the complete case to HQDA (DAAG-PSI) WASH DC 20314, for approval. Lesser 
suspension may be imposed pending decision.



Sec. 552.81  Agents or companies with suspended solicitation privileges.

    Quarterly, HQDA will publish the names of agents and companies whose 
solicitation privileges have been suspended throughout the Department of 
the Army. If no change has occurred in the latest quarter, no list will 
be published.



Sec. 552.82  Exercise of ``off limits'' authority.

    (a) In appropriate cases, installation commanders may have the Armed 
Forces Disciplinary Control Board investigate reports that cash or 
consumer credit transactions offered military personnel by a business 
establishment off post are usurious, fraudulent, misleading, or 
deceptive. If it is found that the commercial establishment engages in 
such practices; that it has not taken corrective action on being duly 
notified; and that the health, morale, and welfare of military personnel 
would be served, the Armed Forces Disciplinary Control Board may 
recommend that the offending business establishment be declared ``off 
limits'' to all military personnel. The procedures for making these 
determinations are in Army Regulation 190.24.
    (b) On finding that a company transacting cash or consumer credit 
with members of the Armed Forces, nationwide or internationally, is 
engaged in widespread usurious, fraudulent, or deceptive practices, the 
Secretary of the Army may direct Armed Forces Disciplinary Control 
Boards in all geographical areas where this occurred to investigate the 
charges and take appropriate action.



Sec. 552.83  Standards of fairness.

    (a) No finance charge contracted for, made, or received under any 
contract shall be in excess of the charge which could be made for such 
contract under the law of the place in which the contract is signed in 
the United States by the serviceman. In the event a contract is signed 
with a United States company in a foreign country, the lowest interest 
rate of the state or states in which the company is chartered or does 
business shall apply.
    (b) No contract or loan agreement shall provide for an attorney's 
fee in the event of default unless suit is filed in which event the fee 
provided in the contract shall not exceed 20 percent of the obligation 
found due. No attorney's fees shall be authorized if he is a salaried 
employee of the holder.
    (c) In loan transactions, defenses which the debtor may have against 
the original lender or its agent shall be good against any subsequent 
holder of the obligation. In credit transactions, defenses against the 
seller or its agent shall be good against any subsequent holder of the 
obligation provided that the holder had actual knowledge of the defense 
or under condition where reasonable inquiry would have apprised him of 
this fact.
    (d) The debtor shall have the right to remove any security for the 
obligation beyond State or national boundaries if he or his family moves 
beyond such boundaries under military orders and notifies the creditor, 
in advance of the removal, of the new address where the security will be 
located. Removal of the security shall not accelerate payment of the 
obligation.

[[Page 309]]

    (e) No late charge shall be made in excess of 5 percent of the late 
payment, or $5 whichever is the lesser amount. Only one late charge may 
be made for any tardy installment. Late charges will not be levied where 
an allotment has been timely filed, but payment of the allotment has 
been delayed.
    (f) The obligation may be paid in full at any time or through 
accelerated payments of any amount. There shall be no penalty for 
prepayment and in the event of prepayment, that portion of the finance 
charges which have insured to the benefit of the seller or creditor 
shall be prorated on the basis of the charges which would have been 
ratably payable had finance charges been calculated and payable as equal 
periodic payments over the term of the contract, and only the prorated 
amount to the date of prepayment shall be due. As an alternative, the 
``Rule of 78'' may be applied, in which case its operation shall be 
explained in the contract.
    (g) No charge shall be made for an insurance premium or for finance 
charges for such premium unless satisfactory evidence of a policy, or 
insurance certificate where State insurance laws or regulations permit 
such certificates to be issued in lieu of a policy, reflecting such 
coverage has been delivered to the debtor within 30 days after the 
specified date of delivery of the item purchased or the signing of a 
cash loan agreement.
    (h) If the loan or contract agreement provides for payments in 
installments, each payment, other than the down payment, shall be in 
equal or substantially equal amounts, and installments shall be 
successive and of equal or substantially equal duration.
    (i) If the security for the debt is repossessed and sold in order to 
satisfy or reduce the debt, the repossession and resale will meet the 
following conditions:
    (1) The defaulting purchaser will be given advance written notice of 
the intention to repossess;
    (2) Following repossession, the defaulting purchaser will be served 
a complete statement of his obligations and adequate advance notice of 
the sale;
    (3) He will be permitted to redeem the item by payment of the amount 
due before the sale, or in lieu thereof submit a bid at the sale;
    (4) There will be a solicitation for a minimum of three sealed bids 
unless sold at auction;
    (5) The party holding the security, and all agents thereof are 
ineligible to bid;
    (6) The defaulting purchaser will be charged only those charges 
which are reasonably necessary for storage, reconditioning, and resale; 
and
    (7) He shall be provided a written detailed statement of his 
obligations, if any, following the resale and promptly refunded any 
credit balance due him, if any.
    (j) A contract for personal goods and services may be terminated at 
any time before delivery of the goods or services without charge to the 
purchaser. However, if goods made to the special order of the purchaser 
result in preproduction costs, or require preparation for delivery, such 
additional costs will be listed in the order form or contract. No 
termination charge will be made in excess of this amount. Contracts for 
delivery at future intervals may be terminated as to the undelivered 
portion, and the purchaser shall be chargeable only for that proportion 
of the total cost which the goods or services delivered bear to the 
total goods called for by the contract. (This is in addition to the 
right to rescind certain credit transactions involving a security 
interest in real estate provided by section 125 of the Truth-in-Lending 
Act, Pub. L. 90-321 (15 U.S.C. 1601) and Sec. 226.9 of Regulation Z (12 
CFR part 226).



                  Subpart F--Fort Lewis Land Use Policy

    Source: 51 FR 11723, Apr. 7, 1986, unless otherwise noted.



Sec. 552.84  Purpose.

    (a) This regulation establishes procedures governing entry upon the 
Army training areas on Ft. Lewis, WA, designated in Sec. 552.84(c) of 
this section.
    (b) These procedures have been established to ensure proper use of 
these Army training areas. Uninterrupted

[[Page 310]]

military use is vital to maintain and improve the combat readiness of 
the US Armed Forces. In addition, conditions exist within these training 
areas which could be dangerous to any unauthorized persons who enter.
    (c) This regulation governs all use of the Ft Lewis Military 
Reservation outside cantonment areas, housing areas, Gray Army Airfield, 
Madigan Army Medical Center, and recreational sites controlled by the 
Director of Personnel and Community Activities (DPCA). The areas 
governed are designated on the overprinted 1:50,000 Ft Lewis Special Map 
as Impact Areas, lettered Close-In Training Areas (CTAs), or numbered 
Training Areas (TAs), and are hereafter referred to as the range 
complex. A full sized map is located at the Ft Lewis Area Access Office, 
Bldg. T-6127.



Sec. 552.85  Applicability.

    This regulation is applicable to all military and civilian users of 
the range complex.



Sec. 552.86  References.

    (a) AR 405-70 (Utilization of Real Estate).
    (b) AR 405-80 (Granting Use of Real Estate).
    (c) AR 420-74 (Natural Resources--Land, Forest, and Wildlife 
Management).
    (d) FL Reg 215-1 (Hunting, Fishing, and Trapping).
    (e) FL Reg 350-30 (I Corps and Fort Lewis Range Regulations).
    (f) DA Form 1594 (Daily Staff Journal or Duty Officer's Log).
    (g) HFL Form 473 (Range, Facility, and Training Area Request).



Sec. 552.87  General.

    (a) Military training. All use of the Ft. Lewis range complex for 
military training is governed by FL Reg 350-30. Military training always 
has priority for use of the range complex.
    (b) Hunting. Hunting, fishing, and trapping on Ft. Lewis are 
governed by FL Reg 215-1.
    (c) Recreational use. (1) All individuals or organizations, military 
or civilian, desiring access to the range complex for recreational 
purposes must apply for and possess a valid Ft. Lewis area access permit 
except as outlined in Sec. 552.87(c) of this section. Procedures are 
described in Secs. 552.91 and 552.92.
    (2) Authorized Department of Defense (DOD) patrons enroute to or 
using DPCA recreational areas (appendix A) are not required to possess a 
permit. Travel to and from DPCA recreational use areas is restricted to 
the most direct route by paved or improved two lane roads, and direct 
trail access. Other travel in the range complex is governed by this 
regulation.
    (3) Recreational use of CTAs without permit is authorized only for 
DOD personnel of Ft. Lewis and their accompanied guests. Driving 
Privately Owned Vehicles (POV) in the CTAs is restricted to paved or 
improved gravel roads, except for direct trail access to DPCA 
recreational areas at Shannon Marsh and Wright's Lake. Other 
recreational activities authorized in the CTAs for DOD personnel without 
permit are walking, jogging and picnicking at established picnic sites.
    (4) Organizations or groups whose authorized recreational activity 
is of such a nature as to require special advanced confirmed commitments 
from Ft. Lewis for land, including Scout Camporees, seasonal or one-time 
regional meets, and so on, must apply to the Ft. Lewis Area Access 
Section in writing. If the area is available, the request will be 
forwarded to the Director of Engineering and Housing (DEH) for lease 
processing. Not less than 180 days are required for processing of these 
special requests. Organizations or groups whose activity requires 
military equipment or other special support from Ft. Lewis must also 
apply in writing. If a permit is granted, the special assistance request 
will be coordinated by the Public Affairs and Liaison Office (PALO). 
Sample request guide and mailing address are available for the Access 
Section.
    (5) All other recreational uses require a permit in accordance with 
this regulation.
    (d) Commerical use. Individuals or organizations using the range 
complex for profit-generating activities must possess a Real Estate 
Agreement. Requests for Real Estate Agreements must be directed to the 
Real Property

[[Page 311]]

Branch, DEH, IAW AR 405-80. Real Estate Agreements issued after 
publication of this regulation will require Real Estate Agreement 
holders to notify the Area Access Section of their entry onto, and 
departure from, the range complex. Profit generating activities include 
individuals or organizations that collect fees for services or that sell 
materials collected from the range complex. Proposed timber sales 
require prior coordination with the Director of Plans, Training and 
Mobilization (DPTM) to ensure that access can be granted for the 
appropriate areas and times.
    (e) Installation service and maintenance. DOD personnel and 
contractual personnel on official business are authorized on the Ft. 
Lewis Military Reservation range complex as provided in appendix B. 
Access to hazard areas for such personnel is governed by FL Reg 350-30.
    (f) Non-DOD personnel in transit. Individuals in transit along State 
or County maintained roads or roads designated for public access by the 
Installation Commander require no special permits. These routes are 
listed in appendix B.
    (g) Trespassers. Persons or organizations entering or using the Ft. 
Lewis range complex outside one of the access channels described above 
are trespassing on a controlled-access federal reservation and are 
subject to citation by the military police. Trespassers may be barred 
from subsequent authorized access to the installation, and will be 
subject to the provisions of this section.
    (h) Failure to comply. Any person who enters the range complex of 
the Ft. Lewis Military Reservation without the consent of the Commanding 
Officer or his designated representative is in violation of the 
provisions of this regulation. Offenders may be subjected to 
administrative action or punishment under either the Uniform Code of 
Military Justice (UCMJ) or title 18 U.S.C. 1382, of title 50 U.S.C. 797, 
as appropriate to each individual's status. Administrative action may 
include suspension or loss of recreational privileges, or permanent 
expulsion from the Ft. Lewis Military Reservation.



Sec. 552.88  Responsibilities.

    (a) DPTM. Operate the Ft. Lewis Area Access Section as a part of 
Range Control.
    (b) Law Enforcement Command. Provide law enforcement and game warden 
patrols to respond to known or suspected trespassers or other criminal 
activity on the range complex.
    (c) DEH. Coordinate with the Ft. Lewis Area Access Section (thru 
DPTM) all Real Estate Agreements, timber sales, wildlife management, 
construction, and other DEH or Corps of Engineers managed actions 
occurring on the range complex. Ensure all Real Estate Agreements issued 
after publication of this regulation require Real Estate Agreement 
holders to notify the Area Access Section of their entry onto, and 
departure from, the range complex.
    (d) DPCA. Manage the Installation Hunting, Fishing, and Trapping 
programs in conjunction with DEH Wildlife. Manage those picnic and 
recreation sites located in the range complex, as listed in appendix A.
    (e) PALO. Make initial public release of Ft. Lewis Land Use Policy 
and area access procedures, and provide periodic updates through media. 
Act as interface, when necessary, to resolve community relations issues 
related to land use. Coordinate special assistance requests per 
Sec. 552.86(b). Inform DPTM of public response to policy execution.



Sec. 552.89  Activities.

    (a) Examples of authorized activities are listed in appendix C.
    (b) Activities listed in appendix D are not authorized on Ft. Lewis 
and no permit will be issued.



Sec. 552.90  Permit office.

    DPTM Range Control operates the Ft. Lewis Area Access Section in 
Bldg T-6126 to issue permits and grant non-training acess to the range 
complex. The office is open 0700-1900 hours, seven days a week, for 
permit processing and access control. At other hours, Range Operations 
wil take calls for access only.

[[Page 312]]



Sec. 552.91  Individual permit procedures.

    (a) Individuals desiring area access for authorized activities (see 
appendix C) must register in person at the Ft. Lewis Area Access 
Section, Bldg T-6127. Minimum age is 18 years, except for active duty 
military personnel. Individuals under 18 years of age must be sponsored 
and accompanied by a parent or legal guardian.
    (b) Individual registration requires:
    (1) Picture ID.
    (2) Personal information including Social Security Number.
    (3) Vehicle identification and license number, if a vehicle is to be 
brought on post.
    (4) Names and ages of minor family members who will accompany a 
registered person.
    (5) Liability release signature.
    (6) Certification that intended activities are on the authorized 
list and are not for-profit commercial activities. Persons who submit 
false certificates are subject to prosecution in Federal Court Under 5 
U.S.C. 1001, and the provisions of this section.
    (c) A permit and a vehicle pass will be issued to each person 
authorized area access. The permit is not transferable. Entry to the 
range complex without the issued permit is forbidden.
    (d) Individual write-in requests may be authorized for extraordinary 
circumstances.



Sec. 552.92  Group permit procedures.

    (a) A collective permit will be issued to an organization desiring 
to conduct a group event. The group leader must register in person at 
the Ft. Lewis Area Access Section, Bldg T-6127, and must be 21 years of 
age or older except for active duty military personnel.
    (b) Group registration requires the information listed in 
Sec. 552.91, except that a legible list of names of all persons in the 
group is required in lieu of the names and ages of minors.
    (c) Group permits will be issued with the requirement that all 
members of the group will be with the leader throughout the event. If 
the group plans to separate while still on post, sub-group leaders must 
be appointed and must each obtain a permit as noted in this section. The 
group leader permit is not transferable.
    (d) Other group write-in requests may be authorized for 
extraordinary circumstances.



Sec. 552.93  Permit deadline and duration.

    (a) Permits will be issued 0700-1900 hours daily and may be obtained 
no earlier than six months prior to the event date. Permits for 
authorized activities may be requested and issued on the day of the 
event, but must be in hand prior to individual or group entry on to the 
range complex.
    (b) Permits for one-time events are valid for the duration of the 
event. Otherwise, permits are valid for six months and are not 
renewable. When a permit expires, the holder must reapply as described 
in this section.
    (c) Access hours are thirty minutes after daylight to thirty minutes 
before dark, except for authorized overnight activities and as outlined 
in FL Reg 215-1.



Sec. 552.94  Area access procedures.

    (a) Holders of current permits desiring access must call the Ft. 
Lewis Area Access Section on the date of entry at the telephone numbers 
listed on the permit and state the area to be entered, estimated time of 
entry, and estimated time of departure. This check-in may also be done 
in person at the Ft. Lewis Area Access Section, Bldg T-6126. Procedures 
for permits and access for hunting and trapping are outlined on FL Reg 
215-1.
    (b) The Ft. Lewis Area Access Section will determine whether the 
area is available and, if so, authorize entry. If the area is not open 
for permit holders, and an alternate area cannot be provided, access 
will be denied. All calls and actions will be recorded on DA Form 1594 
(Daily Staff Journal or Duty Officer's Log).
    (c) Permit holders must call or visit the Ft. Lewis Area Access 
Section immediately after leaving the authorized area to obtain checkout 
clearance. If a checkout is not received within three hours after the 
estimated time of departure, the Ft. Lewis Area Access Section will call 
the contact phone number in the permit holder's record and, if 
necessary, initiate a search through the Military Police Desk. Permit 
holders who fail to call out twice will be

[[Page 313]]

barred from area access for thirty days. A third failure to check out 
will result in suspension of the permit for the remainder of its normal 
duration or ninety days, whichever is longer.
    (d) Failure to comply with the provisions of this paragraph shall 
subject all persons to the provisions of this section.



Sec. 552.95  Compatible use.

    (a) Unit commanders may, during training area scheduling, request 
that no permit holders be allowed in their areas. Justification must be 
in the remarks column of HFL Form 473 (Range, Facility and Training Area 
Request). If this restriction is granted, the Ft. Lewis Area Access 
Section will close the appropriate areas. In the absence of a trainer's 
request for closure, the following military activities are considered 
incompatible with non-training access and will, when scheduled, block 
affected areas:
    (1) Live-fire training events with surface danger zones falling into 
training areas.
    (2) Parachute and air assault operations.
    (3) Field artillery firing. The numbered training area occupied by 
the weapons will be closed.
    (4) Motorized infantry operations that will use the majority of the 
road net in a training area, traveling at higher than normal speeds.
    (5) Training employing riot agents or smoke generating equipment.
    (b) The Range Officer may close training areas based on multiple 
occupation by large units.
    (c) Areas allocated to modern firearm deer hunting are closed to 
training and recreational activities. When State Fish and Game pheasant 
release sites can be isolated by swamps, streams, or roads from the rest 
of a training area, multiple occupancy is authorized.



Sec. 552.96  Violations.

    Anyone observing violators of this or other regulations must report 
the activity, time, and location to the Ft. Lewis Area Access Section or 
the Military Police as soon as possible.



Sec. 552.97  Communications.

    The Ft. Lewis Area Access Section communicates by telephone as noted 
on the permit. Tactical FM contact may be made through Range Operations.



                     Subpart G--Firearms and Weapons

    Source: 53 FR 1752, Jan. 22, 1988, unless otherwise noted.



Sec. 552.98  Purpose.

    This regulation establishes the criteria for possessing, carrying, 
concealing, and transporting firearms and/or other deadly or dangerous 
weapons and instruments on Fort Stewart/Hunter Army Airfield (AAF) 
installations.



Sec. 552.99  Applicability.

    (a) The provisions of this regulation apply to all Department of 
Defense (DOD) military; civilian personnel; U.S. Army Reserve/National 
Guard (USAR/NG) personnel on post for active duty training or inactive 
training in conjunction with Active Army elements, military family 
members; civilians employed on, visiting, or traveling through or on the 
Fort Stewart/Hunter AAF installation.
    (b) This regulation will not become void in its entirety merely 
because one part or portion thereof is declared unconstitutional or 
void.
    (c) This regulation is punitive, Military violators of the 
regulations may be prosecuted under the Uniform Code of Military Justice 
or may be subject to administrative action. Civilian violators may be 
subject to administrative or judicial action under title 18, United 
States Code, or title 16, Criminal Code of Georgia.



Sec. 552.100  Definition.

    (a) Ammunition. Projectiles together with their fuses, propelling 
charges, and primers that are designed to be expelled from a firearm. 
This includes any type of military and commercial ammunition (ball, 
tracer, incendiary, blank, shotgun, black powder, and shot). Items shall 
only be considered as ammunition when loaded into a cartridge with its 
bullets and primer.

[[Page 314]]

    (b) BB and pellet guns. Any type rifle, pistol or other instrument 
designed or redesigned, made or remade, modified or remodified to expel 
BBs or pellets by springs, compressed air, CO2 or any other compressed 
gas cartridge.
    (c) Dangerous instruments. Any device which is designed or 
redesigned, made or remade, modified or remodified to be used as an 
offensive or defensive weapon. Devices of this type include but are not 
limited to:
    (1) ``Constant companion'' or any similar weapon, designed or 
redesigned, made or remade, modified or remodified to be worn as a belt 
buckle, brass kunckles, ``Knucklers,'' and ``Knucks.''
    (2) Studded or spiked wrist bands, or any device designed or 
redesigned, made or remade, modified or remodified to fit over the hand 
or wrist which can be used to cause grave bodily harm.
    (3) Black jacks, slapjacks, slappers, saps, including homemade 
substitutes, other bludgeons (with or without handles), and metal pipes.
    (4) ``Nanchaku'' (num-chucks), two or more sticks connected by rope, 
cord or chain and normally used as a martial arts weapon. ``Shuriken'', 
a disc or any geometrical object designed to be thrown as a weapon. 
``Manrikigusari'' or ``Kusari,'' a rope or cord joined to a weight at 
each end and designed to be used as a weapon.
    (5) Any finger ring with blades or sharp objects that are capable of 
being projected/extended from the surface of the ring.
    (6) Any device capable and primarily intended for discharging darts 
or needles.
    (7) All firearms.
    (d) Explosive, incendiary, and pyrotechnic devices. Any type of 
military or commercial explosive, incendiary, gas or smoke bomb, 
grenade, rocket, missile, mine, blasting cap, ``dummy'' and/or practice 
device such as simulators, and other similar detonating devices which 
are capable of being altered to contain a live charge, and pyrotechnic 
devices such as firecrackers, cherry bombs, bottlerockets, and 
starclusters.
    (e) Firearms. Any type of weapon which is designed or redesigned, 
made or remade, modified or remodified to expel a projectile by action 
of any explosion, and the frame or receiver of any such weapon. This 
does not include antique firearms, antique replicas, and those modern 
firearms which have been rendered permanently incapable of being fired.
    (f) Knives, sabers, swords, and machetes. Any instrument having a 
sharp blade which is fastened to a handle, or made with a handle. 
Measurement of the blade will be from the tip of the blade to the point 
where the blade meets the handle. This includes folding knives, 
switchblades, gravity knives, stilettos, lock blade knives, swords, 
sabers, and machetes.
    (g) Machine gun and automatic weapon. A weapon designed or 
redesigned, made or remade, modified or remodified to automatically fire 
more than one shot by a single pull of the trigger.
    (h) Public gathering. Shall include, but shall not be limited to, 
athletic or sporting events, schools or school functions, churches or 
church functions, rallies, or establishments at which alcoholic 
beverages are sold for consumption on the premises.
    (i) Shotgun. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder; and designed or redesigned, made 
or remade, to use the energy or the explosive in a fixed shotgun shell 
to fire through a smooth bore either a number of ball shot or a single 
projectile for each single pull of the trigger.
    (j) Sawed-off shotgun. A shotgun or any weapon made from a shotgun 
whether by alteration, modification, or otherwise having one or more 
barrels less than 18 inches in length or if such weapon as modified has 
an overall length of less than 20 inches.
    (k) Sawed-off rifle. A weapon designed or redesigned, made or 
remade, and intended to be fired from the shoulder; and designed or 
redesigned, made or remade, to use the energy of the explosive in a 
fixed metallic cartridge to fire only as a single projectile through a 
rifle bore for each single pull of the trigger; and which has a barrel 
or barrels of less than 16 inches or has an overall length of less than 
26 inches.
    (l) Silencer. Any device used for suppressing or diminishing the 
report of any firearm.

[[Page 315]]

    (m) Weapon. An instrument used in an offensive or defensive manner.



Sec. 552.101  Prohibitions.

    (a) Prohibited items. It is prohibited to possess, carry, conceal, 
transport, store, transfer or sell any of the following weapons or 
devices on, through or within the confines of Fort Stewart and Hunter 
AAF installations unless specifically allowed elsewhere in this 
regulation:
    (1) Sawed-off shotgun.
    (2) Sawed-off rifle.
    (3) Machine gun and automatic weapons.
    (4) Silencers.
    (5) Dangerous instruments as defined in Sec. 552.100(c).
    (6) Explosives, Incendiary and Pyrotechnic Devices, as defined in 
Sec. 552.100(d).
    (7) Knives with automatic blade openers (i.e., switch blades, 
gravity knives, stilettos) of any blade length. Folding or fixed bladed 
knives with a blade length of more than 3 inches. Swords, sabers, and 
machetes with sharpened blades.
    (8) Any object which carries an electrical current of sufficient 
wattage to deliver a shock to a person, such as cattle prods, ``taser'' 
or ``public defenders.''
    (b) Carrying a concealed weapon. A person commits the offense of 
carrying a concealed weapon when he/she knowingly has or carries about 
his/her person, unless in an open manner and fully exposed to view, any 
bludgeon, metal knuckles, firearm, or knife designed for the purpose of 
offense and defense, or any other dangerous or deadly weapon or 
instrument of like character outside of his/her home or place of 
business.
    (c) Carrying Deadly Weapons to or at Public Gatherings. A person 
commits an offense under this section when he/she carries to or while at 
a public gathering any explosive compound, firearm, or knife designed 
for the purpose of offense and defense. This paragraph shall not apply 
to competitors participating in organized sporting events, military 
personnel in a formation when a weapon is required, or to police/
security personnel while in performance of their duties.
    (d) Prohibited Possession and Storage. It is prohibited for a 
person, military or civilian, to possess or store ammunition, firearms, 
knives with blades more than 3 inches, bows and arrows, crossbows, and 
BB and pellet guns, in locations other than those locations specified in 
Sec. 552.102, except under conditions specified in Sec. 552.103. 
Prohibited locations for these items include, but are not limited to, 
living spaces and common areas of billets, squad rooms, privately-owned 
vehicles, exterior storage sheds, camper trailers, and offices. 
Commanders will designate an arms room and times for weapons turn-in. 
During periods when arms rooms are closed, the Staff Duty Officer (SDO) 
will ensure the weapon is secured in accordance with (IAW) this 
regulation. A receipt will be given for each weapon received, reflecting 
the weapon's make, serial number, identity of owner and other data 
deemed appropriate.
    (e) Exemptions. Nothing in this regulation shall prohibit:
    (1) Military members or DOD civilian employees from possessing or 
using military weapons, military ammunition or explosives, or military 
devices in a lawful manner while in the performance of their military 
duties or for training or other authorized purposes, as prescribed by 
applicable Army Regulations.
    (2) Military and DOD civilian personnel, while in the performance of 
official law enforcement duties, from possessing or using government 
ammunition, explosives or devices in a lawful manner, as prescribed by 
applicable laws or regulations or by their lawful superiors.
    (3) Federal, state, county or local law enforcement personnel, while 
in the performance of official law enforcement duties, from possessing 
or using government or privately-owned weapons, ammunition, explosives 
or devices in a lawful manner, as prescribed by applicable laws or 
regulations or by their lawful superiors.
    (4) Government contractors, while in performance of their contract 
from possessing or using weapons, ammunition, explosives or devices, IAW 
the provisions of their contract and as determined by the Contracting 
Officer.

[[Page 316]]

    (5) Individuals with Federal Firearms Licenses (Class III) from 
possessing, carrying, and transporting Class III weapons IAW Federal 
regulations; however, they are prohibited from concealing, storing, 
transferring, or selling Class III weapons within the confines of Fort 
Stewart and Hunter AAF.
    (6) Individuals from possessing, carrying, transporting, or storing 
decorative, ornamental, and ceremonial swords and sabers within the 
confines of Fort Stewart and Hunter AAF when used strictly for display 
and ceremonies. When used as a cutting instrument, they become a 
prohibited item.
    (7) Individuals and agencies from possessing, transporting, storing, 
selling, or using fixed bladed knives with a blade length of more than 3 
inches when used for their lawful purpose (i.e., steak knives, cooking 
knives, hunting knives) and when in compliance with all other 
requirements in this regulation.



Sec. 552.102  Requirements for possession and use.

    DOD military and civilian personnel, their family members, USAR/NG 
personnel and civilians employed on, visiting or traveling through this 
installation may possess legally-defined and privately-owned firearms, 
ammunition, BB and pellet guns, knives, bows and arrows, and crossbows 
under the following conditions:
    (a) Privately-owned firearms, crossbows, BB and pellet guns 
possessed or stored on the installation must be registered at the 
installation Provost Marshal's Office within three working days after 
arrival on the installation, or after obtaining the weapon, except:
    (1) Firearms legally brought onto the installation for the purpose 
of hunting or firing at an approved firing range, and only for the 
period of time the person possessing the firearms is hunting or firing 
on the range.
    (2) Firearms carried by federal, state, county or local law 
enforcement personnel when in the performance of official law 
enforcement duties.
    (3) Firearms carried or transported, in full compliance with Georgia 
State Laws, on Georgia State Highways 119 and 144 by personnel traveling 
through the installation only. Travel off of these state highways or 
stopping, other than for emergency purposes, while on the installation 
is prohibited.
    (b) Personnel residing in family housing, BOQ, BEQ/VOQ and guest 
housing, may store legally-acquired, authorized ammunition, knives with 
a blade measuring more than 3 inches, bows and arrows, registered 
crossbows, registered BB and pellet guns and registered firearms within 
their quarters.
    (c) Personnel residing in troop billets may store legally-acquired 
authorized ammunition, knives and blades measuring more than 3 inches, 
bows and arrows, registered crossbows, registered BB and pellet guns and 
registered firearms in unit arms rooms. The unit arms room should 
utilize a standard weapons card and log book to document storage, 
removal, and return.
    (d) Persons using weapons borrowed from another must have the 
documentation required in Sec. 552.103(a) as applicable in their 
possession when carrying, transporting or using the weapon on the 
installation.
    (e) Persons under the age of 17 must be accompanied by a person over 
the age of 21 who will be responsible for compliance with the 
requirements of this regulation while hunting or target shooting on the 
installation and when purchasing legal arms (including knives with 
blades over 3 inches) and ammunition from installation retail outlets.
    (f) Persons must be in compliance with federal and state laws 
regarding possession (i.e., age, criminal record restrictions, etc.)
    (g) Storage, accountability and registration procedures will be IAW 
Army Regulation 190-11 and supplements.



Sec. 552.103  Requirements for carrying and use.

    Persons legally authorized to possess firearms, ammunition, knives 
(with blades longer than 3 inches), bows and arrows, and crossbows, may 
carry or transport legally possessed and registered (if required) 
weapons under the following conditions.
    (a) For purposes of hunting: From quarters, on or off the 
installation, by the most direct route to hunting area or Pass and 
Permit Office and return.

[[Page 317]]

Stopping at other installation facilities while enroute is prohibited 
(i.e., Post Exchange, Club, offices, etc.). Individual must have in his/
her possession weapon registration (if applicable), valid state hunting 
license, valid Fort Stewart hunting permit and an area access pass (if 
applicable).
    (b) For purposes of target shooting, selling the weapon or having 
the weapon repaired: From quarters by the most direct route to approved 
range or to the location where the weapon is to be sold or repaired and 
returned. Stopping at other installation facilities while enroute is 
prohibited. Individual must have in his/her possession at all times his/
her registration (if applicable).
    (1) When carried, weapons will be carried in an open manner (not 
concealed). Firearms will be unloaded when carried (i.e., projectiles 
physically separated from the firearms, not just removed from the 
chamber), except when actually engaged in hunting or shooting. Knives 
will be carried in a sheath or scabbard worn in a clearly visible 
manner. Commanders may authorize the carrying of a privately-owned knife 
with a blade over 3 inches to field duty, provided it is carried IAW 
Victory Standard and exposed in a sheath/scabbard. The Provost Marshal 
may authorize the carrying of a privately-owned, sheathed, lock blade 
knife on military and DOD police officers' pistol belts.
    (2) When transported in a vehicle, weapons will be in plain view in 
the passenger area of the vehicle or secured (locked) in the trunk or 
other rear compartment of the vehicle, not readily accessible from the 
passenger area (i.e., locked tool box secured to bed of a truck). 
Firearms will be unloaded and the ammunition physically separated from 
the firearms. The glove compartment of a vehicle is NOT an authorized 
compartment for storing pistols.
    (3) Firearms, bows and arrows, crossbows, BB and pellet guns will 
not be loaded, fired or used within the cantonment areas of the 
installation; within 50 yards of any public highway, street or Fort 
Stewart numbered road or across same; within 100 yards of any designated 
recreation area, managed waters, building or similar structures; any 
aircraft landing facility (to include currently used landing or stage 
fields); any ammunition storage area (except on approved firing range 
when properly authorized).
    (4) Persons not affiliated with DOD or this installation must remain 
on Georgia State Highways 119 and 144 when carrying or transporting 
weapons through the installation and must be in full compliance with 
Georgia State Law governing possession, use and transportation of said 
weapons. Travel off of these highways or stopping, for other than 
emergency purposes, while on the installation, is prohibited.



Sec. 552.104  Disposition of confiscated/seized weapons.

    All weapons, ammunition, explosives or other devices defined in this 
regulation, that are confiscated pursuant to the commission of a crime 
or violation of this or other regulation or found unsecured/unattended 
on the installation, will be immediately turned over to the military 
police, U.S. Army Criminal Investigation Command (USACIDC), or the 
Federal Bureau of Investigation (FBI) for investigation, retention as 
evidence, or other lawful disposition. When retention for investigation 
or evidence is no longer required by military police, USACIDC, or other 
law enforcement or judicial agencies, the items will be disposed of 
under the provisions of AR 195-5, Evidence Procedures.



  Subpart H--Regulation Controlling the Access to the Fort Lewis Main 
Cantonment Area and Prohibiting Certain Conduct Upon Fort Lewis Military 
                               Reservation

    Source: 52 FR 25862, July 9, 1987. Redesignated at 53 FR 1752, Jan. 
22, 1988, unless otherwise noted.



Sec. 552.105  Purpose.

    (a) This regulation establishes procedures governing access control 
requirements for the Main Cantonment Area, Fort Lewis, Washington, and 
prohibits certain forms of conduct upon the Fort Lewis Military 
Reservation.

[[Page 318]]

    (b) These procedures and requirements have been established in 
conjunction with other efforts to improve the physical security of the 
Fort Lewis Military Reservation. It is essential that entrance to, and 
exit from, the installation be made only at controlled access points, 
and that certain forms of conduct be restricted.
    (c) This regulation governs all access to the Main Cantonment Area 
of the Fort Lewis Military Reservation, including, but not limited to, 
all housing areas, Gray Army Air Field, and Madigan Army Medical Center. 
It further prohibits all persons from engaging in certain forms of 
conduct anywhere on the Fort Lewis Military Reservation.



Sec. 552.106  Applicability.

    This regulation is applicable to all persons, both military and 
civilian, who enter the Fort Lewis Military Reservation.



Sec. 552.107  References.

    (a) AR 190-5 (Motor Vehicle Traffic Supervision)
    (b) AR 190-52 (Countering Terrorism and Other Major Disruptions on 
Military Reservations)
    (c) AR 210-7 (Commercial Solicitation on Army Installations)
    (d) AR 210-10 (Administration)
    (e) Fort Lewis Supplement 1 to AR 190-5 (Motor Vehicle Traffic 
Supervision)
    (f) I Corps and Fort Lewis Installation Security and Closure Plan
    (g) HFL Form 1138 (Fort Lewis Visitor Pass)



Sec. 552.108  General.

    (a) Access controls. (1) Fort Lewis is a closed post. Access to the 
installation is limited to persons with prior approved permission to 
enter.
    (2) Public access into the Main Cantonment Area of Fort Lewis is 
controlled through a series of static security posts manned by sentries 
empowered to grant or deny access to persons and material. The ``Main 
Cantonment Area'' is that area of the Fort Lewis Military Reservation 
shown on the overprinted 1:50,000 Fort Lewis Special Map (DMA Stock No. 
V791SFTLEWIS) excluding those areas designated thereon as Impact Areas, 
lettered Close-In Training Areas, or numbered Training Areas. A full 
sized map is located at the Fort Lewis Area Access Office, Building T-
6127. As defined, the Main Cantonment Area includes, but is not 
necessarily limited to, those areas of the installation containing 
Government housing areas, schools, medical facilities, troop billets, 
the installation command and control facilities, Gray Army Air Field, 
Madigan Army Medical Center, and certain recreational sites controlled 
by the Director of Personnel and Community Activities.
    (3) Entry of the general public into the Main Cantonment Area at any 
location other than through established manned access control points is 
strictly prohibited. For the purposes of this regulation, entry includes 
the entrance of the person, or the insertion of any part of his body, or 
the introduction of any unauthorized material.
    (b) Trespassers. Persons entering or remaining upon the Main 
Cantonment Area of the Fort Lewis Military Reservation in violation of 
this regulation are trespassing on a closed federal reservation and are 
subject to citation by the military police. Trespassers may be barred 
from subsequent access to the installation and will be subject to the 
provisions of this regulation. A person violates this regulation when he 
enters or remains upon the Main Cantonment Area when he is not licensed, 
invited, or otherwise authorized to so enter or remain. All such persons 
are trespassers for the purpose of this regulation.
    (c) Prohibited Activities. Department of Defense policy permits 
commanders to prohibit any expressive activity which could interfere 
with or prevent the orderly accomplishment of the installation's 
mission, or which presents a clear danger to the loyalty, discipline or 
morale of their soldiers. Therefore, unless the prior approval of the 
installation commander or his designated representative has been 
obtained, no person while on the Fort Lewis Military Reservation shall:
    (1) Engage in protests, public speeches, sit-ins, or demonstrations 
promoting a political point of view.
    (2) Engage in partisan political campaigning or electioneering.
    (3) Display or distribute commercial advertising or solicit 
business.

[[Page 319]]

    (4) Interrupt or disturb a military formation, ceremony, class or 
other activity.
    (5) Obstruct movement on any street, sidewalk, or pathway without 
prior authority.
    (6) Utter to any person abusive, insulting, profane, indecent or 
otherwise provocative language that by its very utterance tends to 
incite an immediate breach of the peace.
    (7) Distribute or post publications, including pamphlets, 
newspapers, magazines, handbills, flyers, leaflets, and other printed 
material, except through regularly established and approved distribution 
outlets.
    (8) Circulate petitions or engage in picketing or similar 
demonstrations for any purpose.
    (9) Disobey a proper request or order by Department of Defense (DoD) 
police, military police, or other competent authority to disperse or to 
leave the installation.
    (d) Failure to comply. Any person who enters or remains upon the 
Main Cantonment Area of Fort Lewis Military Reservation when he is not 
licensed, invited or otherwise authorized by the terms of this 
regulation or who enters or remains upon the Fort Lewis Military 
Reservation for a purpose of engaging in any activity prohibited by this 
regulation is in violation of the provisions of the regulation. 
Violators of this regulation may be subjected to administrative action 
or criminal punishment under the Uniform Code of Military Justice 
(UCMJ), title 18 U.S.C. 1382, or title 50 U.S.C. 797, as appropriate to 
each individual's status. Maximum punishment under title 18 U.S.C. 1382 
is a fine of not more than $500 or imprisonment for not more than six 
months, or both. Maximum punishment under 50 U.S.C. 797 is a fine of 
$5,000 or imprisonment for not more than one year, or both. 
Administrative action may include suspension of access privileges, or 
permanent expulsion from the Fort Lewis Military Reservation.



Sec. 552.109  Routine security controls.

    (a) Unimpeded access. Military vehicles, emergency vehicles, mail 
delivery vehicles, privately owned motor vehicles registered in 
accordance with Fort Lewis Supplement 1 to Army Regulation (AR) 190-5, 
and pedestrians in possession of current active duty, retired, 
dependent, or DoD civilian identification cards are authorized unimpeded 
access to Fort Lewis during periods of routine installation operations 
unless prohibited or restricted by action of the Installation Commander.
    (b) Visitor access. All visitors to the installation will report to 
the visitor's information center where the visitor's name, vehicle 
license number, purpose and duration of visit will be recorded prior to 
granting access. Visitor's passes for visitors to Madigan Army Medical 
Center and the Logistics Center/Civilian Personnel Office will be issued 
at the Madigan and Logistics Center gates respectively.
    (c) Visitor's passes. HFL Form 1138 (Fort Lewis Visitor Pass) valid 
for a period not to exceed 24 hours unless otherwise noted below, may be 
issued only when one or more of the following criteria is met.
    (1) Personnel in possession of proper orders directing temporary 
duty at Fort Lewis may be issued a visitor's pass for periods not to 
exceed 13 days. Personnel ordered to temporary duty at Fort Lewis for 
periods in excess of 13 days but less than 90 days will be required to 
obtain a temporary vehicle registration.
    (2) Persons visiting Fort Lewis military personnel or their family 
members may be issued visitor's passes for periods up to and including 
13 days when personally requested by the military sponsor.
    (3) Moving vans and commercial delivery vehicles will be issued 
visitor's passes after the operator displays a bill of lading or other 
official documentation demonstrating a legitimate need to enter Fort 
Lewis.
    (4) Contract vehicles not qualifying for installation vehicle 
registration pursuant to Fort Lewis Supplement 1 to AR 190-5 will be 
issued a visitor's pass as provided in paragraph (c) of this section, 
after the purpose of the visit has been verified by the Contracting 
Officer's Representative, or the Contractor when the former is not 
available.
    (5) Prior to issuing a visitor's pass to unsponsored personnel who 
desire to

[[Page 320]]

visit unit areas, club facilities and other recreational facilities, 
security personnel will telephonically contact the person to be visited. 
If the person to be visited cannot be contacted to verify the visit, the 
visitor will be denied entry. Unsponsored personnel desiring to visit 
the Fort Lewis Museum may be issued a visitor's pass valid until museum 
closing time on day of issue, provided security personnel telephonically 
contact the museum and verify the hours of public operation that day 
prior to issuing the visitor's pass.
    (6) Soldiers, dependent family members, and Department of the Army 
employees who sponsor visitors to the installation remain responsible 
for the conduct of their guests on Fort Lewis for the duration of the 
visit.
    (d) Heightened security controls. Access control measures 
implemented during periods of enhanced security will be in accordance 
with AR 190-52 and the I Corps and Fort Lewis Installation Security and 
Closure Plan. During periods of heightened security controls, sponsors 
may be required to personally report to the Visitor's Information Center 
to accept responsibility for the visitor.



Sec. 552.110  Requests for exception.

    The installation commander or his deputy may grant exceptions to the 
prohibitions contained in paragraph (c)(4) of this section. An 
application for exception shall be submitted to the installation Public 
Affairs Liaison Officer at least seven days prior to the date of the 
requested activity. The application must be in writing, and must specify 
the particular activity proposed, the names of the persons and 
organizations sponsoring the activity, the number of participants, and 
the time, date and specific place or places the requester proposes the 
activity occur. In addition, the application shall be signed by the 
requester or by a representative of the requesting organization, if any, 
and contain an address and local telephone number where the requester or 
representative can be reached in the event further information is 
needed.



Sec. 552.111  Severability.

    If a provision of this Regulation is declared unconstitutional, or 
the application thereof to any person or circumstance is held invalid, 
the constitutionality or validity of every other provision of this 
Regulation shall not be affected thereby.



 Subpart I--Physical Security of Arms, Ammunition, and Explosives--Fort 
                            Lewis, Washington

    Source: 56 FR 25040, June 3, 1991, unless otherwise noted.



Sec. 552.112  Purpose.

    To provide enhanced security for the protection of arms, ammunition, 
explosives (AA&E) and sensitive items at Fort Lewis.



Sec. 552.113  References.

    This regulation is to be used in conjunction with the following:
    (a) AR-190-11 with Forces Command and Training Command Supplement 1 
(Physical Security of Arms, Ammunition and Explosives).
    (b) AR 190-13 with Forces Command and Training Command Supplement 1 
(The Army Physical Security Program).
    (c) Fort Lewis Regulation 210-1 (Installation Fort Lewis Post 
Regulations).
    (d) Headquarters Fort Lewis Form 816 (Registration of Personal 
Firearms).



Sec. 552.114  Violations.

    Violations of the provisions of this regulation are subject to 
disciplinary actions under the Uniform Code of Military Justice, 
judicial action as authorized by state or federal law, or administrative 
action as provided by controlling regulation.



Sec. 552.115  Applicability.

    This regulation is applicable to all Active Army, Reserve Officer 
Training Corps (ROTC), U.S. Army Reserve (USAR), and Army National Guard 
(ARNG) units training and/or assigned/

[[Page 321]]

attached to Fort Lewis and its sub-installations. This regulation also 
applies to tenant units/activities stationed on Fort Lewis. It is also 
applicable to all persons, both military and civilian, who reside on or 
who otherwise enter Fort Lewis Military Reservation for whatever reason.



Sec. 552.116  Privately owned weapons--security.

    Privately owned arms and ammunition will be secured in the manner 
required for military weapons and ammunition but separate from military 
arms, ammunition, and explosives (AA&E) items.



Sec. 552.117  Disposition of Commander's Letter of Authorization.

    The unit commander's written approval to withdraw privately owned 
weapons from the unit arms room will be attached to the record of the 
next weekly arms, ammunition, and explosive (AA&E) inventory. Following 
is a Sample Request for Authorization to Withdraw Weapon from Arms Room:

 Office Symbol__________________________________________________________
 Date___________________________________________________________________
Memorandum for Commander of unit concerned, Fort Lewis, WA 98433
Subject: Request Authorization to Remove Privately Owned Firearm/Weapon 
from the Unit Arms Room
    1. Request authorization to remove the following firearm/weapon 
registered in my name from the arms room. The firearm/weapon is a 
__________ (type) and serial number is ________________.
    2. The firearm/weapon will be removed on __________ (date) and 
returned on __________ (date).
    3. The reason for removal is

 .______________________________________________________________________
(Name/rank/unit/signature of individual making request)

Office Symbol    1st End        SFC Jones/mmm/telephone CDR, Unit 
          concerned, Fort Lewis, WA 98433
FOR (individual making request plus complete address) Approval is 
          granted.
(Signature block of authorizing official)



Sec. 552.118  Issuance from unit arms room.

    When privately owned weapons are withdrawn from the arms room, DA 
Form 3749 (Equipment Receipt), will be turned in and the weapon will be 
signed out on Headquarters Fort Lewis Form 938 (Weapons/Ammunition and 
Sensitive Item Issue and Turn-In Register). The armorer will provide the 
owner with a copy of Headquarters Fort Lewis Form 816 (Registration of 
Personal Firearms), which will remain with the weapon at all times. When 
the weapon is turned back in to the arms room, the HFL Form 816 will be 
turned in also.



Sec. 552.119  Registration and storage.

    (a) All types of personal weapons to include rifles, shotguns, 
handguns and antique firearms owned by personnel residing on Fort Lewis 
Military Reservation will be registered at the Weapons Registration 
Office, Law Enforcement Command, within 72 hours (three working days) 
after signing in to his/her permanent unit of assignment. HFL Form 816, 
Registration of Personal Firearms, will be completed in triplicate. The 
unit commander is responsible for verifying proof of legal ownership 
paperwork on all data entered on HFL 816. The Military Police Weapons 
Registration Section will retain two copies of the completed 
registration form and issue one copy to the individual to be retained 
with the weapon at all times. The Weapons Registration Section will 
forward one copy of the form to the individual's unit commander. The 
commander's copy of the registration will be maintained in the unit arms 
room for personnel storing personal weapons in the unit arms room. When 
an individual possessing a personal weapon transfers (intra-
installation), the losing commander will ensure that HFL Form 816 is 
forwarded to the gaining commander. The gaining commander will ensure 
that the individual re-registers the personal weapon within 72 hours 
(three working days). The commander of 525th Replacement Detachment is 
responsible for the storage of personal weapons of newly arriving 
personnel, temporarily assigned to the unit. Personnel residing off post 
who wish to bring personal weapons on post are also required to register 
those weapons. Weapons registration forms (HFL 816) will be turned in at 
the Weapons Registration Section when

[[Page 322]]

clearing post. Upon any sale or transfer of a registered weapon, the 
transaction will be immediately reported within 72 hours (three working 
days) to the Registration Office. For additional guidance on weapon 
registration, refer to Fort Lewis Regulation 210-1.
    (b) All soldiers are required to inform the unit commander if they 
are storing privately owned weapons within a 100 mile radius of Fort 
Lewis. Soldiers residing off-post must inform the unit of the location 
of the weapon(s). Those weapons must be registered if they are to be 
brought onto the installation for any type of authorized use.
    (c) Privately owned weapons of soldiers residing in the unit 
billets, Bachelor Enlisted Quarters (BEQ), or Bachelor Officer Quarters 
(BOQ), will be stored in the assigned unit arms room under the following 
provisions:
    (1) Commanders may authorize their personnel who reside in billets, 
BEQ or BOQ to store privately owned weapons in the off post quarters of 
another member of his/her unit or in the quarters of immediate family 
members residing in the area.
    Family members will be considered sponsors for paragraph (b) (2) 
thru (5) of this section.
    (2) A unit member who resides off post may sponsor a maximum of one 
unit member who resides in billets, BEQ or BOQ for storage of privately 
owned weapons.
    (3) Request to store weapons off post must be submitted in writing 
to the unit commander, indicating the name, exact address and phone 
number of the proposed unit sponsor. Request must be accompanied by a 
written authorization from the sponsor to store the weapons, and a copy 
of HFL 816. Request must be kept on file in the unit arms room until 
legal disposition of the weapon is presented to the unit commander.
    (4) Civilians (except for immediate family residing in the area) and 
military dependents will not be considered as sponsors to store 
privately owned weapons for military members.
    (5) Unit commanders have the responsibility to verify the off post 
location for off post storage requests and ensure that military members 
comply with both local and state laws governing possession and use of 
privately owned weapons.
    (d) Weapons stored in unit arms rooms may be issued to registered 
owners only for authorized hunting or participation in authorized target 
practices or matches. Request for issue of a privately owned weapon from 
the arms room must be in writing indicating the inclusive dates and 
times, reasons and serial number of weapon for issue. Weapons stored in 
the unit arms rooms may not be issued to anyone other than the 
registered owner.
    (e) Properly registered privately owned weapons may be kept at the 
owners assigned government family quarters if approved in writing by the 
unit commander. One copy of the completed HFL Form 816 will be 
maintained on file in the unit arms room. Intra-post transfer rules as 
stated in paragraph (a) of this section apply.
    (f) Privately owned weapons with a maximum of 100 rounds of 
ammunition (per weapon) may be stored in the unit arms room. Weapons and 
ammunition will be stored separately. The owner of a privately owned 
weapon will be issued a hand receipt when the weapon and/or ammunition 
is turned in to the arms room. The owner will return the hand receipt 
when the weapon and/or ammunition is removed from the arms room for any 
reason.
    (g) Weapons cancellation and installation clearance will be as 
follows:
    (1) Commander will ensure that privately owned weapons registered 
with Weapons Registration Section are de-registered during the 
outprocessing or when legally disposed of.
    (2) Individuals who register a privately owned weapon and legally 
dispose of the weapon while it is still registered will surrender the 
registration certificate to the Weapons Registration Section at the time 
of disposal along with appropriate disposition documents.



Sec. 552.120  Possession and control.

    (a) Possession of weapons on the post by civilians is prohibited 
with the following exceptions:
    (1) Engaged in authorized hunting.
    (2) Engaged in authorized target practice.

[[Page 323]]

    (3) Engaged in authorized and organized shooting matches.
    (b) Request for authorization for these exceptions will be submitted 
in writing to the Commanding General, I Corps and Fort Lewis. Prior 
coordination for the use of ranges will be made through the Range 
Control Officer or Range Scheduling. Civilians who fail to comply with 
this regulation are subject to charges of Trespassing, Unlawful 
Discharge of a Firearm, and other criminal offenses as applicable.
    (c) Military or civilian personnel are not authorized to bring 
personal weapons into field training sites.
    (d) Carrying of concealed privately owned weapons by either military 
or civilian personnel is prohibited while on the Fort Lewis Military 
Reservation regardless of whether a state or county permit has been 
obtained. For the purpose of this regulation, a concealed weapon is any 
instrument used or designed to be used in an offensive or defensive 
manner which is carried in such a way as to be hidden from ordinary 
view. Folding knives with a blade of three inches or less are 
specifically excluded from this definition. Request to carry concealed 
weapons will be submitted in writing, with full what and why 
justification, to the Commanding General, I Corps and Fort Lewis, 
through appropriate channels.



Sec. 552.121  Possession or retention of prohibited weapons.

    Prohibited weapons are defined as:
    (a) Any instrument or weapon of the kind usually known as a sling 
shot, sand club, metal knuckles, spring blade knife, or any knife from 
which the blade is automatically released by a spring mechanism or other 
mechanism or other mechanical device, or any knife having a blade which 
opens, falls, or is effected into position by force of gravity or an 
outward thrust or centrifugal movement, or any knife with a blade with a 
length in excess of three inches. This does not include knives designed 
for and used during hunting and fishing activities. However, such knives 
may only be carried while participating in those activities. The 
possession of knives kept in quarters and designed for the use in the 
preparation of food is authorized.
    (b) Any incendiary devices, military ammunition and/or explosives.
    (c) Any weapons not legally obtained.
    (d) Any instrument commonly used in the practice of martial arts, 
for example, a nunchaku, except during the legitimate martial arts 
training. If martial arts use is authorized, storage of these 
instruments during nontraining periods will be in a location other than 
the arms room, as designed by the unit commander for soldiers residing 
in troop billets, BEQ or BOQ. Martial arts instruments may be stored in 
assigned government family quarters during nontraining periods.
    (e) Any weapons on which the name of the manufacturer, serial number 
of identification have been changed, altered, removed or obliterated 
unless done for legitimate repair or part replacement.



Sec. 552.122  Personnel not authorized to possess or retain personal weapons.

    (a) Possession, retention or storage of personal weapons or 
ammunition by person(s) described below is prohibited:
    (1) Any person who has been convicted in any court of a crime of 
violence. For the purpose of this regulation, a crime of violence is one 
in which the use of force or threat of force is an element.
    (2) Any person who is a fugitive from justice.
    (3) Any person who has been convicted in any court of the 
possession, use, or sale of marijuana, dangerous or narcotic drugs.
    (4) Any person who is presently declared as mentally incompetent or 
who is presently committed to any mental institution.
    (5) Any civilian, or other than a military family member or a law 
enforcement officer authorized to carry the weapon under state or 
federal law, while on Fort Lewis or a sub-installation, except while 
hunting or engaged in authorized target practice or an organized match, 
unless specifically authorized in writing by the Commanding General, I 
Corps and Fort Lewis.
    (b) Any person under the age of eighteen is prohibited from the use 
of firearms unless accompanied and supervised by a parent or legal 
guardian.

[[Page 324]]

    (c) Delivery of a personal handgun to persons known to be under the 
age of twenty-one, persons known to have been convicted of a crime or 
violence, persons known to be a drug abuser or under the influence of 
drugs, persons known to be an alcoholic or currently under the influence 
of alcohol or a person known to be of unsound mind, is prohibited.



Sec. 552.123  Storage of personal weapons other than firearms or handguns.

    Privately owned weapons, such as knives, swords, air guns, BB guns, 
cross bows, pellet guns, bow and arrows, of personnel residing the unit 
billets will be stored in a separate locked container, within a secured 
storage area designated for this purpose by the unit commander, in a 
location other than the unit arms room.



Sec. 552.124  Transportation of privately owned weapons and ammunition.

    (a) Privately owned firearms and ammunition will be transported in 
the following manner:
    (1) Weapons, other than weapons being transported into Fort Lewis 
for the first time, may be carried in vehicles only when traveling to 
and from an authorized hunting area during hunting seasons or enroute to 
or from authorized target practice and matches.
    (2) The carrying of loaded privately owned weapons in a vehicle is 
prohibited.
    (3) Privately owned weapons carried in a vehicle will be secured in 
the trunk or encased and carried in such a manner that they will not be 
readily available to the driver or passenger.
    (b) Personnel who remove privately owned weapons from Fort Lewis or 
sub-installations will comply with applicable Federal, state, and local 
laws pertaining to the ownership, possession and/or registration of 
weapons.



Sec. 552.125  Disposition of confiscated weapons.

    Commanders will maintain confiscated weapons in the unit arms room 
pending final disposition. They will provide written notification of the 
circumstances or loss or recovery of such weapons and a complete and 
accurate description of the weapon to Commander, I Corps and Fort Lewis, 
ATTN: AFZH-PMS-P, Fort Lewis, WA 98433-5000. A copy of this notification 
will be maintained with the weapon pending final disposition.



 Subpart J--Control of Firearms, Ammunition and Other Dangerous Weapons 
                             on Fort Gordon

    Source: 56 FR 37130, Aug. 2, 1991, unless otherwise noted.



Sec. 552.126  Definitions.

    For the purpose of this part, the following definitions apply:
    (a) Ammunition. Projectiles together with their fuses, propelling 
charges, and primers that are designed to be expelled from a firearm. 
This includes any type of military and commercial ammunition (ball, 
trace, incendiary, blank, shotgun, black powder, and shot). Items shall 
only be considered as ammunition when loaded into a cartridge with its 
bullet and primer.
    (b) Pellet and BB Guns. Any type rifle, pistol, or other instrument 
designed or redesigned, made or remade, modified or remodified to expel 
BBs or pellets by springs, compressed air, CO2, or any other 
compressed gas cartridge.
    (c) Dangerous Instruments. Any device which is designed or 
redesigned, made or remade, modified or remodified to be used as an 
offensive or defensive weapon. Devices of this type include but are not 
limited to:
    (1) ``Constant companion'' or any similar weapon, designed or 
redesigned, made, or remade modified or remodified to be worn as a belt 
buckle, brass knuckles, ``Knucklers,'' and ``Knucks.''
    (2) Studded or spiked wrist bands, or any device designed or 
redesigned, made or remade, modified or remodified to fit over the hand 
or wrist which can be used to cause grave bodily harm.
    (3) Blackjacks, slapjacks, slappers, saps, including homemade 
substitutes, other bludgeons (with or without handles), and metal pipes.
    (4) ``Nanchaku'' (num-chucks), two or more sticks connected by rope, 
cord, or chain and normally used as a martial

[[Page 325]]

arts weapon. ``Shuriken'', a disc or any geometrical object designed to 
be thrown as a weapon. ``Manrikiqusari'' or ``Kusari,'' a rope or cord 
joined to a weight at each end and designed to be used as a weapon. 
``Sai'' fighting forks or other similar weapons.
    (5) Any finger ring with blades or sharp objects that are capable of 
being projected/extended from the surface of the ring.
    (6) Any device capable and primarily intended for discharging darts 
or needles.
    (7) All firearms.
    (8) Slingshots (not including small slingshots made for use by 
children), other missile throwing devices, or any other instrument 
designed to produce bodily harm.
    (d) Explosive, incendiary, and pyrotechnic devices. Any type of 
military or commercial explosive, incendiary, gas or smoke bomb, 
grenade, rocket, missile, mine, blasting cap, ``dummy'' and/or practice 
device such as simulators, and other similar detonating devices which 
are capable of being altered to contain a live charge, and pyrotechnic 
devices such as firecrackers, cherry bombs, bottlerockets, and 
starclusters.
    (e) Firearms. (1) A shotgun having a barrel or barrels of less than 
18 inches in length.
    (2) A weapon made from a shotgun, if such weapon as modified has an 
overall length of less than 26 inches or a barrel or barrels of less 
than 18 inches in length.
    (3) A rifle having a barrel or barrels of less than 16 inches in 
length.
    (4) A weapon made from a rifle if such weapon as modified has an 
overall length of less than 26 inches or a barrel or barrels of less 
than 16 inches in length.
    (5) A machine gun.
    (6) A muffler or a silencer for any firearm whether or not such 
firearm is included within this definition. The term shall not include 
an antique firearm or any device (other than a machine gun) which, 
although designed as a weapon, by reason of the date of its manufacture, 
value, design, and other characteristics is primarily a collector's item 
and is not likely to be used as a weapon. For purpose of this 
definition, the length of the barrel on a shotgun or rifle shall be 
determined by measuring the distance between the muzzle and the face of 
the bolt, breech, or breechlock when closed and when the shotgun or 
rifle is cocked. The overall length of a weapon made from a shotgun or 
rifle is the distance between the extreme ends of the weapon measured 
along a line parallel to the center line of the bore.
    (f) Knives, sabers, swords, and machetes. Any instrument having a 
sharp blade which is fastened to a handle, or made with a handle. 
Measurement of the blade will be from the tip of the blade to the point 
where the blade meets the handle. This includes folding knives, 
switchblades, gravity knives, stilettos, lock blade knives, swords, 
sabers, and machetes.
    (g) Machine gun and automatic weapon. Any weapon which shoots, is 
designed to shoot, or can be readily restored to shoot automatically 
more than one shot without manual reloading, by a single function of the 
trigger. The term shall also include the frame or receiver of any such 
weapon, any part designed and intended solely and exclusively, or 
combination of parts designed and intended, for use in converting a 
weapon into a machine gun, and any combination of parts from which a 
machine gun can be assembled if such parts are in the possession or 
under the control of a person.
    (h) Pistol. A weapon originally designed, made, and intended to fire 
a projectile (bullet) from one or more barrels when held in one hand, 
and having:
    (1) A chamber(s) as an integral part(s) of, or permanently aligned 
with, the bore(s).
    (2) A short stock designed to be gripped by one hand and at an angle 
to and extending below the line of the bore(s).
    (i) Public gathering. Shall include, but shall not be limited to, 
athletic or sporting events, schools or school functions, churches or 
church functions, rallies, or establishments at which alcoholic 
beverages are sold for consumption on the premises.
    (j) Revolver. A projectile weapon, of the pistol type, having a 
breechloading chambered cylinder so arranged that

[[Page 326]]

the cocking of the hammer or movement of the trigger rotates it and 
brings the next cartridge in line with the barrel for firing.
    (k) Rifle. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder. Also, designed or redesigned and 
made or remade to use the energy of the explosive in a fixed cartridge 
to fire only a single projectile through a rifled bore for each single 
pull of the trigger, and shall include any such weapon which may be 
readily restored to fire a fixed cartridge.
    (l) Shotgun. A weapon designed or redesigned, made or remade, and 
intended to be fired from the shoulder; and designed or redesigned, made 
or remade, to use the energy or the explosive in a fixed shotgun shell 
to fire through a smooth bore either a number of projecting (ball shot) 
or a single projectile for each single pull of the trigger and shall 
include any such weapon which may be readily restored to fire a fixed 
shotgun shell.
    (m) Silencer. Any device for silencing, muffling, or diminishing the 
report of a portable firearm, including any combination of parts, 
designed or redesigned, and intended for the use in assembling or 
fabricating a firearm silencer or firearm muffler, and any part intended 
only for use in such assembly or fabrication.
    (n) Weapon. An instrument used in an offensive or defensive manner.



Sec. 552.127  Prohibitions.

    (a) Prohibited items. It is prohibited to possess, carry, conceal, 
transport, store, transfer or sell any of the following weapons or 
devices, on, through, or within the confines of Fort Gordon unless 
specifically allowed elsewhere in this part:
    (1) Sawed-off shotgun.
    (2) Sawed-off rifle.
    (3) Machine gun and automatic weapons.
    (4) Silencers.
    (5) Dangerous instruments as defined in Sec. 552.126(c) of this 
part.
    (6) Explosives, Incendiary and Pyrotechnic Devices, as defined in 
Sec. 552.126(d) of this part.
    (7) Knives with automatic blade openers (i.e., switch blades, 
gravity knives, stilettos) of any blade length. Folding or fixed bladed 
knives with a blade length of more than 3 inches. Swords, sabers, and 
machetes with sharpened blades.
    (8) Any object which carries an electrical current of sufficient 
wattage to deliver a shock to a person, such as cattle prods, stun guns, 
``taser'' or ``public defenders.''
    (9) Umbrellas, canes, or walking sticks with sharpened points or 
removable handles which convert into a sword type instrument.
    (b) Carrying a concealed weapon. A person commits the offense of 
carrying a concealed weapon when he/she knowingly has or carries about 
his/her person, unless in an open manner and fully exposed to view, any 
bludgeon, metal knuckles, firearm, or knife designed for the purpose of 
offense and/or defense, or any other dangerous or deadly weapon or 
instrument of like character outside of his/her home or place of 
business.
    (c) Carrying deadly weapons to or at public gatherings. A person 
commits an offense under this section when he/she carries to, or 
possesses while at, a public gathering any explosive compound, firearm, 
or knife designed for the purpose of offense and/or defense. This 
paragraph shall not apply to necessary equipment for military personnel 
in a formation when a weapon is required, or to police/security 
personnel while in performance of their duties.
    (d) Prohibited possession and storage. It is prohibited to possess 
or store ammunition, firearms, knives with blades more than 3 inches, 
bows and arrows, crossbows, and BB and pellet guns, in locations other 
than those specified in Sec. 552.128 except under conditions specified 
in Sec. 552.129. Prohibited locations for these items include, but are 
not limited to, living spaces and common areas of billets, squad rooms, 
privately-owned vehicles, exterior storage sheds, camper trailers, and 
offices. Commanders will designate an arms room and times for weapons 
turn-in. During periods when arms rooms are closed, the Staff Duty 
Officer (SDO) will ensure the weapon is secured in accordance with (IAW) 
this subpart. A receipt will be given for each weapon received, 
reflecting the weapon's make, serial

[[Page 327]]

number, identity of owner and other data deemed appropriate.
    (e) Carrying of straight razors, unless the razor is in the original 
sealed package, is prohibited.
    (f) Exemptions. Nothing in this subpart shall prohibit:
    (1) Military members or DOD civilian employees from possessing or 
using military weapons, military ammunition or explosives, or military 
devices in a lawful manner while in the performance of their military 
duties while acting under orders of superior military authority, for 
training, or other authorized purposes, as prescribed by applicable Army 
Regulations.
    (2) Military and DOD civilian personnel, while in the performance of 
official law enforcement duties, from possessing or using government 
ammunition, explosives or devices in a lawful manner, as prescribed by 
applicable laws or regulations or by their lawful superiors.
    (3) Federal, state, county or local law enforcement personnel, while 
in the performance of official law enforcement duties, from possessing 
or using government or privately-owned weapons, ammunition, explosives 
or devices in a lawful manner, as prescribed by applicable laws or 
regulations or by their lawful superiors.
    (4) Government contractors, while in performance of their contract 
from possessing or using weapons, ammunition, explosives or devices, IAW 
the provisions of their contract and as determined by the contracting 
officer.
    (5) Individuals with Federal firearms licenses (class III) from 
possessing, carrying, and transporting class III weapons IAW Federal 
regulations; however, they are prohibited from concealing, storing, 
transferring, or selling class III weapons within the confines of Fort 
Gordon.
    (6) Individuals from possessing, carrying, transporting, or storing 
decorative, ornamental, and ceremonial swords and sabers within the 
confines of Fort Gordon when used strictly for display and ceremonies.
    (7) Individuals and agencies from possessing, transporting, storing, 
selling, or using fixed bladed knives with a blade length of more than 3 
inches when used for their lawful purpose (i.e., steak knives, cooking 
knives, hunting knives) and when in compliance with all other 
requirements in this subpart.
    (8) Flares used for emergency warning devices in automobiles may be 
transported in the locked trunk or glove compartment of an automobile.



Sec. 552.128  Requirements for possession and use.

    All persons entering or otherwise on Fort Gordon may possess 
legally-defined and privately-owned firearms, ammunition, pellet and BB 
guns, knives, bows and arrows, and crossbows under the following 
conditions:
    (a) Privately-owned firearms, crossbows, pellet and BB guns 
possessed or stored on the installation must be registered at the 
Installation's Provost Marshal Office within 3 working days after 
arrival on the installation, or after obtaining the weapon, except:
    (1) Firearms legally brought onto the installation for the purpose 
of hunting or firing at an approved firing range, and only for the 
period of time the person possessing the firearms is hunting or firing 
on the range.
    (2) Firearms carried by federal, state, county, or local law 
enforcement personnel when in the performance of official law 
enforcement duties.
    (b) Personnel residing in family housing, bachelor officers' 
quarters/bachelor enlisted quarters/visiting officer quarters (BOQ/BEQ/
VOQ) and guest housing, may store legally-acquired, authorized 
ammunition, knives with a blade measuring more than 3 inches, bows and 
arrows, registered crossbows, registered pellet and BB guns, and 
registered firearms within their quarters.
    (c) Personnel residing in troop billets may store legally-acquired 
authorized ammunition, knives and blades measuring more than 3 inches, 
bows and arrows, registered crossbows, registered pellet and BB guns and 
registered firearms in unit arms rooms. The unit arms room should 
utilize a standard weapons card and log book to document storage, 
removal, and return.
    (d) Persons 17 or under must be accompanied by a person over the age 
of 21, who will be responsible for compliance with the requirements of 
this subpart while hunting or target shooting

[[Page 328]]

on the installation and when purchasing legal arms (including knives 
with blades over 3 inches) and ammunition from installation retail 
outlets.
    (e) Persons must be in compliance with federal and state laws 
regarding possession (i.e., age, criminal record restrictions, etc.).
    (f) Storage, accountability, and registration procedures will be in 
accordance with (IAW) Army Regulation (AR) 190-11 (Physical Security of 
Arms, Ammunition and Explosives) and supplements. Copies of the AR may 
be obtained from the National Technical Information Service, 5285 Port 
Royal Road, Springfield, VA 22161.
    (g) Loss or theft of firearms and ammunition will be reported to the 
Fort Gordon military police desk sergeant immediately. Reports will 
contain all available details of the incident and a description of the 
lost item.



Sec. 552.129  Requirements for carrying and use.

    Persons legally authorized to possess firearms, ammunition, knives 
(with blades longer than 3 inches), bows and arrows, and crossbows, may 
carry or transport legally possessed and registered (if required) 
weapons under the following conditions:
    (a) For purposes of hunting: From quarters, on or off the 
installation, by the most direct route to hunting area and return. 
Stopping at other installation facilities while en route is prohibited 
(i.e., post exchange, club, offices, etc.). Individual must have in his/
her possession weapon registration (if applicable), valid state hunting 
license, valid Fort Gordon hunting permit and an area access pass (if 
applicable).
    (b) For purposes of target shooting, selling the weapon or having 
the weapon repaired: From quarters by the most direct route to approved 
range or to the location where the weapon is to be sold or repaired and 
returned. Stopping at other installation facilities while en route is 
prohibited. Individual must have in his/her possession at all times his/
her registration (if applicable).
    (1) When carried, weapons will be carried in an open manner (not 
concealed). Firearms will be unloaded when carried (i.e., projectiles 
physically separated from the firearms, not just removed from the 
chamber), except when actually engaged in hunting or shooting. Knives 
will be carried in a sheath or scabbard worn in a clearly visible 
manner. Commanders may authorize the carrying of a privately-owned, 
knife with a blade over 3 inches to field duty. The provost marshal may 
authorize the carrying of a privately-owned, sheathed, lock blade knife 
on military and DOD police officers' pistol belts.
    (2) When transported in a vehicle, weapons will be in plain view in 
the passenger area of the vehicle or secured (locked) in the trunk or 
other rear compartment of the vehicle, not readily accessible from the 
passenger area (i.e., locked tool box secured to bed of a truck). 
Firearms will be unloaded and the ammunition physically separated from 
the firearms. THE GLOVE COMPARTMENT OF A VEHICLE IS NOT AN AUTHORIZED 
COMPARTMENT FOR STORING PISTOLS.
    (3) Firearms, bows and arrows, crossbows, pellet and BB guns will 
not be loaded, fired, or used within any housing area or cantonment area 
of the installation; within 50 yards of any public highway, street or 
Fort Gordon named street or numbered road, or across same; within 100 
yards of any designated recreation area, managed waters, building or 
similar structures; any aircraft landing facility; any ammunition 
storage area (except on approved firing ranges when properly 
authorized); be discharged from vehicles.



Sec. 552.130  Disposition of confiscated/seized weapons.

    All weapons, ammunition, explosives, or other devices defined in 
this subpart, that are confiscated pursuant to the commission of a crime 
or violation of this subpart or other regulation or found unsecured/
unattended on the installation, will be immediately turned over to the 
military police, U.S. Army Criminal Investigation Command (USACIDC), or 
the Federal Bureau of Investigation (FBI) for investigation, retention 
as evidence, or other law disposition. When retention for investigation 
or evidence is no longer required by military police, USACIDC, or other 
law enforcement or judicial agencies, the items will be disposed of 
under the

[[Page 329]]

provisions of AR 195-5, Evidence Procedures. Copies of the AR may be 
obtained from the National Technical Information Service, 5285 Port 
Royal Road, Springfield, VA 22161.



  Subpart K--Restriction of Training Areas on the Installation of Fort 
                       Benjamin Harrison, Indiana

    Authority: 16 U.S.C. 470; 1531-1543; 18 U.S.C. 1382; 50 U.S.C. 797.

    Source: 59 FR 42755, Aug. 19, 1994, unless otherwise noted.



Sec. 552.140  Purpose.

    (a) This subpart establishes restrictions governing the operation of 
unauthorized vehicles, motorized and non-motorized, on the army training 
areas of Fort Benjamin Harrison, Indiana, as defined in Sec. 552.134 of 
this subpart. Unauthorized vehicles are restricted to paved roads on the 
installation of Fort Benjamin Harrison, Indiana.
    (b) These restrictions are established to prevent the interruption 
of the use of these Army training areas by any person or persons. The 
continued and uninterrupted use of these training areas by the military 
is vital in order to maintain and improve the combat readiness of the 
U.S. Armed Forces. Training conditions exist within these areas which 
could be dangerous to unauthorized persons entering these areas.
    (c) In addition, these restrictions have been established to prevent 
property damage, threatening of endangered flora and fauna in the areas, 
and to prevent the harassment of protected species such as the Blue 
Heron and the Indiana Bat by any person or persons.



Sec. 552.141  Applicability.

    The restrictions outlined in this subpart apply to all individuals, 
with the exception of soldiers and Army civilian employees and 
authorized contractors, who may enter the restricted areas in the 
performance of their official duties.



Sec. 552.142  References.

    Required and related publications are listed below. U.S. Codes 
referenced in this subpart can be obtained from the Government Printing 
Office or can be reviewed in any Public Library. Army publications 
referenced in this subpart may be obtained from the U.S. Army 
Publications and Printing Command, Alexandria, VA 22331-0302.
    a. 16 U.S.C. 1531-1543.
    b. 16 U.S.C. 470.
    c. Title 18, U.S.C. 1382.
    d. Internal Security Act of 1950, section 21 (50 U.S.C. 797).
    e. Army Regulation 420-74.
    f. 10 U.S.C. 801-940.
    g. Article 92, Uniform Code of Military Justice.



Sec. 552.143  Definitions.

    (a) For purpose of this subpart, restricted areas on the 
installation of Fort Benjamin Harrison, Indiana area defined as training 
areas A thru J, to include the gold course. A map defining these areas 
is located in the Directorate of Plans, Training, and Mobilization, 
Security, Plans and Operations Division, Training Branch, Building 600, 
Room B, Fort Benjamin Harrison, Indiana.
    (b) Unauthorized motor and non-motorized vehicles are defined as any 
wheeled or tracked vehicle. This may include, but not limited to, 
bicycles, ATV, snow mobiles, motor cycles, automobiles, trucks, etc.



Sec. 552.144  Procedures.

    (a) Except for the soldiers, Army civilians and authorized 
contractors who enter the restricted areas in the performance of their 
official duties, entry of unauthorized vehicles is prohibited for any 
purpose whatsoever without the advanced consent of the Commander, United 
States Army Soldier Support Center (USASSC), Fort Benjamin Harrison, 
Indiana, or his/her authorized representative.
    (b) Any person or group of persons desiring advanced consent shall, 
in writing, submit a request to the following address: HQ, USASSC and 
Fort Benjamin Harrison, ATTN: Public Affairs Office, Building 600, Fort 
Benjamin Harrison, Indiana 46216-5040.



Sec. 552.145  Violations.

    (a) Any person/persons entering or remaining on any training area as 
defined in Sec. 552.134 without the advance

[[Page 330]]

consent of the Commander, USASSC, or his authorized representative, 
shall be subject to the penalties prescribed by Sec. 552.133 of this 
subpart, which provides in pertinent part: ``Whoever, within the 
jurisdiction of the United States, goes upon any military, naval, or 
Coast Guard reservation, post, fort, arsenal, yard, station or 
installation, for any purpose prohibited by law or lawful regulation * * 
* shall be fined for not more than $500.00 or imprisoned not more than 
six months, or both.
    (b) Moreover, any person who willfully violates this subpart is 
subject to a fine not to exceed $5,000.00 or imprisonment for not more 
than 1 year as provided in Sec. 552.133(d) of this subpart.
    (c) In addition, violation of this subpart by persons subject to the 
Uniform Code of Military Justice (10 U.S.C. 801-940) is a violation of 
Article 92 of the Uniform Code of Military Justice.



 Subpart L--Prohibited Personnel Practices on the Installation of Fort 
                         Jackson, South Carolina

    Authority: 10 U.S. Code, Ch. 47, 21 U.S. Code 801, et seq.

    Source: 59 FR 31144, June 17, 1994, unless otherwise noted.



Sec. 552.150  Purpose.

    This part is punitive in nature and applies to all persons assigned 
to, attached to, or present on the installation of Fort Jackson, South 
Carolina. A violation of, attempted violation of, or solicitation or 
conspiracy to violate any provision of this part provides the basis for 
criminal prosecution under the Uniform Code of Military Justice, 
applicable Federal Law, other regulations, and/or adverse administrative 
action. Civilian visitors may be barred from the installation of Fort 
Jackson and prosecuted under appropriate Federal laws. The enumeration 
of prohibited activities in this part is not intended to preclude 
prosecution under other provisions of law or regulation.



Sec. 552.151  Scope.

    This part does not list all activities or practices prohibited on 
the installation of Fort Jackson, South Carolina. Various other Army and 
Fort Jackson regulations specifically prohibit other activities or 
practices. See appendix A to this subpart.



Sec. 552.152  Prohibited practices.

    The following activities are prohibited:
    (a) The possession, delivery, sale, transfer, or introduction into 
the installation of Fort Jackson of any device, instrument or 
paraphernalia designed or reasonably intended for use in introducing 
into the human body a controlled substance, as defined in the Controlled 
Substances Act, 21 U.S.C. 801, et seq., is prohibited.
    (b) Unless an exception is approved by the Chief of Staff or a Major 
Subordinate Commander for a special occasion, consumption of alcoholic 
beverages, or the possession of an open container thereof, is prohibited 
under the circumstances listed in this section. For the purpose of this 
part, an ``alcoholic beverage'' is any liquid beverage containing any 
amount of ethyl alcohol, including wines, malt beverages and distilled 
spirits.
    (1) By military personnel in uniform during duty hours (0730-1630).
    (2) By military personnel during their assigned duty hours when 
different than those in paragraph (b)(1) of this section.
    (3) By civilian employees during their assigned duty hours. Lunch 
time is not considered duty time for civilian employees.
    (4) By civilian or military personnel in places of duty.
    (5) By any person in a public place, except: in the Twin Lakes and 
Weston Lake Recreational Areas, in the immediate vicinity of Oyster 
Point (Officers' Club), at installation club facilities governed by 
section II of AR 215-2, and at Army/Air Force Exchange Service (AAFES) 
eating establishments which serve alcoholic beverages for on-premises 
consumption.
    (6) By any person in any Fort Jackson parking lot or parking area, 
to include the Burger King parking lot and all parking lots of AAFES 
facilities and installation club facilities.
    (c) The presence of any person in a training area or of any 
permanent party soldier or civilian employee in a trainee/receptee 
billeting area while

[[Page 331]]

impaired by alcoholic beverages or illegal drugs is prohibited. For the 
purpose of this part, ``Impaired by alcoholic beverages'' for military 
personnel is defined as having a blood alcohol level of .05 percent (.05 
is equivalent to 55 milligrams of alcohol per 100 milliliters of blood) 
or more.
    (d) Privately Owned Firearms and Ammunition. For the purpose of this 
part, a ``firearm'' means any device which is designed to or readily may 
be converted to expel a projectile by the action of an explosive. Air/
pellet guns, BB guns and bows are subject to all of the provisions of 
this paragraph except paragraph (d)(1) of this section.
    (1) It is prohibited for persons residing on the installation to 
fail to register privately owned firearms with their unit commander.
    (2) Storage of privately owned firearms in the barracks is 
prohibited. For the purposes of this part, ``barracks'' does not include 
BOQs or SBEQs.
    (3) It is prohibited to store privately owned firearms in BOQs, 
SBEQs, or family quarters unless the firearm is unloaded, ammunition is 
stored separately from the firearm in a locked container, and one of the 
following methods for firearms storage is employed: by using a trigger 
locking device, by storing the firearm in a locked container, by 
removing the firing pin from the firearm and storing the firing pin in a 
locked container, or by disassembling the firearm and storing the 
disassembled parts in separate places. For the purposes of this part a 
``locked container'' and a ``locking device'' mean locked containers and 
locking devices the keys to which are stored in a place not assessable 
to persons under 18 years of age.
    (4) It is prohibited to carry on one's person any privately owned 
firearm in a public place on the installation of Fort Jackson unless 
participating in an authorized sporting activity or hunting in 
accordance with applicable regulations.
    (5) In addition to the requirements of paragraph (d)(4) of this 
section, a person under 18 years of age is prohibited from carrying on 
his or her person a firearm outside the presence of a responsible adult.
    (6) Carrying a concealed firearm on one's person, except by 
military, state and Federal law enforcement authorities in the 
performance of their duties, is prohibited.
    (7) It is prohibited to transport in a vehicle any privately owned 
firearm except in a manner prescribed by the laws of South Carolina.
    (8) It is prohibited to carry on one's person or transport in a 
vehicle any privately owned firearm within the Weston Lakes and Twin 
Lakes Recreation areas.
    (e) Weapons Other Than Privately Owned Firearms. The possession of 
the following privately owned weapons or devices is prohibited:
    (1) Any knife having a switchblade or automatic blade.
    (2) Brass knuckles or similar devices.
    (3) Blackjacks, saps, nunchaku and similar devices. As exceptions, 
nunchucks may be possessed for bona fide educational instruction or 
competition in a recognized martial arts program and may be carried and 
transported directly to and from educational and competitive martial 
arts events.
    (4) When carried on one's person in an unconcealed manner, knives 
with blades in excess of three inches in length except while engaged in 
authorized hunting, fishing, camping or other outdoor recreational 
activities, or when required by duty purposes.
    (5) When carried on one's person in a concealed manner, knives with 
blades in excess of three inches, razors and ice picks.
    (f) The charging of a usurious interest rate, defined as a rate 
exceeding thirty-six (36) percent per annum or three (3) percent per 
month, for the loan of money or for the extension of credit, is 
prohibited.
    (g) Sexual intercourse or any indecent, lewd or lascivious act in 
any office, barracks, training area, duty location, parking lot, public 
recreation area or public place is prohibited.
    (h) Relationships between service members of different rank or sex 
which involve or reasonably give the appearance of partiality, 
preferential treatment, the improper use of rank or position for any 
personal gain, or which can otherwise be reasonably expected

[[Page 332]]

to undermine discipline, authority or morale, are prohibited.
    (i) Being present in any ``off-limits'' or ``limited access'' areas, 
except as authorized in Fort Jackson Regulation 190-3, is prohibited 
(See appendix A to this subpart).
    (j) Use of a metal detector for other than official purposes is 
prohibited.
    (k) When directed to do so by the Military Police, failure to 
relinquish possession or control to the Military Police of abandoned 
property found on the installation is prohibited.
    (l) Scavenging in or removal of waste items or recyclable materials 
from dumpsters, garbage cans, outdoor trash receptacles, recycling 
collection points, or landfill areas is prohibited, except for official 
purposes. This part does not prohibit persons from collecting and 
disposing of scattered litter, including aluminum cans, from roadsides, 
parking lots and recreation areas.
    (m) It is prohibited for military personnel to engage in outside 
employment of any nature, including ownership or operation of a private 
business, without the prior written approval of their commander. 
Soldiers reassigned or reattached from one Fort Jackson unit to another 
Fort Jackson unit must obtain approval for continued employment from the 
gaining commander within 30 days of reassignment.
    (n) Except as authorized by the Installation Commander, Chief of 
Staff or a Major Subordinate Commander, the use of radios, stereos, tape 
players, compact disk players or any other similar electronic sound 
generating or amplification source, including equipment installed or 
located in motor vehicles, in a manner that can be heard more than 125 
feet from the source, is prohibited. This paragraph does not apply to 
law enforcement or emergency vehicles, or safety warning devices.
    (o) Loitering in any public place on Fort Jackson, to include all 
parking lots, is prohibited. Loitering is defined as remaining idle in 
essentially one location, spending time idly, loafing, or walking around 
without a purpose in a public place in such a manner as to create a 
disturbance or annoyance to the comfort of any person, create a danger 
of a breach of the peace, obstruct or interfere with any person lawfully 
in any public place, or obstruct or hinder the free passage of vehicles 
or pedestrians. Any person loitering as defined above in any public 
place may be ordered by a law enforcement officer to leave that place or 
the Fort Jackson military reservation.



Sec. 552.153  Dissemination.

    (a) Unit commanders and supervisors shall ensure that newly assigned 
or attached military and civilian personnel are informed of the 
prohibitions contained in this regulation. Soldiers-in-training will be 
informed of the provisions of this regulation at the beginning of each 
training cycle.
    (b) All permanent party personnel and civilian employees will be 
reminded annually of their duty to comply with this part.

 Appendix A to Subpart L--Partial List of Other Publications Applicable 
             on Fort Jackson Which List Prohibited Practices

    These publications are available for inspection at the Office of the 
Staff Judge Advocate, Fort Jackson, SC 29207-5000.
    1. Distribution of Written Materials on the Installation--Fort 
Jackson Supplement 1 to AR 210-10.
    2. Demonstrations, Pickets, Sit-ins, etc.--Fort Jackson Supplement 1 
to AR 210-10.
    3. Standards of Ethical Conduct for Employees of the Executive 
Branch, 5 Code of Federal Regulations, part 2635.
    4. Improper Associations--Fort Jackson Regulation 600-5.
    5. Mistreatment of Soldiers-in-Training--Fort Jackson Regulation 
350-1.
    6. Participation in Military Labor Unions--Army Regulation 600-20.
    7. Traffic Violations--Fort Jackson Regulation 190-5.
    8. Areas of Access--Fort Jackson Regulation 190-3.



 Subpart M--Land Use Policy for Fort Lewis, Yakima Training Center, and 
                             Camp Bonneville

    Authority: 16 U.S.C. 470, 1531-1543; 18 U.S.C. 1382; 50 U.S.C. 797.

    Source: 59 FR 34762, July 7, 1994, unless otherwise noted.

[[Page 333]]



Sec. 552.160  Purpose.

    (a) This subpart establishes procedures for entry to maneuver 
training areas at Fort Lewis, Yakima Training Center (YTC), and Camp 
Bonneville. Procedures for other sub-installations to Fort Lewis will be 
developed by the Commanders of those installations.
    (b) Uninterrupted military use of training areas is vital to the 
maintenance of US and Allied Armed Forces combat readiness. In addition, 
maneuver training areas may be dangerous to persons entering without 
warnings provided during training scheduling or use permit processing.



Sec. 552.161  References.

    See appendix E to this subpart.



Sec. 552.162  Abbreviations.

    See appendix F to this subpart.



Sec. 552.163  Applicability.

    (a) This subpart is applicable to all military and civilian users of 
the range complexes at Fort Lewis, Yakima Training Center, and Camp 
Bonneville.
    (b) This subpart governs all use of the Fort Lewis, Yakima Training 
Center and Camp Bonneville Military Reservations outside cantonment 
areas, housing areas, and recreational sites controlled by the Director 
of Personnel and Community Activities (DPCA). These areas are designated 
on the Fort Lewis, Yakima Training Center and Camp Bonneville Military 
Installation Maps as Impact Areas and lettered or numbered Training 
Areas (TAs), and comprise the range complexes for each Installation.



Sec. 552.164  General.

    (a) Military training. Use of the Fort Lewis, Yakima Training 
Center, and Camp Bonneville range complexes for military training is 
governed by FL Regs 350-30, 350-31, and 350-32. Scheduling is per FL 
Policy Statement 350-2. Military training always has priority.
    (b) Hunting. Hunting, fishing, and trapping on the range complexes 
are governed by FL Reg 215-1 and the Yakima Training Center Hunting 
Letter of Intent (LOI).
    (c) Fund raising. Fund raising events for non-profit private 
organizations not affiliated with the Army or Fort Lewis per AR 210-1 
require a Corps of Engineers Real Estate Agreement. Requests for fund-
raisers by such non-profit organizations, to be conducted on the Fort 
Lewis range complex, will be sent to the Director of Plans, Training, 
and Mobilization (DPTM) Range Division of preparation of a DPTM staffing 
document. The document will be circulated for comment to Director of 
Personnel and Community Activities (DPCA), Staff Judge Advocate (SJA), 
Public Affairs Officer (PAO), and Director of Engineering and Housing 
(DEH). If the event can be supported, DPTM will advise the organization 
to contact the Director of Engineering and Housing Real Property Branch. 
Requests for such activities at Yakima Training Center will be sent to 
the Yakima Training Center Commander for review and processing. For Camp 
Bonneville, the entry point is the Vancouver Barracks Commander. Corps 
of Engineers Real Estate Agreements require up to 8 months to process, 
and includes payment of a $375.00 minimum administrative fee, with 
actual costs determined on a case by case basis. Requests for 
fundraisers in the cantonment area by private organizations are 
processed per AR 210-1 by the Director of Personnel and Community 
Activities (DPCA).
    (d) Commercial use. Individuals or organizations using the range 
complex for profit-generating activities must possess a Corps of 
Engineers Real Estate Agreement. As stated above, these agreements 
require up to 8 months to process and include a minimum administrative 
fee of $375.00, with actual costs determined on a case by case basis. 
Entry point for these agreements is the DEH Real Property Branch. 
Profit-generating activities include collection of fees for services 
performed on the range complex, or selling materials collected from the 
range complex. Real Estate Agreement holders must check into the range 
complex daily by calling or coming to Area Access.
    (e) Installation service and maintenance. Department of Defense 
(DoD) and contractor personnel on official business are authorized on 
the range complex per appendix C to this subpart.

[[Page 334]]

Access to hazard areas for such personnel is governed by the appropriate 
Installation Range Regulations.
    (f) Non-DoD personnel in transit. Individuals in transit across Fort 
Lewis on State or County maintained roads, or roads designated for 
public access by the Installation Commander, require no special permits. 
See appendix B to this subpart. This measure does not apply at Yakima 
Training Center or Camp Bonneville.
    (g) Alcoholic Beverages. No alcoholic beverages may be consumed on 
the range complexes except as authorized per FL Reg 210-1.
    (h) Failure to comply. Persons entering the Fort Lewis, Yakima 
Training Center, or Camp Bonneville range complex without permit or 
scheduling, which constitute the consent of the Commanding Officer or 
his designated representative, are in violation of this regulation and 
trespassing on a controlled access Federal Reservation. Offenders may be 
cited by Military Police and may be subjected to administrative action 
or punishment under either the Uniform Code of Military Justice UCMJ) or 
Title 18 US Code Section 1382, or Title 50 U.S. Code Section 797, as 
appropriate to each individual's status. Administrative action may 
include suspension or loss of recreational privileges, or permanent 
expulsion from the Military Reservations.



Sec. 552.165  Responsibilities.

    (a) Commander, Yakima Training Center:
    (1) Schedule the Yakima Training Center range complex per FL Reg 
350-31 and FL PS 350-2.
    (2) Process requests for non-military, non-commercial use per 
Sec. 552.166.
    (b) Commander, Vancouver Barracks:
    (1) Schedule the Camp Bonneville range complex per FL Reg 350-32 and 
FL PS 350-2.
    (2) Process requests for non-military, non-commercial use per 
Paragraph 6c.
    (c) Fort Lewis DPTM.
    (1) Schedule the Fort Lewis range complex per FL Reg 350-30 and FL 
PS 350-2, including allocation of and for recreational use.
    (2) Operate the Fort Lewis Area Access Section.
    (3) Respond to DEH coordination on timber sales and other commercial 
use of the range complex.
    (d) Law Enforcement Agency (LEC). Provide law enforcement and game 
warden patrols on the range complexes.
    (e) Director of Engineering and Housing (DEH).
    (1) Coordinate with DPTM and the appropriate Sub-Installation 
Commander on Real Estate Agreements, timber sales, wildlife management, 
construction, forest management, Installation Training Area Management 
(ITAM), and other DEH or Corps of Engineers managed actions occurring on 
the range complex
    (2) Ensure that Real Estate Agreement holders are required to notify 
Fort Lewis Area Access, YTC DPCA, or Camp Bonneville Range Control, as 
appropriate, of range complex entry.
    (f) DPCA. With DEH, manage Installation hunting, fishing, and 
trapping programs. Manage picnic and recreation sites located in the 
Fort Lewis range complex, as listed in appendix A to this part. Advise 
DPTM on private organizations requesting use of the Fort Lewis range 
complex for fundraisers.
    (g) Public Affairs Office (PAO).
    (1) Act as interface to resolve community relations issues related 
to land use.
    (2) Coordinate equipment and special assistance requests per 
Sec. 552.165, and advise DPTM or the appropriate Sub-Installation 
Commander if permit requirements have been waived by the Command Group 
for a particular event or activity.
    (3) Inform DPTM or the appropriate Sub-Installation Commander of 
public response to policy execution.



Sec. 552.166  Recreational use.

    (a) Fort Lewis:
    (1) Individuals or organizations, military or civilian, desiring 
access to the Fort Lewis range complex for recreation must obtain a Fort 
Lewis Area Access permit, composed of HFL Form 652 and HFL Form 653. 
Exceptions are outlined below.
    (2) Exception 1: DoD ID card holders enroute to or using DPCA 
recreational areas listed in appendix A to this subpart need no permit 
other than the ID

[[Page 335]]

card. However, travel to and from DPCA areas is restricted to the most 
direct paved or improved two lane roads. DoD personnel participating in 
non-commercial recreational activities listed in appendix C to this 
subpart must have an Area Access permit.
    (3) Exception 2: Organizations or groups whose activity requires 
advanced commitment of a specific site or area, such as Scout Camporees, 
seasonal or one-time regional meets, and so on, must apply to the Fort 
Lewis DPTM, ATTN: Range Division, in writing. At least 30 days are 
required to process these requests. If the requested use is allowable 
and an appropriate area is available, DPTM may approve the request. 
Groups with approved land commitments will be scheduled onto the Range 
Complex using HFL 473. Actual commitments of land will not be made until 
after the Quarterly Range Scheduling Conference that covers the time 
period in question. Groups who need military equipment or other special 
support from Fort Lewis must apply in writing directly to the I Corps 
Public Affairs Office (PAO).
    (b) Yakima Training Center: Access to the Yakima Training Center 
range complex for recreation requires application in writing to the 
Commander, Yakima Training Center, Yakima WA 98901-9399. Camping is 
normally not permitted on Yakima Training Center. Exceptions may be 
granted by the Yakima Training Center Commander for special events.
    (c) Camp Bonneville: Access to the Camp Bonneville range complex for 
recreation requires a call to Range Control, telephone (206) 892-5800, 
the day before or the day of the activity. Access will be permitted if 
no military maneuver or live fire training is scheduled for the day 
requested.



Sec. 552.167  Activities.

    (a) Authorized activities are listed in appendix C to this subpart.
    (b) Prohibited activities are listed in appendix D to this subpart.



Sec. 552.168  Fort Lewis area access office.

    (a) DPTM Range Division operates the Area Access Section to issue 
permits and grant non-training access to the range complex.
    (b) Area Access is located in Range Control, Building T-6127, 19th 
and Tacoma Streets, Main Post Fort Lewis. Telephone numbers are (206) 
967-4686/6277. Fax extension is 967-4520. E-mail is ``rangeflw.'' 
Business hours vary dependent on personnel fill, and are available by 
calling the above numbers.
    (c) Individuals desiring access for authorized activities must 
register in person at Area Access during business hours. Minimum age is 
18 years, except for active duty military personnel. Persons under 18 
years of age must be sponsored and accompanied by a parent or legal 
guardian. Individual registration requires:
    (1) Picture ID.
    (2) Address and telephone number.
    (3) Vehicle identification and license number, if a vehicle is to be 
brought on post.
    (4) Names and ages of minor family members who will accompany a 
sponsor or permit holder.
    (5) Liability release signature.
    (6) Certification that intended activities are on the authorized 
list and are not for profit or fund-raising. Persons who submit false 
certificates are subject to prosecution in Federal Court under Title 18, 
United States Code, Section 1001, and the provisions of Sec. 552.165 of 
this subpart.
    (d) A wallet-sized permit (HFL Form 653) and a vehicle pass (HFL 
Form 652) will be issued to each person authorized access. The permit is 
not transferable. Entry to the Fort Lewis range complex without the 
permit is prohibited.
    (e) A collective permit will be issued to an organization desiring 
to conduct a one-time group event not tied to a specific area or site, 
maximum length 3 days. The group leader must register in person at the 
Area Access Office and must be 21 years of age or older except for 
active duty military personnel.
    (1) Group registration requires the information listed for 
individual permits above for the group leader(s), plus a list of names 
of all persons in the group.
    (2) Group permits require that all members of the group be with the 
leader throughout the event. If the group plans to separate while on 
Fort Lewis,

[[Page 336]]

sub-group leaders must be appointed and must obtain separate group 
permits. The group leader permit is not transferable.
    (3) Events requiring commitment of land must be processed per 
Sec. 552.166.
    (f) Aside from the land commitment coordination time requirement in 
Sec. 552.166, there is no deadline for permit application. Permits for 
authorized activities that do not require commitment of land may be 
obtained on the day of the event.
    (g) Group event permits for specialized one-time activities are 
valid for the duration of the event, not to exceed 3 days. Individuals 
activities permits are valid for one year. When a permit expires, the 
holder must re-register to renew privileges, and a new permit will be 
issued.
    (h) Access hours are 30 minutes after daylight to 30 minutes before 
dark, except for authorized overnight activities and as outlined in FL 
Reg 215-1.
    (i) All permit holders must check in with Area Access, either 
telephonically or in person, no earlier than 0800 the day prior to the 
event. It is the responsibility of each permit holder to inform a friend 
or relative of the area being used, the estimated time of return, and 
the vehicle being used.
    (j) Except when land commitment has been coordinated and approved, 
Area Access will determine when called for entry whether the area 
requested is available. If the requested area is not open for permit 
holders and an alternate area cannot be provided or is not acceptable to 
the requestor, access will be denied.



Sec. 552.169  Yakima Training Center area access office.

    The Yakima Training Center DPCA functions as the Area Access Officer 
(AAO).



Sec. 552.170  Camp Bonneville area access office.

    Camp Bonneville Range Control (CBRC) functions as Area Access.



Sec. 552.171  Compatible use.

    (a) Military unit commanders may request during initial scheduling 
or subsequent training event coordination that no permit holders be 
allowed in areas they have scheduled for training. If this restriction 
is granted, the Installation Range Control will close appropriate areas. 
The following military activities are considered incompatible with non-
training access and automatically close affected areas:
    (1) Live-fire training events with danger zones extending into 
training areas.
    (2) Parachute and air assault operations.
    (3) Field Artillery firing. The numbered training area occupied by 
the weapons will be closed.
    (4) Training involving riot agents or smoke generating equipment.
    (b) The Installation Range Officer may also close training areas 
based on density of occupation by military units, unit size, or training 
to be conducted.
    (c) Areas allocated to modern firearm deer hunting are closed to 
both training and other recreational activities. At Fort Lewis, when 
pheasant release sites can be isolated by swamps, streams, or roads from 
the rest of a training area, multiple use of the affected training area 
(TA) is authorized.



Sec. 552.172  Violations.

    Anyone observing violators of this or other regulations must report 
the activity, time, and location to the appropriate Area Access Office 
or the Military Police (MP) as soon as possible.

   Appendix A to Subpart M--DPCA Recreational Areas in Training Areas

    1. This listing applies to Fort Lewis only. There are no such 
facilities at Yakima Training Center or Camp Bonneville.
    2. For DoD member use only, no permit other than ID card required.

    Note: Use of specific sites is authorized only to military, retired 
military, DoD civilian personnel, their family members and accompanied 
guests.


Boat launch adjacent to Officer's Club Beach on American Lake--Beachwood 
          area
Cat Lake Picnic and Fishing Area--Training Area 19
Chambers Lake Picnic and Fishing Area--Training Area 12 (See Para 3 
          below)
Fiander lake Picnic and Fishing Area--Training Area 20
Johnson Marsh--Training Area 10

[[Page 337]]

Lewis Lake Picnic and Fishing Area--Training Area 16
No Name Lake--Training Area 22
Sequalitchew Lake Picnic Area--Training Area 2
Shannon Marsh--CTA D
Skeet Trap Range--2d Division Range Road, CTA E
Solo Point Boat Launch--North Fort, CTA A West
Sportman's Range--East Gate Road, Range 15
Wright Marsh/Lake--CTA C
Vietnam Village Marsh--Training Area 9 and 10
Spanaway Marsh--Training Area 9
Sears Pond--Beachwood Housing
Nisqually River--Training Area 18
    3. For non-DoD member use, permit required: Chambers Lake and 
Nisqually River for fishing only.
    4. The Solo Point road and the South Sanitary Fill roads are also 
open in an east-west direction only to personnel of the Weyerhaeuser 
Corporation and Lone Star Corporation, and their assigns, for business 
or recreation access to adjacent Army owned real estate.

            Appendix B to Supbart M--Non-Permit Access Routes

    1. This listing applies only to Fort Lewis. There are no such routes 
on Yakima Training Center or Camp Bonneville.
    2. The following public easement routes may be used without permit 
or check-in: I-5.

Steilacoom-DuPont Road (ET 286163 or ET 301229).
Pacific Highway Southeast (ET 231121 to ET 249143).
Washington State Route 507 (ET 363065 to ET 428146).
Goodacre and Rice Kandle Roads (ET 386090 to ET 449076).
8th Avenue South (ET 424047 to ET 423127).
8th Avenue East (ET 439077 or ET 439128).
208th Avenue (ET 423128 to ET 431128).
Washington State Route 510 (ET 234065 to ET 246056 and ET 260048 to ET 
          272022).
Yelm Highway (ET 231058 to ET 238061).
Rainier Road Southeast (ES 167999 to ES 212943).
Military Road Southeast (ES 212943 to ES 214945).
Spurgeon Creek Road (ES 177988 to ES 178999).
Stedman Road (ES 152989 to ES 167998).
    3. The following military routes may be used without permit ot 
check-in:

Huggins Meyer Road (North Fort Road, ET 304204-ET 327215)
East Gate Road (C-5 Mock-up to 8th Ave South, ET 423097)
Roy Cut-off (Chambers Lake) Road (East Gate Road to Roy City Limits), 
          when open.
Lincoln Avenue (Old Madigan to ET 390179)
    4. The Solo Point Road is open to Weyerhauser Corporation personnel 
for business and recreation.
    5. DoD personnel and Fort Lewis contractor personnel on official 
business may use all DEH-maintained range roads and trails in the 
training areas.
    6. Range roads closed for training by barricades or road guards will 
not be used. Barricades and guards will not be by-passed.

  Appendix C to Subpart M--Authorized Activities for Maneuver Training 
                               Area Access

    1. Fort Lewis:

Military Training (FL Reg 350-30)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74, FL Reg 350-30)
    Non-DoD personnel in transit on public-access routes (appendix B) 
non-commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training (not allowed 1 April through 31 July in selected areas per 
          FL Reg 215-1)
Horseback riding on roads and vehicle tracks
Walking, distance running
Model airplane and rocket flying (Range Control scheduling and Notice to 
          Airmen (NOTAM) required)
Model boating
Orienteering
Sport parachuting
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities and weekend camporees
Observation of wildlife and vegetation
Non-commercial picking of ferns, mushrooms, blackberries, apples and 
          other vegetation
Photography
Hiking
    2. Yakima Training Center:

Military Training (FL Reg 350-31)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74)
    Non-Commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training
Horseback riding on roads and vehicle tracks
Walking, distance running
Model airplane and rocket flying (Range Control scheduling and Notice to 
          Airmen (NOTAM required)
Orienteering
Sport parachuting
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities

[[Page 338]]

Observation of wildlife and vegetation
Photography
Hiking
Camping, per Paragraph 6
    3. Camp Bonneville:

Military Training (FL Reg 350-32)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74)
    Non-Commercial recreational use:

Hunting, fishing and trapping (FL Reg 215-1)
Dog training
Horseback riding on roads and vehicle tracks
Walking, distance running
Model boating
Orienteering
Organized rifle and pistol competition (Range Control scheduling 
          required)
Scout activities and weekend camporees
Observation of wildlife and vegetation
Non-commercial picking of ferns, mushrooms, blackberries, apples and 
          other vegetation
Photography
Hiking

    Note: Permit holders for the above activities must certify that they 
are non-commercial and not for profit.

 Appendix D to Subpart M--Unauthorized Activities in Maneuver Training 
                                  Areas

    1. Fort Lewis:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Corps of Engineer permit.
Commercial activities conducted for profit, including horseback riding 
          rentals or guide service, dog training for reimbursement, or 
          fund-raising events for other than non-profit organizations 
          working in the public good. Fund raisers require DEH Real 
          Estate Agreement. For-profit activities require Corps of 
          Engineer leases or permits, obtained through the DEH Real 
          Estate Office.
Overnight camping outside of DPCA sites (camping on DPCA sites is open 
          to DoD members only, per above).
Consumption of alcoholic beverages.
    2. Yakima Training Center:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts.
Vehicle speed contests.
Commercial activities conducted for profit, including dog training for 
          reimbursement, or fund-raising events for other than non-
          profit organizations working in the public good. Fund raisers 
          require DEH Real Estate Agreement. For-profit activities 
          require Corps of Engineer leases or permits, obtained through 
          the DEH Real Estate Office.
Overnight camping except where specifically permitted as part of the 
          activity by the Commander, Yakima Training Center.
Consumption of alcoholic beverages.
    3. Camp Bonneville:

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding.
Off-road vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue or fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Corps of Engineer permit.
Commercial activities conducted for profit, including horseback riding 
          rentals or guide service, dog training for reimbursement, or 
          fund-raising events for other than non-profit organizations 
          working in the public good. Fund raisers require DEH Real 
          Estate Agreement. For-profit activities require Corps of 
          Engineer leases or permits, obtained through the DEH Real 
          Estate Office.
Overnight camping.
Consumption of alcoholic beverages.
Model airplane and rocket flying.
Sport parachuting.

                   Appendix E to Subpart M--References

    Army Regulations referenced in this subpart may be obtained from 
National Technical Information Services, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.
    Fort Lewis Regulations and forms referenced in this subpart may be 
viewed at the Office of the Staff Judge Advocate General,

[[Page 339]]

Fort Lewis, Washington or at the Range Office, Headquarters, I Corps and 
Fort Lewis.

AR 210-1 (Private Organizations on Department of the Army 
          Installations), with Fort Lewis Supplement 1
AR 405-70 (Utilization of Real Estate)
AR 405-80 (Granting Use of Real Estate)
AR 420-74 (Natural Resources--Land, Forest, and Wildlife Management)
FL Reg 190-11 (Physical Security of Arms, Ammunition, and Explosives)
FL Reg 210-1 (Fort Lewis Post Regulations)
FL Reg 215-1 (Hunting, Fishing, and Trapping)
FL Reg 250-30 (I Corps and Fort Lewis Range Regulations)
FL Reg 350-31 (Yakima Training Center Range Regulations)
FL Reg 350-32 (Camp Bonneville Range Regulations)
FL Policy Statement 350-2 (Training Resource Scheduling)
HFL Form 473 (Training Resource Request)
HFL Form 652 (Range Control Vehicle Permit)
HFL Form 653 (Range Control Area Access Card)

                 Appendix F to Subpart M--Abbreviations

AAO  Area Access Officer
AR  Army Regulation
CBRC  Camp Bonneville Range Control
DEH  Director of Engineering and Housing
DPCA  Director of Personnel and Community Activities
DPTM  Director of Plans, Training and Mobilization
FL  Fort Lewis
ITAM  Installation Training Area Management
LEC  Law Enforcement Command
LOI  Letter of Intent
MP  Military Police
PAO  Public Affairs Office
TA  Training Area
SJA  Staff Judge Advocate
UCMJ  Uniform Code of Military Justice
YTC  Yakima Training Center



     Subpart N--Operation and Use of Fort Monroe, Virginia, Fishing 
                               Facilities

    Authority: 10 U.S.C. Chapter 27; 16 U.S.C. 470, 1531-1543; 18 U.S.C. 
1382; 50 U.S.C. 797.

    Source: 59 FR 45212, Sept. 1, 1994, unless otherwise noted.



Sec. 552.180  Purpose.

    This subpart prescribes policies and procedures for the operation 
and use of fishing facilities located at Fort Monroe, Virginia.



Sec. 552.181  Applicability.

    This subpart applies to all personnel to include military and 
civilian personnel assigned to Fort Monroe, residents and visitors to 
the State of Virginia who utilize the fishing facilities located at Fort 
Monroe.



Sec. 552.182  References.

    Publications referenced in this section may be reviewed in the 
Office, Directorate of Community and Family Activities, Fort Monroe, 
Virginia.
    (a) AR 215-1, Administration of Army Morale, Welfare, and Recreation 
activities and Non appropriated Fund Instrumentalities, February 20, 
1984.
    (b) Fort Monroe Vehicle Code.
    (c) Codes of Virginia S 28.1-48(c), S 28.1-174, 28.1-187, and S 
28.2-302.1-9.
    (d) Virginia Marine Resources Commission (VMRC) regulations.
    (e) Department of Defense (DD) Form 1805, United States District 
Court Violation Notice.
    (f) Fort Monroe Fishing Map (appendix A to this subpart).



Sec. 552.183  Responsibilities.

    (a) Director of Community and Family Activities (DCFA) is 
responsible for the overall operation of the installation fishing 
program.
    (b) Directorate of Installation Support is responsible for--
    (1) Trash and debris disposal.
    (2) Real property facility maintenance and repair.
    (3) Periodic hosing of all piers, as required.
    (c) The Directorate of the Provost Marshal (DPM) will--
    (1) Enforce this subpart and all other policies imposed by the Fort 
Monroe Installation Commander and state and federal fishing regulations.
    (2) Open and close fishing areas in accordance with this subpart. 
Seasonal safety factors and ongoing ceremonies will, at times, delay 
opening of fishing areas.
    (3) Issue DD Form 1805 for violations, as appropriate.



Sec. 552.184  Policy.

    (a) Fort Monroe fishing facilities are available for use by 
authorized personnel on a daily basis.

[[Page 340]]

    (b) Direct requests for information and/or assistance to the Outdoor 
Recreation Office at commercial (804) 727-4305 or (804) 727-2384.
    (c) Personal equipment restrictions on all piers located on Fort 
Monroe are as follows:
    (1) Two fishing rods per person, 18 years of age and older; one 
fishing rod per person, under 18 years of age.
    (2) Dip nets with handles exceeding 4 feet in length are prohibited 
on all piers at Fort Monroe.
    (3) Personnel using cast nets to catch food fish must have a current 
state cast net license in their possession.
    (4) Personnel are authorized to take or catch crabs with one crab 
trap or crab pot per person from Fort Monroe piers.
    (d) Saltwater fishing licenses. Persons ages 16 through 64, fishing 
with a rod and reel, or any other fishing device, in Virginia's portion 
of the Chesapeake Bay or in saltwater or tidal tributaries require a 
saltwater fishing license. Refer to the 1994 Virginia Freshwater and 
Saltwater Fishing Regulations booklet for exemptions and fee 
information. This booklet is available at the Outdoor Recreation Office, 
Building 165, Fort Monroe.
    (e) In accordance with Codes of Virginia S 28.1-174 and S 28.1-165, 
persons without a license to take crabs will be permitted to take or 
catch 1 bushel of hard-shell crabs and 2 dozen peeler crabs per day, per 
household. A first violation of any regulation under the Code of 
Virginia in regards to fishing, crabbing, etc., is a Class 3 
misdemeanor; second or subsequent violations of these provisions is a 
Class 1 misdemeanor in accordance with S 28.2-903, Code of Virginia.
    (f) All patrons are responsible for the conduct of their family 
members and guests. They are also responsible for the proper disposal of 
all personal refuse into the proper receptacles. Refuse such as seaweed, 
leftover bait, unwanted fish, crabs, etc., will NOT be left on piers or 
placed in trash receptacles. All refuse of this type will be thrown 
overboard. However, it is illegal and a violation of existing law to 
throw fishing line, paper, plastic materials, and other debris into the 
water. Doing so may lead to a fine or imprisonment, or both. All man-
made materials will be deposited in proper trash receptacles or 
recycled.
    (g) Cleaning of fish is not allowed on Fort Monroe piers and 
seawalls.
    (h) Littering (to include leaving seaweed, bait, or fish on piers) 
is prohibited. Failure to comply with established policies may result in 
the loss of installation fishing privileges.
    (i) Children under 12 years of age must be accompanied by a 
responsible adult at all Fort Monroe fishing piers.
    (j) The moat is off limits to fishing.
    (k) The Fort Monroe fishing map at appendix A to this subpart, 
visually outlines all areas authorized for each category of user. Copies 
of this map are available at the Outdoor Recreation Office, Building 
165.
    (l) In accordance with the Directorate of Provost Marshal, police 
officers from the Virginia Marine Resources Commission (VMRC) will 
enforce VMRC fishing regulations at Fort Monroe fishing areas.



Sec. 552.185  Eligibility.

    The following personnel are authorized to fish on Fort Monroe:
    (a) Active duty and retired military personnel, their family 
members, and Department of Defense civilian employees, as specified on 
the fishing map at appendix A to this subpart.
    (b) All other personnel, as specified on the fishing map at appendix 
A to this subpart.



                          Subpart O [Reserved]



Subpart P--Protests, Picketing, and Other Similar Demonstrations on the 
            Installation of Aberdeen Proving Ground, Maryland

    Authority: 18 U.S.C. Sec. 1382.

    Source: 62 FR 33998, June 24, 1997, unless otherwise noted.



Sec. 552.211  Purpose.

    This subpart establishes policies, responsibilities, and procedures 
for protests, pickeing, and other similar demonstrations on the Aberdeen 
Proving Ground installation.

[[Page 341]]



Sec. 552.212  Scope.

    (a) The provisions of this subpart apply to all elements of U.S. 
Army Garrison, Aberdeen Proving Ground (USAGAPG), and the supported 
organizations and activities on the Aberdeen and Edgewood Areas of 
Aberdeen Proving Ground.
    (b) The provisions of this subpart cover all public displays of 
opinions made by protesting, picketing, or any other similar 
demonstration.
    (c) The provisions of this subpart are applicable to all people, 
military and civilian employees, and all visitors, family members, or 
others, entering, upon or present at Aberdeen Proving Ground.



Sec. 552.213  Policy.

    (a) Aberdeen Proving Ground is a non-public forum and is open for 
expensive activity only under certain circumstances. Aberdeen Proving 
Ground is a military installation under the exclusive federal 
jurisdiction at which official business of the federal government is 
conducted, including military training, testing of weapon systems and 
other military equipment, and other official business.
    (b) On Aberdeen Proving Ground, except for activities authorized 
under 5 United States Code Chapter 71, Labor Management Relations, it is 
unlawful for any person to engage in any public displays of opinions 
made by protesting, picketing or any other similar demonstration without 
the approval of the Commander, U.S. Army Garrison, Aberdeen Proving 
Ground. Therefore, unless prior approval has been obtained as outlined 
below in 32 CFR 552.214, it will be unlawful for any person on Aberdeen 
Proving Ground to:
    (1) Engage in protests, public speeches, marches, sit-ins, or 
demonstrations promoting a point of view.
    (2) Interrupt or disturb the testing and evaluating of weapon 
systems, or any training, formation, ceremony, class, court-martial, 
hearing, or other military business.
    (3) Obstruct movement on any street, road, sidewalk, pathway, or 
other vehicle or pedestrian thoroughfare.
    (4) Utter to any person abusive, insulting, profane, indecent, or 
otherwise provocative language that by its very utterance tends to 
excite a breach of the peace.
    (5) Distribute or post publications, including pamphlets, 
newspapers, magazines, handbills, flyers, leaflets, and other printed 
materials, except through regularly established and approved 
distribution outlets and places.
    (6) Circulate petitions or engage in picketing or similar 
demonstrations for any purpose.
    (7) Engage in partisan political campaigning or electioneering.
    (8) Disobey a request from Department of Defense police, other 
government law enforcement officials (e.g., Federal, State, or local law 
enforcement officials), military police, or other competent authority to 
disperse, move along or leave the installation.
    (c) In appropriate cases, the Commander, U.S. Army Garrison, 
Aberdeen Proving Ground may give express written permission for 
protests, picketing, or any other similar demonstrations on Aberdeen 
Proving Ground property outside the gates adjacent to the installation 
borders, only if the procedures outlined below in 32 CFR 552.214 are 
followed.



Sec. 552.214  Procedures.

    (a) Any person or persons desiring to protest, picket, or engage in 
any other similar demonstrations on Aberdeen Proving Ground must submit 
a written request to the Commander, U.S. Army Garrison, Aberdeen Proving 
Ground, ATTN: STEAP-CO, 2201 Aberdeen Boulevard, Aberdeen Proving 
Ground, Maryland 21005-5001. The request must be received at least 30 
calendar days prior to the demonstration, and it must include the 
following:
    (1) Name, address, and telephone number of the sponsoring person or 
organization. (If it is an organization, include the name of the point 
of contact.)
    (2) Purpose of the event.
    (3) Number of personnel expected to attend.
    (4) Proposed date, time, location and duration of the event.
    (5) Proposed means of transportation to and from APG.
    (6) Proposed means of providing security, sanitary services and 
related ancillary services to the participants.

[[Page 342]]

    (b) Based on the Commander's concerns for discipline, mission 
accomplishment, protection of property, and the safeguarding of the 
health, morale, and welfare of the APG community, the Commander will 
determine whether to grant the request and, if granted, any limitations 
as to where and when it will take place.



Sec. 552.215  Responsibilities.

    (a) Director, Law Enforcement and Security, U.S. Army Garrison, 
Aberdeen Proving Ground, will furnish police support as needed.
    (b) Chief Counsel and Staff Judge Advocate, U.S. Army Test and 
Evaluation Command, will provide a legal review of the request.



Sec. 552.216  Violations.

    (a) A person is in violation of the terms of this subpart if:
    (1) That person enters or remains upon Aberdeen Proving Ground when 
that person is not licensed, invited, or otherwise authorized by the 
Commander, U.S. Army Garrison, Aberdeen Proving Ground pursuant to the 
terms of Sec. 552.214; or
    (2) That person enters upon or remains upon Aberdeen Proving Ground 
for the purpose of engaging in any activity prohibited or limited by 
this subpart.
    (b) All persons (military personnel, Department of the Army civilian 
employees, civilians, and others) may be prosecuted for violating the 
provisions of this subpart. Military personnel may be prosecuted under 
the Uniform Code of Military Justice. Department of the Army civilian 
employees may be prosecuted under 18 U.S.C. 1382, and/or disciplined 
under appropriate regulations. Civilians and others may be prosecuted 
under 18 U.S.C. 1382.
    (c) Administrative sanctions may include, but are not limited to, 
bar actions including suspension of access privileges, or permanent 
exclusion from Aberdeen Proving Ground.

    Appendix A to Part 552--DPCA Recreational Areas in Training Areas

    1. DOD use only, permit not required:


    Note.-- Use is authorized only to military, retired military, DOD 
civilian personnel, their family members and accompanied guests.


Boat launch adjacent to Officer's Club Beach on American Lake/Beachwood 
          area
Cat Lake Picnic and Fishing Area--Training Area 19
Chambers Lake Picnic and *Fishing Area--Training Area 12 (See para 2 
          below)
Ecology Park Hiking Path--North Fort, CTA A West
Fiander Lake Picnic and Fishing Area--Training Area 20
Johnson Marsh--Training Area 10
Lewis Lake Picnic and Fishing Area--Training Area 16
Miller Hill Trail Bike Area (DOD only)--Main Post
No Name Lake--Training Area 22
Sequalitchew Lake Picnic Area--Training Area 2
Shannon Marsh--CTA D
Skeet Trap Range--2d Division Range Road, CTA E
Solo Point Boat Launch--North Fort, CTA A West
Sportman's Range--East Gate Road, Range 15
Wright Marsh/Lake--CTA C
Vietnam Village Marsh--Training Area 9 and 10
    2. Non-DOD use, permit required: Chambers Lake, fishing only.

            Appendix B to Part 552--Non-Permit Access Routes

    1. The following public easement routes may be used without permit 
or check-in:
I-5
Steilacoom-DuPont Road (EH 286156 to EH 302227).
Pacific Highway Southeast (EH 232119 to EH 250141).
Washington State Route 507 (EH 363061 to EH 429144).
Goodacre (unpaved) and Rice Kandle (paved) Roads (EH 386088 to EH 
          450074).
8th Avenue South (EH 424045 to EH 424126).
8th Avenue East (EH 440074 to EH 440126).
208th Avenue (EH 424126 to EH 432126).
Washington State Route 510 (EH 235063 to EH 247054 and EH 261046 to EH 
          273020).
Yelm Highway (EH 233056 to EH 239058).
Rainer Road Southeast (EG 167997 to EG 213941).
Military Road Southeast (EG 213941 to EG 215944).
Spurgeon Creek Road (EG 178986 to EG 179997).
Stedman Road (EG 153987 to EG 167995).
    2. The following military routes may be used without permit or 
check-in:
Huggins Meyer Road (North Fort Road, EH 305202-EH 328213)

[[Page 343]]

East Gate Road (C-5 Mock-up to 8th Ave South--EH 328213)
260th (EH 440074 to EH 457074)
Roy cut-off (Chambers Lake) Road (East Gate Road to Roy City Limits)
Lincoln Avenue (Madigan to EH 391179)
    3. The Solo Point Road is open to Weyerhauser Corporation personnel 
for business and recreation.
    4. DOD personnel and Fort Lewis contractor personnel on official 
business may use all DEH-maintained paved roads and two lane gravel 
roads in the training areas. The use of one lane gravel lanes, or any 
established road not identified above, must be coordinated with the Area 
Access Office prior to use except as specified in Sec. 552.87(b)(2)
    5. All range roads closed because of training activities will not be 
used until opened by the Range Officer. Such road closures will normally 
involve barricades and road guards. Barricades and road guards placed by 
direction of Range Control may not be by-passed.

 Appendix C to Part 552--Authorized Activities for Fort Lewis Maneuver 
                               Area Access

Military Training (FL Reg 350-30)
DEH or Corps of Engineers Real Estate Agreement for commercial use (AR 
          405-80)
Installation service and maintenance (AR 420-74, FL Reg 350-30)
Non-DOD personnel in transit on public-access route only (appendix B)
Non-Commercial recreational use:
    Hunting, fishing and trapping (FL Reg 215-1)
    Dog training (not allowed 1 April through 31 July in selected areas)
    Horseback riding on roads and vehicle tracks
    Walking, distance running
    Model airplane and rocket flying
    Model boating
    Orienteering
    Sport parachuting
    Organized rifle and pistol competition
    Service group camping and activities (Boy Scouts, etc.)
    Observation of wildlife and vegetation
    Non-Commercial picking of ferns, mushrooms, blackberries, apples and 
other miscellaneous vegetation
    Photography
    Hiking
    Historical Trails

 Appendix D to Part 552--Unauthorized Activities in Fort Lewis Maneuver 
                                  Areas

Civilian paramilitary activities and combat games.
Off-pavement motorcycle riding, except as noted in appendix A Off-road 
          vehicle operation.
Hang gliding.
Ultralight aircraft flying.
Hot air ballooning.
Souvenir hunting and metal-detecting, including recovery of ammunition 
          residue of fragments, archaeological or cultural artifacts, or 
          geological specimens.
Vehicle speed contests.
Wood cutting or brush picking, without DEH or Crops of Engineer permit.
Commercial activities conducted for profit that require a Real Estate 
          Agreement or commercial permit per AR 405-80, including 
          horseback riding rentals or guide service, and dog training 
          for reimbursement.



PART 553--ARMY NATIONAL CEMETERIES--Table of Contents




Sec.
553.1  Purpose.
553.2  Statutory authority.
553.3  Scope and applicability.
553.4  Responsibilities.
553.5  Federal jurisdiction.
553.6  Donations.
553.7  Design and layout of Army national cemeteries.
553.8  Arlington Memorial Amphitheater.
553.9  Power of arrest.
553.10  Solicitations.
553.11  Procurement.
553.12  Encroachments and revocable licenses.
553.13  Standards of construction, maintenance, and operations.
553.14  Authority for interments.
553.15  Persons eligible for burial in Arlington National Cemetery.
553.15a  Persons eligible for inurnment of cremated remains in 
          Columbarium in Arlington National Cemetery.
553.16  Persons eligible for burial in Soldiers' Home National Cemetery.
553.17  Persons ineligible for burial in an Army national cemetery.
553.18  Assignment of gravesites.
553.19  Disinterments.
553.20  Headstones and markers.
553.21  Monuments and inscriptions at private expense.
553.22  Visitors rules for the Arlington National Cemetery.


Appendix A to Part 553--Specifications For Tributes In Arlington 
          National Cemetery

    Authority: 24 U.S.C. Ch. 7.

    Source: 42 FR 25725, May 19, 1977, unless otherwise noted.

[[Page 344]]



Sec. 553.1  Purpose.

    The following specifies the authority and assigns the 
responsibilities for the development, operation, maintenance, and 
administration of the Arlington and Soldiers' Home National Cemeteries, 
a civil works activity of the Department of the Army.



Sec. 553.2  Statutory authority.

    Basic statutory authority pertaining to the Army national cemeteries 
is in chapter 7, title 24, United States Code, entitled ``National 
Cemeteries.'' Many of the provisions of this chapter were repealed by 
section 7(a) of the National Cemeteries Act of 1973 (Pub. L. 93-43, 18 
June 1973, 38 U.S.C. 1000 et seq.); but section 7(b) provides that 
nothing in this section shall be deemed to affect in any manner the 
functions, powers, and duties of the Secretary of the Army with respect 
to Arlington and Soldiers' Home National Cemeteries.



Sec. 553.3  Scope and applicability.

    (a) Scope. The development, operation, maintenance, and 
administration of Arlington National Cemetery and the Soldiers' Home 
National Cemetery are governed by this part and TM 10-287. AR 210-190 
assigns responsibilities for the operation, maintenance, and 
administration of Army post cemeteries.
    (b) Applicability. The provisions of AR 290-5 are applicable to 
active and retired members of the Armed Forces, certain disabled 
veterans, and veterans who were awarded certain military decorations.



Sec. 553.4  Responsibilities.

    The Army national cemeteries, consisting of the Arlington National 
Cemetery, Arlington, Virginia, and Soldiers' Home National Cemetery, 
Washington, DC, are under the jurisdiction of the Department of the 
Army. The Assistant Secretary of the Army for Civil Works is directly 
responsible to the Secretary of the Army for policy formulation in the 
administration of these cemeteries. The Adjutant General is responsible 
for their day-to-day administration, operation, and maintenance. 
Specific responsibilities for Arlington and Soldiers' Home National 
Cemeteries are delegated to the Commander, Military District of 
Washington in accordance with a Memorandum of Understanding.



Sec. 553.5  Federal jurisdiction.

    Where the State legislature has given the consent of that State to 
purchase the land which now comprises an Army national cemetery, the 
jurisdiction and power of legislation of the United States over Army 
national cemeteries will, in all courts and places, be held to be the 
same as is granted by Section 8, Article 1, Constitution of the United 
States.



Sec. 553.6  Donations.

    (a) Policy. Under Department of the Army policy, proffered donations 
or gifts for beautifying Army national cemeteries may be accepted from 
legitimate societies and organizations or from reputable individuals, 
subject to the following provisions:
    (1) The society, organization, or individual does not associate the 
name of the Department of the Army in any way with soliciting for the 
donation or gift.
    (2) Delivery is made to the cemetery or to another point designated 
by the Department of the Army without expense to the Government.
    (3) Installing, constructing, placing, or planting is in keeping 
with the planned development of the cemetery and the donor agrees to the 
use of the gift at any designated place within the cemetery.
    (4) The donor is not permitted to affix any commemorative tablet or 
plaque to the items donated or to place one in the cemetery or elsewhere 
on Department of the Army property.
    (b) Processing. All proffers of donations to Army national 
cemeteries will be referred to The Adjutant General with the 
recommendation of the cemetery superintendent as to the action to be 
taken.
    (c) Conditional gifts. The Secretary of the Army is authorized, at 
his discretion, to accept, receive, hold, administer, and expend any 
gift, devise, or bequest of real or personal property on condition that 
the item be used for the benefit of, or in connection with, the

[[Page 345]]

operation maintenance, or administration of the two national cemeteries 
under the jurisdiction of the Department of the Army. The Adjutant 
General will take appropriate action on conditional gifts as prescribed 
in AR 1-100.
    (d) Unconditional gifts. All proffers or donations of gifts which 
are unconditional will be accompanied by a report stating all material 
facts in connection with the source, nature, and purpose of the gift.



Sec. 553.7  Design and layout of Army national cemeteries.

    (a) General cemetery layout plans, landscape planting plans and 
gravesite layout plans for Army national cemeteries will be maintained 
by The Adjutant General.
    (b) New burial sections will be opened and prepared for burials only 
with the approval of The Adjutant General and after types and sizes of 
monuments on permanent sites have been established.



Sec. 553.8  Arlington Memorial Amphitheater.

    (a) The Act of 2 September 1960 (74 Stat; 24 U.S.C. 295a) provides 
that the Secretary of Defense or his designee may send to Congress or 
his designee may send to Congress in January of each year 
recommendations on the memorials to be erected and the remains of 
deceased members of the Armed Forces to be entombed in the Arlington 
Memorial Amphitheater in Arlington National Cemetery. The Act further 
provides that--
    (1) No memorial may be erected and no remains may be entombed in the 
Arlington Memorial Amphitheater unless specifically authorized by 
Congress;
    (2) The character, design, or location of any memorial authorized by 
Congress is subject to the approval of the Secretary of Defense or of 
his designee.
    (b) Under the provisions of the Act of 2 September 1960, the 
Secretary of the Army has been designated to act in behalf of the 
Secretary of Defense.
    (c) The Department of the Army will seek the advice of the 
Commission of Fine Arts concerning any requests relative to inscriptions 
or memorials within the Arlington Memorial Amphitheater.



Sec. 553.9  Power of arrest.

    The superintendents of Army national cemeteries are authorized to 
arrest any person who willfully destroys, cuts, breaks, injures, or 
removes any tree, shrub, or plant within the limits of the cemetery and 
to bring that person before any United States magistrate or judge of any 
district court of the United States within any State or district where 
the cemeteries are situated, to hold that person to answer for the 
misdemeanor, and then and there to make a complaint in due form.



Sec. 553.10  Solicitations.

    Solicitations to the public of any type of business including the 
sale of souvenirs and refreshments within the cemetery are prohibited. 
Violators who do not leave when so ordered or who unlawfully reenter the 
cemetery after being evicted will be subject to prosecution.



Sec. 553.11  Procurement.

    Cemetery supplies and services will be procured in accordance with 
the provisions of the Armed Services Procurement Regulation (ASPR) and 
the Army Procurement Procedure (APP).



Sec. 553.12  Encroachments and revocable licenses.

    (a) Encroachments. No railroads will be permitted upon the right-of-
way acquired by the United States leading to Arlington or Soldiers' Home 
National Cemetery or to encroach upon any roads or walks thereon and 
maintained by the United States.
    (b) Revocable licenses. The construction or erection of poles and 
lines (including underground lines) for transmitting and distributing 
electric power or for telephone and telegraph purposes, as well as water 
and sewer pipes, will not be permitted without the authority of the 
Department of the Army. Requests for revocable licenses to construct 
water, gas, or sewer lines or other appurtenances on or across the 
cemetery or an approach road in which the Government has a right-of-way 
or fee simple title or other interest will be submitted for final action 
to the cemetery superintendent with a complete description of the 
privilege desired and a map showing the location

[[Page 346]]

of the project on the roadway in question. The superintendent will 
forward the application and inclosures with his comments and 
recommendation to Headquarters, Department of the Army.



Sec. 553.13  Standards of construction, maintenance, and operations.

    The following standards of the Department of the Army will be 
observed in the development, operation, maintenance, administration, and 
support of Army national cemetries and will be considered in relation to 
budgetary reviews within the Department of the Army:
    (a) As permanent national shrines provided by a grateful nation to 
the honored dead of the Armed Forces of the United States, the standards 
for construction, maintenance, and operation of Army national cemeteries 
will be commensurate with the high purpose to which they are dedicated.
    (b) Structures and facilities provided for Army cemetaries will be 
permanent in nature and of a scope, dignity, and aesthetic design 
suitable to the purpose for which they are intended.
    (c) Cemeteries will be beautified by landscaping and by means of 
special features based on the historical aspects, location, or other 
factors of major significance.
    (d) Accomodations and services provided to the next of kin of the 
honored dead and to the general public will be of high order.



Sec. 553.14  Authority for interments.

    The Act of 14 May 1948 (62 Stat. 234), as amended by the Act of 14 
September 1959 (73 Stat. 547; 24 U.S.C. 281), and other laws 
specifically cited in this part authorize burial in Arlington and 
Soldiers' Home National Cemeteries under such regulations as the 
Secretary of the Army may, with the approval of the Secretary of 
Defense, prescribe.



Sec. 553.15  Persons eligible for burial in Arlington National Cemetery.

    (a) Any active duty member of the Armed Forces (except those members 
serving on active duty for training only).
    (b) Any retired member of the Armed Forces. A retired member of the 
Armed Forces, in the context of this paragraph, is a retired member of 
the Army, Navy, Air Force, Marine Corps, Coast Guard, or a Reserve 
component who has served on active duty (other than for training), is 
carried on an official retired list, and is entitled to receive retired 
pay stemming from service in the Armed Forces. If, at the time of death, 
a retired member of the Armed Forces is not entitled to receive retired 
pay stemming from his service in the Armed Forces until some future 
date, the retired member will not be eligible for burial.
    (c) Any former member of the Armed Forces separated for physical 
disability prior to 1 October 1949 who has served on active duty (other 
than for training) and who would have been eligible for retirement under 
the provisions of 10 U.S.C. 1201 had that statute been in effect on the 
date of his separation.
    (d) Any former member of the Armed Forces whose last active duty 
(other than for training) military service terminated honorably and who 
has been awarded one of the following decorations:
    (1) Medal of Honor.
    (2) Distinguished Service Cross (Air Force Cross or Navy Cross).
    (3) Distinguished Service Medal.
    (4) Silver Star.
    (5) Purple Heart.
    (e) Persons who have held any of the following positions, provided 
their last period of active duty (other than for training) as a member 
of the Armed Forces terminated honorably:
    (1) An elective office of the United States Government.
    (2) Office of the Chief Justice of the United States or of an 
Associate Justice of the Supreme Court of the United States.
    (3) An office listed in 5 U.S.C. 5312 or 5 U.S.C. 5313.
    (4) The Chief of a mission who was at any time during his tenure 
classified in class I under the provisions of 411 of the Act of 13 
August 1946, 60 Stat. 1002, as amended (22 U.S.C. 866, 1964 ed.).
    (f) Any former prisoner of war who, while a prisoner of war, served 
honorably in the active military, naval, or air service, whose last 
period of active

[[Page 347]]

military, naval, or air service terminated honorably and who died on or 
after November 30, 1993.
    (1) The term ``former prisoner of war'' means a person who, while 
serving in the active military, naval, or air service, was forcibly 
detained or interned in line of duty--
    (i) By an enemy government or its agents, or a hostile force, during 
a period of war; or
    (ii) By a foreign government or its agents, or a hostile force, 
under circumstances which the Secretary of Veterans Affairs finds to 
have been comparable to the circumstances under which persons have 
generally been forcibly detained or interned by enemy governments during 
periods of war.
    (2) The term ``active military, naval, or air service'' includes 
active duty, any period of active duty for training during which the 
individual concerned was disabled or died from a disease or injury 
incurred or aggravated in line of duty, and any period of inactive duty 
training during which the individual concerned was disabled or died from 
an injury incurred or aggravated in line of duty.
    (g) The spouse, widow or widower, minor child and, at the discretion 
of the Secretary of the Army, unmarried adult child of any of the 
persons listed above.
    (1) The term ``spouse'' refers to a widow or widower of an eligible 
member, including the widow or widower of a member of the Armed Forces 
who was lost or buried at sea or officially determined to be permanently 
absent in a status of missing or missing in action. A surviving spouse 
who has remarried and whose remarriage is void, terminated by death, or 
dissolved by annulment or divorce by a court with basic authority to 
render such decrees regains eligibility for burial in Arlington National 
Cemetery unless it is determined that the decree of annulment or divorce 
was secured through fraud or collusion.
    (2) An unmarried adult child may be interred in the same grave in 
which the parent has been or will be interred, provided that child was 
incapable of self-support up to the time of death because of physical or 
mental condition. At the time of death of an adult child, a request for 
interment will be submitted to the Superintendent of Arlington National 
Cemetery. The request must be accompanied by a notarized statement from 
an individual who has direct knowledge as to the marital status, degree 
of dependency of the deceased child, the name of that child's parent, 
and the military service upon which the burial is being requested. A 
certificate of a physician who has attended the decedent as to the 
nature and duration of the physical and/or mental disability must also 
accompany the request for interment.
    (h) Widows or widowers of service members who are interred in 
Arlington National Cemetery as part of a group burial may be interred in 
the same cemetery but not in the same grave.
    (i) The surviving spouse, minor child, and, at the discretion of the 
Secretary of the Army, unmarried adult child of any person already 
buried in Arlington.
    (j) The parents of a minor child or unmarried adult child whose 
remains, based on the eligibility of a parent, are already buried in 
Arlington National Cemetery.
[42 FR 25725, May 19, 1977, as amended at 59 FR 60559, Nov. 25, 1994]



Sec. 553.15a  Persons eligible for inurnment of cremated remains in Columbarium in Arlington National Cemetery.

    (a) Any member of the Armed Forces who dies on active duty.
    (b) Any former member of the Armed Forces who served on active duty 
(other than for training) and whose last service terminated honorably.
    (c) Any member of a Reserve component of the Armed Forces, and any 
member of the Army National Guard or the Air National Guard, whose death 
occurs under honorable conditions while he is on active duty for 
training or performing full-time service; performing authorized travel 
to or from that duty or service; or is on authorized inactive duty 
training including training performed as a member of the Army National 
Guard or the Air National Guard. Also included are those members whose 
deaths occur while hospitalized or undergoing treatment at the expense 
of the United States for injury or disease contracted or incurred

[[Page 348]]

under honorable conditions while on that duty or service or performing 
that travel or inactive duty training.
    (d) Any member of the Reserve Officers' Training Corps of the Army, 
Navy, or Air Force whose death occurs under honorable conditions while 
attending an authorized training camp or on an authorized practice 
cruise, performing authorized travel to or from that camp or cruise, or 
hospitalized or undergoing treatment at the expense of the United States 
for injury or disease contracted or incurred under honorable conditions 
while attending that camp or cruise, performing that travel, or 
undergoing that hospitalization or treatment at the expense of the 
United States.
    (e) Any former prisoner of war who, while a prisoner of war, served 
honorably in the active military, naval, or air service, whose last 
period of active military, naval, or air service terminated honorably 
and who died on or after November 30, 1993.
    (1) The term ``former prisoner of war'' means a person who, while 
serving in the active military, naval, or air service, was forcibly 
detained or interned in line of duty--
    (i) By an enemy government or its agents, or a hostile force, during 
a period of war; or
    (ii) By a foreign government or its agents, or a hostile force, 
under circumstances which the Secretary of Veterans Affairs finds to 
have been comparable to the circumstances under which persons have 
generally been forcibly detained or interned by enemy governments during 
periods of war.
    (2) The term ``active military, naval, or air service'' includes 
active duty, any period of active duty for training during which the 
individual concerned was disabled or died from a disease or injury 
incurred or aggravated in line of duty, and any period of inactive duty 
training during which the individual concerned was disabled or died from 
an injury incurred or aggravated in line of duty.
    (f) Any citizen of the United States who, during any war in which 
the United States has been or may hereafter be engaged, served in the 
Armed Forces of any government allied with the United States during that 
war, whose last active service terminated honorably by death or 
otherwise, and who was a citizen of the United States at the time of 
entry on such service and at the time of death.
    (g) Commissioned officers, United States Coast and Geodetic Survey 
(now National Oceanic and Atmospheric Administration) who die during or 
subsequent to the service specified in the following categories and 
whose last service terminated honorably:
    (1) Assignment to areas of immediate military hazard.
    (2) Served in the Philippine Islands on December 7, 1941.
    (3) Transferred to the Department of the Army or the Department of 
the Navy under certain statutes.
    (h) Any commissioned officer of the United States Public Health 
Service who served on full-time duty on or after July 29, 1945, if the 
service falls within the meaning of active duty for training as defined 
in 38 U.S.C. 101(22) or inactive duty training as defined in 38 U.S.C. 
101(23) and whose death resulted from a disease or injury incurred or 
aggravated in line of duty. Also, any commissioned officer of the 
Regular or Reserve Corps of the Public Health Service who performed 
active service prior to July 29, 1945 in time of war; on detail for duty 
with the Armed Forces; or while the service was part of the military 
forces of the United States pursuant to Executive order of the 
President.
    (i) Spouses, minor children, and dependent adult children of the 
persons listed above.


(24 U.S.C. 281)

[43 FR 35043, Aug. 8, 1978, as amended at 59 FR 60559, Nov. 25, 1994; 60 
FR 8305, Feb. 14, 1995]



Sec. 553.16  Persons eligible for burial in Soldiers' Home National Cemetery.

    The Board of Commissioners of the US Soldiers' and Airmen's Home 
will prescribe rules governing burial in the Soldiers' Home National 
Cemetery.



Sec. 553.17  Persons ineligible for burial in an Army national cemetery.

    (a) A father, mother, brother, sister, and in-law is not eligible 
for interment by reason of relationship to an eligible

[[Page 349]]

service person even though he/she is dependent upon the service member 
for support and/or is a member of his/her household.
    (b) A person whose last separation from one of the Armed Forces was 
under other-than-honorable conditions is not eligible for burial even 
though he may have received veterans benefits, treatment at a Veterans 
Administration hospital or died in such a hospital.
    (c) A person who has volunteered for service with the Armed Forces 
but has not actually entered on active duty.
    (d) Nonservice-connected spouses who have been divorced from the 
service-connected members or who have remarried after the interment of 
the service-connected spouse and whose remarriage is still valid are not 
eligible because of the decedent's service.
    (e) Dependents are not eligible for burial in Arlington National 
Cemetery unless the Service-connected family member has been or will be 
interred in that cemetery. This does not apply to widows or widowers of 
members of the Armed Forces lost or buried at sea or officially 
determined to be permanently absent in a status of missing or missing in 
action.



Sec. 553.18  Assignment of gravesites.

    (a) Under present policy of the Department of the Army, only one 
gravesite is authorized for the burial of a service member and eligible 
family members.
    (b) Gravesites will not be reserved.
    (c) Gravesite reservations made in writing before the one-gravesite-
per-family unit policy was established will remain in effect as long as 
the reservee remains eligible for burial in Arlington.



Sec. 553.19  Disinterments.

    (a) Interments in Arlington National Cemetery of eligible decedents 
are considered permanent and final, and disinterments will be permitted 
only for cogent reasons. Disinterments and removal of remains will be 
approved only when all living close relatives of the decedent give their 
written consent or when a court order directs the disinterment.
    (b) All requests for authority to disinter remains will include the 
following information:
    (1) A full statement of reasons for the proposed disinterment.
    (2) Notarized statements by all close living relatives of the 
decedent that they interpose no objection to the proposed disinterment. 
``Close relatives'' are widow or widower, parents, adult brothers and 
sisters, and adult childern of the decedent and will include the person 
who directed the initial interment, if living, even though the legal 
relationship of that person to the decedent may have changed.
    (3) A sworn statement by a person who knows that those who supplied 
affidavits comprise all the living close relatives of the deceased, 
including the person who directed the initial interment.
    (c) In lieu of the documents required, an order of a court of 
competent jurisdiction will be recognized. The Department of the Army or 
officials of the cemetery should not be made a party or parties to the 
court action since this is a matter that concerns the family members 
involved.
    (d) Any disinterment that may be authorized under this paragraph 
must be accomplished without expense to the Government.



Sec. 553.20  Headstones and markers.

    All graves in Army national cemeteries will be appropriately marked 
in accordance with 24 U.S.C. 279. Government headstones and markers are 
provided by the Veterans Administration in accordance with the 
provisions of the National Cemeteries Act of 1973. When requested by the 
next of kin, an appropriate memorial headstone or marker will be 
furnished by the Veterans Administration and erected by cemetery 
personnel in a memorial section of the cemetery which has been set aside 
for this purpose. Headstones will be of white marble, upright slab 
design.



Sec. 553.21  Monuments and inscriptions at private expense.

    (a) The erection of markers and monuments at private expense to mark 
graves in lieu of Government headstones and markers is permitted

[[Page 350]]

only in sections of Arlington National Cemetery in which private 
monuments and markers were authorized as of 1 January 1947. These 
monuments will be of simple design, dignified, and appropriate to a 
military cemetery. The name of the person(s) or the name of an 
organization, fraternity, or society responsible for the purchase and 
erection of the marker will not be permitted on the marker or anywhere 
else in the cemetery. Approval for the erection of a private monument 
will be given with the understanding that the purchaser will make 
provision for its future maintenance in the event repairs are necessary. 
The Department of the Army will not be liable for maintenance of or 
damage of the monument.
    (b) Where a monument has been erected to an individual interred in 
Arlington National Cemetery and the next of kin desires to have 
inscribed on it the name and appropriate data pertaining to a deceased 
spouse, parent, son, daughter, brother, or sister whose remains have not 
been recovered and who would have been eligible in their own right for 
burial in Arlington, such inscriptions may be incised on the monument at 
no expense to the Government. The words ``In Memoriam'' or ``In Memory 
Of'' are mandatory elements of these inscriptions.
    (c) Except as may be authorized for marking group burials, ledger 
monuments of freestanding cross design, narrow shafts, mausoleums, or 
overground vaults are prohibited. Underground vaults may be placed at 
private expense, if desired, at the time of interment.
    (d) Specific instructions concerning private monuments and markers 
are contained in TM 10-287.



Sec. 553.22  Visitors' rules for the Arlington National Cemetery.

    (a) Purpose. The rules of this section define the standards of 
conduct required of all visitors to the Arlington National Cemetery, 
Arlington, Virginia. Applicable Army regulations and directives should 
be consulted for all other matters not within the scope of these rules.
    (b) Scope. Pursuant to title 40 United States Code, sections 318a 
and 486, and based upon delegations of authority from the Administrator, 
General Services Administration, the Secretary of Defense, and the 
Secretary of the Army, this section applies to all Federal property 
within the charge and control of the Superintendent, Arlington National 
Cemetery, and to all persons entering in or on such property. At the 
discretion of the Secretary of the Army, any person or organization that 
violates any of the provisions of paragraphs (d), (e), (f), (g), and 
(h), or (i) of this section may be barred from conducting memorial 
services and ceremonies within the Cemetery for two years from the date 
of such violation. Any such person shall also be subject to the 
penalties set out in title 40, United States Code section 318c.
    (c) Definitions. When used in this section;
    (1) The term memorial service or ceremony means any formal group 
activity conducted within the Arlington National Cemetery grounds 
intended to honor the memory of a person or persons interred in the 
Cemetery or those dying in the military service of the United States or 
its allies. ``Memorial service or ceremony'' includes a ``private 
memorial service,'' ``public memorial service,'' ``public wreath laying 
ceremony'' and ``official ceremony'' as defined in this section.
    (2) The term official ceremony means a memorial service or ceremony 
approved by the Commanding General, Military District of Washington, in 
which the primary participants are authorized representatives of the 
United States Government, a state government, a foreign country, or an 
international organization who are participating in an official 
capacity.
    (3) The term private memorial service means a memorial service or 
ceremony, other than an official ceremony, conducted at a private 
gravesite within Arlington National Cemetery by a group of relatives 
and/or friends of the person interred or to be interred at that 
gravesite. Private memorial services may be closed to members of the 
public.
    (4) The term public memorial service means a ceremony, other than an 
official ceremony, conducted by members of the public at the Arlington 
Memorial Amphitheater, the Confederate

[[Page 351]]

Memorial, the Mast of the Maine, the John F. Kennedy Grave or at an 
historic shrine or at a gravesite within Arlington National Cemetery 
designated by the Superintendent, Arlington National Cemetery. All 
public memorial services are open to any member of the public to 
observe.
    (5) The term public wreath laying ceremony means a brief ceremony, 
other than an official ceremony, in which members of the public, 
assisted by members of the Tomb Guard, present a wreath or similar 
memento, approved by the Superintendent or Commanding General, at the 
tomb and plaza area of the Tomb of the Unknown Soldier (also known as 
the Tomb of the Unknowns). Participants follow the instructions of the 
Tomb Guards, Superintendent and Commanding General in carrying out the 
presentation. The ceremony is open to any member of the public to 
observe.
    (6) The term Superintendent means the Superintendent, Arlington 
National Cemetery or his representative.
    (7) The term Commanding General, means the Commanding General, U.S. 
Army Military District of Washington or his representative.
    (d) Visitors hours. Visitors' hours shall be established by the 
Superintendent and posted in conspicuous places. Unless otherwise posted 
or announced by the Superintendent, visitors will be admitted during the 
following hours:

October through March--8 a.m. through 5 p.m.
April through September--8 a.m. through 7 p.m.

No visitor shall enter or remain in the Cemetery beyond the time 
established by the applicable visitors' hours.
    (e) Destruction or Removal of Property. No person shall willfully 
destroy, damage, mutilate or remove any monument, gravestone, structure, 
tree, shrub, plant or other property located within the Cemetery 
grounds.
    (f) Conduct within the Cemetery. Because Arlington National Cemetery 
is a shrine to the honored dead of the Armed Forces of the United States 
and because certain acts, appropriate elsewhere, are not appropriate in 
the Cemetery, all visitors, including persons attending or taking part 
in memorial services and ceremonies, shall observe proper standards of 
decorum and decency while within the Cemetery grounds. Specifically, no 
person shall:
    (1) Conduct any memorial service or ceremony within the Cemetery, 
except private memorial services, without the prior approval of the 
Superintendent or Commanding General. All memorial services and 
ceremonies shall be conducted in accordance with the rules established 
in paragraph (h) and, except for official ceremonies, paragraph (i) of 
this section. Official ceremonies shall be conducted in accordance with 
guidance and procedures established by the Commanding General;
    (2) Engage in any picketing, demonstration or similar conduct within 
the Cemetery grounds;
    (3) Engage in any orations, speeches, or similar conduct to 
assembled groups of people, unless the oration is part of a memorial 
service or ceremony authorized by this section;
    (4) Display any placards, banners, flags or similar devices within 
the Cemetery grounds, unless, in the case of a flag, use of the same is 
approved by the Superintendent or Commanding General and is part of a 
memorial service or ceremony authorized by this section;
    (5) Distribute any handbill, pamphlet, leaflet, or other written or 
printed matter within the Cemetery grounds except that a program may be 
distributed if approved by the Superintendent or Commanding General and 
such distribution is a part of a memorial service or ceremony authorized 
by this section;
    (6) Allow any dog, cat, or other pet to run loose within the 
Cemetery grounds;
    (7) Use the Cemetery grounds for recreational activities such as 
sports, athletics, or picnics;
    (8) Ride a bicycle within Cemetery grounds except on Meigs Drive, 
Sherman Drive and Schley Drive or as otherwise authorized by the 
Superintendent under this subparagraph. All other bicycle traffic will 
be directed to the Visitors' Center where bicycle racks are provided. 
Exceptions for bicycle touring groups may be authorized in

[[Page 352]]

advance and in writing by the Superintendent. An individual visiting a 
relative's gravesite may be issued a temporary pass by the 
Superintendent to permit him to proceed directly to and from the 
gravesite by bicycle;
    (9) Deposit or throw litter on Cemetery grounds;
    (10) Play any radio, tape recorder, or musical instrument, or use 
any loudspeaker within the Cemetery grounds unless use of the same is 
approved by the Superintendent or Commanding General and is part of a 
memorial service or ceremony authorized by this section;
    (11) Drive any motor vehicle within Arlington National Cemetery in 
excess of twenty miles per hour or such lesser speed limit as the 
Superintendent posts;
    (12) Park any motor vehicle in any area on the Cemetery grounds 
designated by the Superintendent as a no parking area; or leave any 
vehicle in the Visitors' Center Parking Lot at the Cemetery beyond two 
hours;
    (13) Engage in any disorderly conduct within the Cemetery grounds. 
For purposes of this section, a person shall be guilty of disorderly 
conduct if, with purpose to cause, or with knowledge that he is likely 
to cause, public inconvenience, annoyance or alarm, he:
    (i) Engages in, promotes, instigates, encourages, or aids and abets 
fighting, or threatening, violent or tumultuous behavior;
    (ii) Yells, utters loud and boisterous language or makes other 
unreasonably loud noise;
    (iii) Interrupts or disturbs a memorial service or ceremony;
    (iv) Utters to any person present abusive, insulting, profane, 
indecent or otherwise provocative language or gesture that by its very 
utterance tends to incite an immediate breach of the peace;
    (v) Obstructs movement on the streets, sidewalks, or pathways of the 
Cemetery grounds without prior authorization by competent authority;
    (vi) Disobeys a proper request or order by the Superintendent, 
Cemetery special police, park police, or other competent authority to 
disperse or to leave the Cemetery grounds; or
    (vii) Otherwise creates a hazardous or physically offensive 
condition by any act not authorized by competent authority.
    (g) Soliciting and Vending. No person shall display or distribute 
commercial advertising or solicit business while within the Cemetery 
grounds.
    (h) Requests to Conduct Memorial Services and Ceremonies.
    (1) Requests by members of the public to conduct memorial services 
or ceremonies shall be submitted to the Superintendent, Arlington 
National Cemetery, Arlington, Virginia 22211. Such requests shall 
describe the proposed memorial service or ceremony in detail to include 
the type of service, its proposed location, the name of the individual 
or organization sponsoring the service, the names of all key individuals 
participating in the service, the estimated number of persons expected 
to attend the service, the expected length of the service, the service's 
format and content, whether permission to use loud-speaker systems or 
musical instruments or flags during the service is requested and, if so, 
the number, type, and how they are planned to be used, whether 
permission to distribute printed programs during the service is 
requested, and, if so, a description of the programs, and whether 
military support is requested. Individuals and organizations sponsoring 
memorial services or ceremonies shall provide written assurance that the 
services or ceremonies are not partisan in nature, as defined in 
paragraph (i) of this section, and that they and their members will obey 
all rules set out in this section and act in a dignified and proper 
manner at all times while in the Cemetery grounds.
    (2) Requests to conduct official ceremonies shall be submitted to 
the Commanding General.
    (3) Memorial services or ceremonies other than private memorial 
services may be conducted only after permission has been received from 
the Superintendent or Commanding General. Private memorial services may 
be conducted only at the gravesite of a relative or friend. All other 
memorial

[[Page 353]]

services and ceremonies may be conducted only at the area or areas 
designated by the Superintendent or Commanding General as follows:
    (i) Public memorial services may be authorized to be conducted only 
at the Arlington Memorial Amphitheater, the Confederate Memorial, the 
John F. Kennedy Grave, or other sites designated by the Superintendent.
    (ii) Public wreath laying ceremonies may be authorized to be 
conducted at the tomb and plaza area of the Tomb of the Unknown Soldier 
(also known as the Tomb of the Unknowns).
    (iii) Official ceremonies may be authorized to be conducted at sites 
designated by the Superintendent or Commanding General.
    (i) Conduct of Memorial Services and Ceremonies. All memorial 
services and ceremonies within Arlington National Cemetery, other than 
official ceremonies, shall be conducted in accordance with the following 
rules:
    (1) Memorial services and ceremonies shall be purely memorial in 
purpose and dedicated only to the memory of all those interred in the 
Cemetery, to all those dying in the military service of the United 
States, to all those dying in the military service of the United States 
while serving during a particular conflict or while serving in a 
particular military unit or units, or to the memory of the individual or 
individuals interred or to be interred at the particular gravesite at 
which the service or ceremony is held.
    (2) Partisan activities are inappropriate in Arlington National 
Cemetery, due to its role as a shrine to all the honored dead of the 
Armed Forces of the United States and out of respect for the men and 
women buried there and for their families. Services or any activities 
inside the Cemetery connected therewith shall not be partisan in nature. 
A service is partisan and therefore inappropriate if it includes 
commentary in support of, or in opposition to, or attempts to influence, 
any current policy of the Armed Forces, the Government of the United 
States or any state of the United States; if it espouses the cause of a 
political party; or if it has as a primary purpose to gain publicity or 
engender support for any group or cause. If a service is closely 
related, both in time and location, to partisan activities or 
demonstrations being conducted outside the Cemetery, it will be 
determined to be partisan and therefore inappropriate. If a service is 
determined to be partisan by the Superintendent or the Commanding 
General, permission to conduct memorial services or ceremonies at the 
Cemetery will be denied.
    (3) Participants in public wreath laying ceremonies shall remain 
silent during the ceremony.
    (4) Participants in public memorial services at the John F. Kennedy 
Grave shall remain silent during the service.
    (5) Public memorial services and public wreath laying ceremonies 
shall be open to all members of the public to observe.
    (6) Participants in public wreath laying ceremonies shall follow all 
instructions of the Tomb Guards, Superintendent, and Commanding General 
relating to their conduct of the ceremony. (40 U.S.C. 318a, 486, and 
delegations of authority from the Administrator, General Services 
Administration, Secretary of Defense, and Secretary of the Army).
    (j) Tributes in Arlington National Cemetery to commemorate 
individuals, events, units, groups and/or organizations--(1) General. 
Tributes, which include plaques, medals, and statues, will be accepted 
only from those veterans organizations listed in the Directory of 
Veterans Organizations and State Department of Veterans Organizations 
published annually by the Veterans Administration or those substantially 
similar in nature.
    (2) Plaques at trees and other donated items. Plaques may be 
accepted and placed at trees or other donated items to honor the memory 
of a person or persons interred in Arlington National Cemetery or those 
dying in the military service of the United States or its allies.-

Plaques placed at trees or other donated items must conform to the 
specifications described in appendix A, Specifications for Tributes in 
Arlington National Cemetery. A rendering of the proposed plaque shall be 
sent to the Superintendent, Arlington National Cemetery, Arlington, 
Virginia 22211-5003 for approval.

[[Page 354]]

    (k) Tributes to the Unknowns (Unknown Soldier).
    (1) General. Tributes, normally plaques, to the Unknowns by those 
organizations described in Sec. 553.22(j) above must conform to 
specifications and guidelines contained in appendix A, Specifications 
for Tributes in Arlington National Cemetery. Descriptions of the 
character, dimensions, inscription, material and workmanship of the 
tribute must be submitted in writing to Superintendent, Arlington 
National Cemetery, Arlington, Virginia 22211-5003 for approval.
    (2) Tributes to the Unknowns (Unknown Soldier) Presented by Foreign 
Dignitaries. Presentation of tributes by Foreign Dignitaries is allowed 
as part of an official ceremony as defined herein.
    (l) Monuments. Monuments (other than private monuments or markers) 
to commemorate an individual, group or event may be erected following 
joint or concurrent resolution of the Congress.

    Appendix A to Part 553--Specifications for Tributes in Arlington 
                            National Cemetery

    1. Purpose. The appendix provides specifications and guidelines for 
obtaining approval for the donation of tributes at Arlington National 
Cemetery. -
    2. Approval. The Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003 exercises general supervision over 
Arlington National Cemetery; and his approval of proposed tributes to be 
placed in Arlington National Cemetery is required.
    3. Who May Offer Tributes. a. Tributes will be accepted only from 
those veterans' organizations listed in the Directory of Veterans 
Organizations and State Department of Veterans Organizations published 
annually by the Veterans Administration or those substantially similar 
in nature. Tributes will not be accepted from individuals or from 
subdivisions of parent organizations.
    b. Only one tribute will be accepted from an organization. However, 
with prior approval, the inscription of a tribute already presented in 
Memory of the Unknown Soldier (World War I) may be reworded by the 
donating organization to commemorate one additional or all the Unknowns, 
or a new tribute may be substituted for the old one.
    4. Design--a. Character. The design of the tribute shall be 
artistically proportioned and shall be consistent with the sacred 
purpose of the shrine, which is to honor heroic military service as 
distinguished from civilian service however notable or patriotic.
    b. Dimensions. The surface area of the tribute, including the 
mounting, shall not exceed 36 square inches; and the thickness or height 
shall not exceed two (2) inches when mounted.
    c. Inscriptions--(1). Tributes to the Unknowns. Tributes are 
accepted only for the purpose of commemorating and paying homage and 
respect to one or more of the Unknowns. Thus all tributes must include, 
either in the basic design or on a small plate affixed thereto, a clear 
indication of such commemoration.
    Suggestions follow:

--In Memory Of The American Heroes Known But to God
--The American Unknowns
--The Unknown American Heroes
--The Unknown Soldier
--The Unknown of World War II
--The Unknown of the Korean War
--The Unknown American of World War II
--The Unknown American of the Korean War

    The identity of the donor/Date of Presentation.
    2. Other Tributes including plaques at trees and other donated 
Items. Inscriptions on tributes will be in keeping with the dignity of 
Arlington National Cemetery.
    d. Material and Workmanship. The material and workmanship of the 
tribute, including the mounting, shall be of the highest quality, free 
of flaws and imperfections.
    5. Applications. Requests for authority to present tributes shall be 
submitted in writing to the Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003.
    a. A scale drawing or model, showing the exact inscription and other 
details of the proposed tribute.
    b. A copy of the constitution and bylaws of the organization 
desiring to make the presentation.
    6. Final Approval. Upon fabrication, the completed tribute will be 
forwarded to the Superintendent, Arlington National Cemetery, Arlington, 
Virginia 22211-5003 for visual inspection prior to its presentation.
    7. Presentation of Tributes. After authorized acceptance of the 
tribute the sponsoring organization may arrange appropriate presentation 
ceremonies with the Superintendent, Arlington National Cemetery, 
Arlington, Virginia 22211-5003. If presentation ceremonies are not 
desired, the Superintendent will acknowledge receipt of the tribute and 
inform the sponsoring organization of the number of the case in which it 
reposes in the Memorial Display Room at the Amphitheater at Arlington 
National Cemetery.
[45 FR 80524, Dec. 5, 1980, as amended at 51 FR 19708, May 30, 1986; 51 
FR 43742, Dec. 4, 1986]

[[Page 355]]



PART 555--CORPS OF ENGINEERS, RESEARCH AND DEVELOPMENT, LABORATORY RESEARCH AND DEVELOPMENT AND TESTS, WORK FOR OTHERS--Table of Contents




Sec.
555.1  Purpose.
555.2  Applicability.
555.3  References.
555.4  Policy.
555.5  Terms of providing reimbursement for work performed.
555.6  Authority.
555.7  Submission of technical proposals.
555.8  Program documentation.
555.9  Reporting requirements for work in support of DOE.
555.10  Coordination requirements.


Appendix A to Part 555--Director of Defense Research and Engineering

    Authority: 10 U.S.C. 3036; 22 U.S.C. 2357; 22 U.S.C. 2421; 31 U.S.C. 
686; 42 U.S.C. 4221-4225.

    Source: 45 FR 32302, May. 16, 1980, unless otherwise noted.



Sec. 555.1  Purpose.

    This regulation defines and establishes policies and procedures 
applicable to the performance of research and development and tests at 
Corps of Engineers laboratory installations for other governmental and 
private agencies and organizations.



Sec. 555.2  Applicability.

    This regulation applies to the U.S. Army Engineer Waterways 
Experiment Station (WES), the U.S. Army Construction Engineering 
Research Laboratory (CERL), the U.S. Army Engineer Topographic 
Laboratories (ETL), the U.S. Army Coastal Engineering Research Center 
(CERC), the U.S. Army Cold Regions Research and Engineering Laboratory 
(CRREL), the U.S. Army Facilities Engineering Support Agency (FESA), the 
U.S. Army Corps of Engineers Water Resources Support Center (WRSC).



Sec. 555.3  References.

    (a) AR 10-5.
    (b) AR 37-27.
    (c) AR 70-1.
    (d) ER 1-1-6.
    (e) ER 1-1-7.
    (f) ER 70-1-5.
    (g) ER 70-1-10.
    (h) ER 1110-1-8100.
    (i) ER 1110-2-8150.
    (j) ER 1140-2-302.
    (k) ER 1140-2-303.



Sec. 555.4  Policy.

    (a) The policies and procedures covered herein extend and supplement 
the performance of work for other Federal Agencies authorized in ER 
1140-2-302, and services for State and local governmental units 
authorized in ER 1140-2-303, and the policy set forth by the Secretary 
of Defense in appendix A.
    (b) Subject to the authority limitations contained in Sec. 555.6 of 
this part, research and development and tests may be performed for other 
agencies of the Federal Government, State and local governments, foreign 
governments and private firms under the following conditions:
    (1) The work is performed on a cost reimbursable basis; or on a 
cooperative basis with the Department of Energy (DOE), utilizing the 
resources of both DOE and the Corps; or as a part of direct funded 
programs for the Army Materiel Development and Readiness Command 
(DARCOM) or the Defense Mapping Agency (DMA), as provided for in 
Secs. 555.6(a)(1), 555.6(a)(2), 555.7, and 555.9 of this part.
    (2) Performance of the work will not interfere with performance of 
services essential to the mission of the Corps.
    (3) Performance of the work will not require an increase in the 
permanent staff of the facility.
    (4) Performance of the work will not require expansion of normal 
facilities.
    (5) The work is within the scope of authorized activities of the 
laboratory at which the work is to be performed.
    (6) Performance of the work will not be adverse to the public 
interest.
    (7) Work will not be performed for foreign government or private 
firms unless it is firmly established that other laboratory facilities 
capable of performing the services are not available, or because of 
location or for other reasons it is clearly impractical to utilize other 
laboratory services.
    (8) Prior to performing any research and development or tests for 
private firms, CE laboratories will obtain a written certification from 
such firms stating that the results of the work to

[[Page 356]]

be performed will not be used in litigation or for promotional purposes.



Sec. 555.5  Terms of providing reimbursement for work performed.

    (a) Federal Agencies. Reimbursement for work for the Department of 
Defense, the Department of the Army, and other Federal Agencies will be 
in accordance with the procedures prescribed in AR 37-27.
    (b) Private firms and Foreign Governments. Funds to cover the total 
estimated cost of the work or an initial increment of the estimated cost 
based on an approved schedule of payment will be deposited with the 
installation performing the work before any obligations or expenses in 
connection with the work are incurred; and when funds are being 
deposited on an approved schedule, no obligations or expenses will be 
incurred in connection with the work in excess of funds on deposit. 
Charges shall include a surcharge of 15% of all applicable costs, except 
under the following conditions:
    (1) When the final product will directly contribute to planning, 
design, research, or construction activities in which Federal funds are 
involved by grant or otherwise.
    (2) Where an exception is granted based on a direct benefit to the 
Government. Adequate justification, outlining the direct benefits which 
are expected to accrue to the Government, will be forwarded to HQDA 
(DAEN-RD) WASH DC 20314, for review and approval prior to deletion of 
the surcharge.
    (c) State and Local Governments. Work for State and local 
governments will be performed only to the extent that cash has been 
received and deposited with the U.S. Treasury in advance of actual 
expenditures. When the work for State and local governments is to be 
performed as part of an authorized Civil Works Project, reimbursement 
may be made in annual installments during the period of performance in 
accordance with Section 40 of the Water Resources Development Act of 
1974.



Sec. 555.6  Authority.

    The following delegations of authority to perform research and 
development and tests apply.
    (a) Major Corps of Engineers Research and Development Laboratories. 
The major Corps of Engineers research and development organizations are 
identified as WES, CERL, ETL, CERC, and CRREL. While not major CE R&D 
Laboratories, FESA, IWR, and HEC are responsible for performance of 
specific R&D functions.
    (1) Subject to the provisions of Sec. 555.8 of this regulation, the 
Commanders and Directors of WES, ETL and CRREL are authorized to perform 
direct funded work for DARCOM and DMA in accordance with the applicable 
memorandums of understanding.
    (2) Subject to the provisions of Secs. 555.7 and 555.9, the 
Commanders and Directors of CERL, CRREL, WES and FESA, for specific 
research and development functions, are authorized to perform work for 
DOE in accordance with the applicable memorandum of understanding.
    (3) Except as provided for in paragraphs (a) (5) and (6) of this 
section, the Commanders and Directors of WES, CERL, CERC, CRREL, ETL and 
FESA are authorized to perform reimbursable work without OCE prior 
approval for Army agencies, Federal, State and local governmental 
agencies where the total estimated cost of each request for research and 
development or test is $50,000 or less. The Research and Development 
Office will be advised of each request for research and development or 
test having an estimated cost exceeding $20,000 (excluding cement 
sampling and testing work covered in Sec. 555.6(a)(5) herein). 
Reimbursable research and development and test work for which the cost 
is estimated to be in excess of $50,000 will not be initiated until 
authorization is received. Written requests for authorization to conduct 
work beyond the $50,000 limit and notification of all scheduled work 
costing between $20,000 and $50,000 shall be submitted to DAEN-RD. These 
requests should accompany the technical proposal copy required by 
Sec. 555.7(a) herein. It should include an explanation of the proposed 
work including how the work complements or impacts on-going research.
    (4) Except as provided for in Sec. 555.6(a)(5), the Commanders and 
Directors of WES, CERL, CERC, CRREL,

[[Page 357]]

ETL and FESA are delegated authority to perform reimbursable research 
and development for U.S. private firms and foreign governments when the 
total estimated cost of each request for research and development or 
test is $20,000 or less. Approval is required when estimated costs 
exceed this authority. Written requests for approval shall be addressed 
to DAEN-RD.
    (5) Corps R&D Laboratories are authorized to participate in the 
Department of Defense Technology Transfer Consortium. Participation in 
and effort undertaken to adapt existing technology or on-going research 
for transfer to the civil sector as a result of participation in this 
consortium shall be subject to the provisions of appendix A.
    (6) The Director of WES is authorized to perform sampling and 
testing of cement and pozzolan for Federal, State, and local 
governmental agencies without limitation on cost. Approval is required 
prior to performance of sampling and testing of cement and pozzolan for 
private firms and foreign governments when the total estimated cost of 
sampling and testing services exceeds $2,500. Requests for approval 
shall be addressed to DAEN-RD.
    (7) The Director of CERL is authorized to perform compliance testing 
of paint for Federal, State and local governmental agencies without 
limitation on cost.



Sec. 555.7  Submission of technical proposals.

    (a) Corps of Engineers research and development laboratories are 
authorized to submit technical proposals directly to other Federal 
agencies covering proposed work in their assigned fields except that 
proposals submitted to DMA must be submitted through DAEN-RD for 
approval. Proposals for cooperative effort projects under the DOD-DOE 
Memorandum of Understanding utilizing DOD and DOE resources, will be 
forwarded to DAEN-RD for securing prior approval from the DA and DOD 
Program Coordinators. Copies of proposals which exceed the delegation of 
authority contained in this ER will be submitted to the Chief of 
Engineers marked for the attention of DAEN-RD.
    (b) The above authority for direct submission of technical proposals 
does not include authority to perform work when proposals are accepted 
if the estimated cost exceeds the limits stated before. Authority to 
proceed will be as outlined in Sec. 555.6.



Sec. 555.8  Program documentation.

    Program documentation will be submitted in accordance with 
instructions provided by the sponsoring agency with two copies to HODA 
(DAEN-RD) WASH DC 20314.



Sec. 555.9  Reporting requirements for work in support of DOE.

    The following reports are to be submitted to HODA with a copy to 
Commander and Director, CERL. CERL has been assigned the responsibility 
of Principal Laboratory for Energy R&D.
    (a) All executed agreements subordinate to the DOD-DOE Memorandum of 
Understanding will be reported to DAEN-RD for forwarding to DA and DOD 
Program Coordinators within 20 days of their consummation.
    (b) Reports analyzing each agreement and the DOD-DOE Memorandum of 
Understanding will be prepared as a ``Report on the Department of 
Defense--Department of Energy Interagency Agreement'', Report Control 
Symbol DD-M(SA)1511 and forwarded to DAEN-RD within 20 days after the 
end of the second and fourth quarters each fiscal year. Reports are to 
be prepared in accordance with the procedures prescribed in DEPPM, No. 
78-8. In addition, informal reporting of other cooperative work with DOE 
not falling under the MOU, will also be reported at those times.
    (c) Notifications of non-compliance. DAEN-RD should be promptly 
notified if the Corps component or DOE fail to comply with the terms of 
the DOD-DOE Memorandum of Understanding or subordinate agreements. This 
notification shall include:
    (1) A brief statement of the problem.
    (2) Nature of corrective action proposed.
    (3) Any recommended action for the DOD Program Coordinator.

[[Page 358]]



Sec. 555.10  Coordination requirements.

    All reimbursable work accepted by a laboratory which falls into a 
category for which a Principal Laboratory has been designated by DAEN-
RD, will be reported to the designated POC in the Principal Laboratory, 
with a copy of the notification to DAEN-RD.

  Appendix A to Part 555--Director of Defense Research and Engineering

                             June 14, 1974.

 Memorandum for Assistant Secretaries of the Military Departments (R.D)

Subject: Non-Defense Work in DoD Labs and R & D Facilities.
    The Deputy SECDEF, in his memorandum of 21 January 1972 to the 
Secretaries of the Military Departments, on the above subject, 
(enclosure 1), outlined broad policy considerations for the DoD 
Laboratory Consortium formed to coordinate non-defense work being 
performed by them for other government organizations. In order to 
establish more precise guidelines for the Consortium, an operating 
policy has been developed (enclosure 2) which establishes criteria for 
Consortium membership and the type of work that may be undertaken. Also, 
the following additional constraints are placed upon the operation of 
this Consortium;
     The expenditure of in-house effort in any one laboratory 
shall be limited to 3% of the professional man-years at that laboratory 
unless expressed approval of the parent Military Department is granted 
to exceed this limit.
     The DoD commitment to support the brokerage function at the 
National Science Foundation shall not exceed two man-years per year 
through FY 76, subject to the continued willingness of the Military 
Departments to absorb the costs.
                                                    Malcolm R. Currie.  
                                                       January 21, 1972.
Memorandum for Secretaries of the Military Departments Director of 
          Defense Research and Engineering Assistant Secretary of 
          Defense (Comptroller).
Subject: Non-Defense Work in DOD Laboratories and R&D Facilities Civil 
          government agencies are expressing an increased interest in 
          the application of defense and aerospace technology to the 
          solution of problems in the civil sector. Included in this 
          interest is the desire to exploit the technological expertise 
          which exists in our DOD laboratories for the solutions of 
          domestic problems. Separate and distinct from work done for 
          defense oriented agencies such as AEC and NASA, our DOD 
          laboratories have, for may years, performed selected projects 
          for other agencies upon request. Recently, fifteen of these 
          laboratories have formed a consortium for the purpose of 
          coordinating the non-defense work being performed by them for 
          other government organizations. Although the level of effort 
          is a very small percentage in these laboratories at the 
          present time, the aggregate can have a substantial beneficial 
          impact on domestic programs.
    It is generally conceded that the most efficient transfer of 
technology occurs when the adaptation of a technology to a new purpose 
is carried out by the team which carried out the original development. 
Recognizing this, the Federal Council on Science and Technology (FCST) 
has approved a ``Policy for Expanded Interagency Cooperation in Use of 
Federal Laboratories'' (attached). I endorse the spirit and intent of 
this policy.
    The Military Services are encouraged to participate in this endeavor 
consistent with mission and legislative constraints. The level of effort 
in any laboratory is the prerogative of the cognizant Military 
Department which may, in turn, issue more detailed policy guidance as 
appropriate. Any Military Department policy shall be subject to the 
following considerations:
    (a) The level of effort of the work undertaken shall be such that it 
does not impede the accomplishment of the missions of the Military 
Services and the defense laboratories.
    (b) The projects selected for non-defense work shall be compatible 
with the technological capability of the laboratory performing the work. 

    (c) Projects may be undertaken in support of federal, state and 
local government organizations. Non-defense work will be performed for 
the private industrial sector only on an exception basis.
    (d) The full costs of projects undertaken shall be supported by 
transfer of funds through formal written agreements.
    (e) Jointly sponsored projects are permitted when there is also a 
direct application to a Military requirement. The commitment of funds 
and resources to joint programs shall be commensurate with the interest 
of each agency in the project.
    The Assistant Secretary of Defense (Comptroller) shall explore with 
the Office of Management and Budget means for providing relief from any 
imposed manpower constraints to the extent of the DOD participation in 
non-defense work.

   Operating Policy of the Department of Defense Technology Transfer 
                               Consortium

    Purpose-- The purpose of this policy is to establish the basic 
framework and direction of the Department of Defense (DOD) Technology 
Transfer Consortium.
    Background-- The DOD currently funds approximately half of the total 
Federal expenditure for R&D. Civil government agencies are

[[Page 359]]

expressing an increased interest in the exploitation of defense 
technology for the solution of problems in the civil sector. The 
Military Departments have been encouraged to cooperate in this endeavor, 
subject to considerations promulgated by the Secretary of Defense.
    Consortium Purpose-- The DOD Laboratories are a source of technology 
for the solution of these civil sector problems which are amenable to 
technological solutions. The primary role of the in-house laboratories 
is to provide a research and development base for the development of 
systems required to fulfill the national security mission of the DOD. 
However, these laboratories can serve a vital secondary role in the 
adaptation of technology to other fields and areas of need to the extent 
that it does not adversely impact on the primary DOD mission. A 
consortium of DOD Laboratories is formed for the purpose of coordinating 
interactions with other Federal Agencies and technology users at 
federal, state, and local level, and of coordinating the efforts in this 
endeavor. The technology transfer consortium is an association of DOD 
Laboratories working together through an informal affiliation. The main 
thrust of the consortium activity is through the individual and 
cooperative efforts of the laboratories involved, with an emphasis on 
the transfer and adaptation of technology through person-to-person 
mechanisms.
    Criteria for Laboratory Consortium Membership. The following 
criteria for the participation of a DOD Laboratory in Consortium 
activities shall apply:
     The participation of any laboratory shall be undertaken 
with the full knowledge of the parent Military Department and the 
director or commander of the laboratory.
     For each participating laboratory an individual shall be 
designated by name to represent that laboratory to the consortium, and 
to coordinate the technology transfer activities of that laboratory. 
Procedures should be adopted within each laboratory to preclude the 
dilution of the efforts of middle and top level management by their 
involvement in the administrative aspects of the technology transfer 
effort.
     Any laboratory may withdraw from the Consortium by 
notifying the Consortium Chairman of this intent.
    Criteria for Conduct of Work-- It is the view of the Consortium that 
the civil sector should rely on the private enterprise system to provide 
those services which are reasonably and expeditiously available through 
ordinary business channels. The laboratories shall attempt to provide a 
supplemental resource that is not technically available or that is 
obtainable only at an excessive cost. Such services shall not supplant 
existing private or industrial resources but are offered to enable other 
Federal agencies, State and local governments to avoid unnecessary 
duplication of special service functions.
    The following criteria shall apply for the conduct of work 
undertaken in the technology transfer program:
     In order for work to be undertaken for any government 
organization each of the following criteria must be satisfied:
    a. Laboratory staff will not increase as a result of the additional 
work.
    b. Laboratory facilities will not be added for non-DOD work.
    c. Proposed work should relate to a laboratory's area of particular 
expertise and the laboratory should be a significant resource in the 
particular subject area.
    d. A determination should be made that the laboratory's background, 
experience and facilities are such that private industry could not 
perform the work except at a significantly increased cost.
     The major emphasis of the Technology Transfer Consortium 
should be directed to:
    a. The transfer or adaptation of existing technology, either 
directly, or after being subjected to adaptive engineering.
    b. The preparation of documentation and technical assistance in 
those activities unique to the mission of the DOD laborabories.
     Work will be performed for private industry only on an 
exception basis, such as when the laboratory possesses unique facilities 
that are required and which are not available in the private sector.
     Description of the work to be accomplished and the funds to 
be transferred will normally be specified in a formal interagency 
agreement.
     All costs shall be recovered from the receiving government 
organization, including realistic overhead costs, except that 
cooperative developments on a shared cost basis are encouraged where 
there is a distinct military application.
     Laboratory production of hardware shall normally be limited 
to prototypes or test units required to prove feasibility.
     Adaptive engineering shall not be performed on 
technological innovations for which a patent application has been made 
by a private industrial firm unless permission is received in writing 
from that firm. Technical, consulting, and support services will not 
normally be furnished another agency on a continuing basis.
     Work in the form of analytic services shall not normally be 
undertaken in areas where comparable expertise exists in competitive 
industry. An exception to this provision is acceptable in areas of 
problem definition where existing Defense technology offers a unique 
potential solution.

[[Page 360]]



PART 556--PRIVATE ORGANIZATIONS ON DEPARTMENT OF THE ARMY INSTALLATIONS--Table of Contents




                         Subpart A--Introduction

Sec.
556.1  Scope.
556.2  References.
556.3  Explanation of abbreviations and terms.
556.4  Responsibilities.

                    Subpart B--Private Organizations

                               Description

556.5  Types of private organizations.
556.6  Informal funds.

                                 Policy

556.7  Overview.
556.8  Restrictions.
556.9  PO employment and membership practices.
556.10  Insurance.
556.11  Audit.
556.12  Taxes.
556.13  PO compliance with State or local laws.

      Subpart C--Requirements and Procedures for On-Post Operation

556.14  Overview.
556.15  Recreational and educational POs.
556.16  Standardized documentation.

                     Subpart D--Support and Services

                                 Funding

556.17  Overview.
556.18  Resale and fundraising activities.

                                Personnel

556.19  Exclusions.
556.20  Permissive temporary duty (TDY).
556.21  Special events.

                     Logistical Support and Services

556.22  Overview.
556.23  Use of space and facilities.
556.24  Equipment.
556.25  Transportation.
556.26  Utilities.
556.27  Printing and copying services.
556.28  Postal support.
556.29  Other services.
556.30  Type 2 POs operating overseas.

    Subpart E--Participation in Activities of Private Organizations 
                             (Associations)

556.31  Scope.
556.32  Limitations.
556.33  Official participation in POs.
556.34  Permissive TDY.


Appendix A to Part 556--References
Appendix B to Part 556--Classification System for Private Organizations 
          by Type and Subtype

    Authority: 10 U.S.C. 3102.

    Source: 55 FR 27104, June 29, 1990, unless otherwise noted.



                         Subpart A--Introduction



Sec. 556.1  Scope.

    (a) Purpose. This regulation sets forth policy, procedures, and 
responsibilities for the authorization and operation of private 
organizations (POs) operating on Army installations, and official 
participation by Department of the Army (DA) agencies, commands, and 
personnel in the activities of POs and associations regardless of 
whether they operate on or off DA installations. This guidance does not 
cancel any specific agreements between Federally sanctioned or 
affiliated POs and the U.S. Government, the Department of Defense (DOD), 
or DA.
    (b) Applicability restrictions. This regulation does not apply to--
    (1) POs operating outside of DA installations that request use of 
Army space or facilities.
    (2) Army funds or activities accounted for under U.S. Treasury 
symbols.
    (3) Nonappropriated fund instrumentalities (NAFIs).
    (4) Appropriated fund (APF) and nonappropriated fund (NAF) 
contractor and subcontractor organizations and funds on DA 
installations.
    (5) Patients' trust funds.
    (6) Prisoner of war funds.
    (7) Prisoners' personal deposit funds.
    (8) Funds established for civilian employees at civil works 
activities of the Corps of Engineers.



Sec. 556.2  References.

    Required and related publications are listed in appendix A to this 
part.



Sec. 556.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this regulation are 
explained in the glossary.

[[Page 361]]



Sec. 556.4  Responsibilities.

    (a) The Deputy Chief of Staff for Personnel (DCSPER) will be the 
Headquarters, Department of the Army (HQDA) proponent for POs on DA 
installations.
    (b) The Commander, U.S. Army Community and Family Support Center 
(CFSC), will establish DA policies and procedures for operation of POs 
on DA installations.
    (c) Major Army commanders will--
    (1) Ensure that subordinate commands comply with this regulation.
    (2) Review installation policies and procedures for monitoring POs.
    (d) Installation commanders will--
    (1) Ensure that all POs operating on their installations comply with 
this regulation.
    (2) Determine what conditions require an official inquiry or 
investigation of a PO to best preserve United States interests. An 
official inquiry will not be made to meet the biennial PO audit 
requirement.
    (3) Prohibit the possession or sale of drug abuse paraphernalia by 
or in POs, as required by AR 190-30.



                    Subpart B--Private Organizations

                               Description



Sec. 556.5  Types of private organizations.

    (a) Three PO types. (1) Type 1--Federally sanctioned POs. POs that 
provide a recognized service to DOD and its employees. These POs are 
sanctioned by specific DOD authority. All type 1 POs are governed by 
this regulation except those listed below.
    (i) Credit unions. (See AR 210-24.)
    (ii) Banking offices or institutions. (See AR 210-135.)
    (iii) American National Red Cross. (See AR 930-5.)
    (iv) United Service Organization, Inc. (See AR 930-1.)
    (v) United Seamen's Service. (See AR 700-83.)
    (vi) Labor organizations subject to section 71, title 5, United 
States Code (5 U.S.C. 71) (See Federal Personnel Manual (FPM) chap. 
711.)
    (vii) Association of Supervisors and Managers. (See CPR 251.)
    (viii) Civil Air Patrols. (See Air Force Regulation 46-6.)
    (ix) Army Emergency Relief. (See AR 930-4.)
    (2) Type 2--Affiliated POs. POs that have a national or State 
headquarters with local chapters, affiliations, or lodges. These POs 
conduct activities of common interest to a voluntary membership.
    (3) Type 3--Independent POs. POs established, organized, operated, 
and controlled locally by common interest groups with no formal 
association with outside or parent organizations.
    (b) PO subtypes. (1) For classification purposes there are eight 
authorized subtypes of POs. Classification of POs does not confer a 
preferred status on any one type or subtype, but serves to identify the 
various POs commonly found on DA installations. All POs operating on-
post will receive equal treatment. (See appendix B to this part for a 
classification schematic of POs.)
    (2) Authorized groupings are based upon one or more of the following 
characteristics:
    (i) Similar purposes or objectives.
    (ii) Related activities.
    (iii) Common age level of membership.



Sec. 556.6  Informal funds.

    Certain unofficial activities may operate on DA installations 
without being authorized as type 3 (Independent) POs, provided they do 
not exceed a net worth of $1,000. Installation commanders may exclude 
certain funds or activities from the provisions of this regulation due 
to their limited scopes, activities, memberships, or funds. (Examples 
are office coffee funds, cup and flower funds, Christmas party funds, 
family support groups, Army Community Service (ACS) volunteer 
activities, and annual picnic funds.) These smaller funds are subject to 
the following:
    (a) Only one individual is to be responsible for fund custody, 
accounting, and documentation. The fund custodian will administer fund 
business during off-duty time. This individual will report annually to 
his or her military rater or civilian supervisor, as appropriate, 
concerning the fund's existence and purpose, financial status, or upon 
occurrence or suspicion of irregularities associated with the fund.

[[Page 362]]

    (b) Use is limited to expenses consistent with the purpose and 
function of the fund, and is not to be expended in any way that is, or 
appears to be, improper or contrary to Army interests.
    (c) Compliance with AR 600-50 is to be observed when participating 
in private organizational activities and when expending informal funds.
    (d) Commanders are to ensure that personnel are aware of Army policy 
regarding private organizations and may establish more specific policy 
and procedures for private organizational activities and informal funds 
on their installations.

                                 Policy



Sec. 556.7  Overview.

    (a) POs are not NAFIs, so they are not entitled to the special 
immunities and privileges given NAFIs.
    (b) POs are not entitled to, and will not receive, DA endorsement by 
virtue of their contributions to the military installation, their 
espousal of DA goals and objectives, their support of the military 
community, or for any other reason.
    (c) There is no official relationship between PO activities and 
official duties and responsibilities of DOD personnel who are PO members 
or participants.
    (d) POs are not part of the military organization, so they receive 
only limited Government supervision.
    (e) POs operate on a financially and operationally self-sustaining 
basis, except for support authorized in chapter 4.
    (f) Neither the Federal Government nor its NAFIs have any vested 
interest in the assets of a PO. Nor will either make any claim to PO 
assets or incur or assume any obligation of a PO.
    (g) Installation commanders may acquire for the installation (under 
DA policy and applicable Federal laws) property--
    (1) Abandoned by a PO due to its disestablishment.
    (2) Given to the installation by the PO. (See AR 1-100.)
    (h) POs will follow all laws governing comparable private sector 
activities. (See Sec. 556.13)
    (i) DA interest in the operations of POs is due only to their--
    (1) Location on DA installations.
    (2) Relationships with both the Federal and private sectors.
    (3) Activities that support recognized programs that benefit the DOD 
family.
    (4) Responsibilities as employers.



Sec. 556.8  Restrictions.

    (a) No PO will use or include in its title, logo, or letterhead--
    (1) The name or seal of DOD or the acronym ``DOD.''
    (2) The name, abbreviation, or seal of any military department or 
Service.
    (3) The seal, insignia, or other identifying device of the local 
installation. The installation commander may authorize an exception to 
this restriction if clear identification is needed, provided official 
DOD sponsorship or endorsement is neither stated nor implied.
    (b) Activities of POs will in no way prejudice or discredit DOD 
components or other agencies of the Federal Government.
    (c) A PO will not duplicate or compete with a NAFI or APF 
governmental function on a DA installation.
    (d) All PO functions and expenditures must be authorized by the 
local PO's constitution by bylaws. Only the PO will choose its specific 
functions and expenditures. DOD personnel acting in an official capacity 
will not influence these choices.
    (e) A PO will not be created, operated, or administered by DOD 
personnel acting in an official capacity or on behalf of an official 
purpose to evade restrictions on expenditures of APFs or NAFs.
    (f) A PO will not be created, operated, or administered for a 
commercial purpose.
    (g) POs will not engage in the resale of alcoholic beverages at any 
time.



Sec. 556.9  PO employment and membership practices.

    (a) POs must follow all labor laws that apply to private sector 
employment. POs will not be allowed to operate on DA installations if 
their employment practices discriminate based on--

[[Page 363]]

    (1) Sex, age, religion, race, color, national origin, or marital 
status;
    (2) Lawful political affiliation;
    (3) Labor organization membership; or
    (4) Physical handicaps.
    (b) POs will not discriminate in membership on the basis of race, 
color, sex, national origin, or religion. This does not preclude the 
existence of religious, cultural, or ethnic POs when--
    (1) Their membership is not restricted or discriminatory;
    (2) Similar religious, cultural, or ethnic POs are approved without 
preference.
    (c) The installation commander may approve the operation of certain 
POs that restrict membership to one sex. One or more of the following 
must apply:
    (1) The PO's purpose if philanthropic and, by tradition, its 
membership has been of one sex.
    (2) The PO's purpose and function is to benefit one sex, and its 
membership is composed of that sex. (Examples are scouting organizations 
or women's and men's sports associations.)
    (3) The PO has a specific purpose and function that restricts 
membership to one sex, but also has a counterpart organization with the 
same purpose and function. (Examples are women's and men's sports clubs, 
women's and men's civic associations, boy/girl scouting organizations.)
    (d) PO membership compaigns and recruitment practices will neither 
involve nor give the appearance of involving compulsion, coercion, or 
influence. (See AR 600-50 and AR 600-20.) Prohibited activities include 
the following:
    (1) Repeated petitions, orientations, or counseling of persons who 
have chosen not to join a PO.
    (2) Use of membership statistics by supervisors to influence 
nonmembers.
    (3) Compilation of by-name lists of nonmembers.



Sec. 556.10  Insurance.

    (a) When appropriate, POs will obtain adequate insurance as 
protection against public liability claims, property damage claims, or 
other legal actions arising from activities of the PO, or one or more of 
the PO's members acting on its behalf.
    (b) Insurance will be appropriate when PO activities or functions 
expose the public to possible risk.
    (c) Insurance (such as fidelity or fire insurance) of PO assets is 
the responsibility of each PO.



Sec. 556.11  Audit.

    POs with gross annual revenue of $1000 or more will be audited at 
least once every 2 years. The following provisions apply:
    (a) POs using a double entry accounting system, regardless of source 
of income over $1000, will be audited by a qualified auditor. (See 
definition in glossary.)
    (b) POs using a single entry accounting system will be audited as 
follows:
    (1) With income only from contributions dues, and assessments, by 
either a PO member who holds no office and is at least 18 years of age, 
or a qualified auditor.
    (2) When they engage in resale or fundraising activities, by either 
an appointed committee of three PO members who hold no offices, or a 
qualified auditor.
    (c) Type 2 POs with financial statements audited annually by their 
national headquarters may submit a copy of such an audit. If not audited 
by their national headquarters, the provisions of paragraphs (a) and (b) 
of this section.



Sec. 556.12  Taxes.

    POs must comply with all Federal, State, and local tax laws. POs 
must seek private counsel or contact proper tax officials to ensure 
compliance with all tax laws. POs located overseas will obtain a 
statement of clarification from the local office of the Staff Judge 
Advocate (SJA).
    (a) Federal income tax. Certain types of POs (for example, 
charitable, religious, educational, or scientific) may qualify for 
exemption from Federal income tax under section 501 of the Internal 
Revenue Code. Type 2 POs, in which national organizations control taxes 
for all local chapters, must provide a statement to this effect; it must 
be signed and notarized by the national headquarters. All other POs will 
obtain

[[Page 364]]

a statement of their tax status from their Internal Revenue Service 
(IRS) district office.
    (b) Federal income tax withholding for employees, Federal employee 
taxes, and reports on amounts paid. POs must comply with laws that apply 
and obtain guidance from private counsel or the IRS.
    (c) State and local sales, income, occupation, and employer taxes. 
Local law will determine whether POs--
    (1) Must comply with State and local tax requirements, or
    (2) Are exempt from State and local tax requirements.



Sec. 556.13  PO compliance with State or local laws.

    (a) Licensing, certification, or registration with State or local 
authorities may be required for POs engaging in certain activities such 
as raffles or insurance operations. In approving a permit to operate, 
the installation commander will decide whether the PO should request a 
written statement from State or local commissions as to how State laws, 
local laws, or other requirements apply. The commander will consult with 
the local SJA office in making this decision.
    (b) POs are not exempt from State or local law because they operate 
on Federal property. This regulation does not require licensing, 
certification, or registration of PO activities unless specifically 
required by State or local authorities. The licensing requirement 
applies only in the State containing the Federal property in which the 
PO operates.



      Subpart C--Requirements and Procedures for On-Post Operation



Sec. 556.14  Overview.

    The following procedures apply to all POs subject to this 
regulation, except as discussed in Secs. 556.15 and 556.16.
    (a) Operating permit. All POs that operate on DA installations must 
have an operating permit. POs seeking a permit to operate on a DA 
installation must apply in writing to the installation commander.
    (b) Documentation. (1) Application for a permit will include--
    (i) A charter, articles of agreement, constitution, or bylaws. (See 
sample format at figure C-1 in Sec. 556.15.) Private organizations not 
using one of these documents in the standard format must ensure that all 
required information is submitted to the installation commander; the PO 
may provide a separate document, in conjunction with a charter, articles 
of agreement, constitution, or bylaws, which completes all information 
required by this paragraph.
    (ii) Any other documentation that states the PO's nature, functions, 
objectives (including planned use of funds), and activities.
    (2) Application documentation will--
    (i) Define membership eligibility. (The majority of membership will 
be composed of the DOD family.)
    (ii) Set forth responsibilites for all management functions. These 
functions include accountability of assets, coverage and limitation of 
insurance, and disposition of remaining assets upon breakup of the PO.
    (iii) Include a statement of the PO's liability if assets are not 
enough to cover all PO liabilities. The statement of liability will meet 
all State and jurisdictional laws; it will also address the extent of PO 
members' personal liability for debts of, or claims against, the PO. 
State laws governing the liability of national headquarters of type 2 
POs generally apply to all local chapters unless specifically superseded 
by laws of States where local chapters are established.
    (3) To operate on a DA installation, type 2 POs must meet the 
requirements of both their national headquarters and this regulation.
    (c) Revalidation. All POs must have their operating permits 
revalidated every 2 years. Requests for revalidation of operating 
permits will be submitted to the installation commander 90 days before 
the current permit expires. The letter of application will request 
continued operation and will include any major changes in PO activities, 
objectives, organization, or changes in its constitution, bylaws, and so 
forth. If revalidation is not obtained, the current permit automatically 
expires 2 years from the date of last approval. Commanders will 
establish suspense

[[Page 365]]

dates for each PO to seek revalidation and will notify POs of these 
dates.
    (d) Installation review. Installation commanders will review all PO 
documentation for both initial permission to operate and for 
revalidation of operating permits. Approval will be granted or denied 
based on this review. Approval of an initial or revalidation request 
will permit a PO to operate on the installation for 2 years. The 
installation commander may revoke permission to operate at any time 
during the 2-year period. Written approval will include a statement 
freeing the installation from any liability of the PO. Installation 
commanders' reviews of PO applications will ensure the following:
    (1) PO income will not personally profit individual members, except 
through--
    (i) Salaries as employees of the PO; or
    (ii) Payment for services rendered.
    (2) As an exception, the installation commander may authorize an 
investment club that satisfies all other provisions of this regulation.
    (3) PO income will be used to pay operating expenses; expenses 
include charitable contributions by the PO and competitive awards to PO 
members or installation personnel.
    (e) Reporting requirements. (1) POs will supply the following to the 
installation commander:
    (i) Minutes of PO meetings. POs will submit minutes or summaries of 
meetings, if required by the installation commander.
    (ii) Financial statements. POs with gross annual revenue of $1000 or 
more will submit annual financial statements to the installation 
commander. (The installation commander may require more frequent 
submission.) Annually, installation commanders will send financial 
statements of POs whose gross annual revenue exceeds $100,000 to their 
major Army command (MACOM).
    (iii) A copy of audit reports.
    (iv) A copy of tax status, if required.
    (v) A copy of correspondence concerning applicability of State or 
local laws. (See Sec. 556.13.)
    (2) Installation commanders will keep a current file on each PO. It 
will contain the latest copy of--
    (i) All reports submitted by the PO, as stated in paragraph (e)(1) 
of this section.
    (ii) The PO's charter, constitution, bylaws, articles of agreement, 
and so forth. (POs will keep installation commanders informed of changes 
in officers or points of contact.)
    (iii) The PO's request for a permit to operate or for revalidation, 
and a copy of the installation commander's letter of approval.
    (iv) The PO checklist, contained in DA Circular 11-88-1, will be 
completed per guidance in AR 11-2.
    (f) Termination of PO operation. A PO may be discontinued by--
    (1) The membership; or
    (2) The installation commander, who may withdraw permission to 
operate on the DA installation at any time.



Sec. 556.15  Recreational and educational POs.

    Certain POs may operate on DA installations as extensions of APF or 
NAF recreational or educational activities. Such POs need not fulfill 
the procedural requirements of Sec. 556.14, although they are subject to 
all other provisions of this regulation. The operation of these POs on 
the installation requires the approval of the installation commander, 
who will prescribe local guidance for them. Examples of these POs are--
    (a) Bowling leagues, little league organizations, and other 
recreational POs supervised by the director of community recreation.
    (b) Those POs formed and operated in conjunction with installation 
dependent schools under the administrative supervision of a member of 
the school faculty. (Examples include, but are not limited to, school 
drama clubs, yearbook funds, language clubs, National Honor Societies, 
and Keyettes or Keys.)



Sec. 556.16  Standardized documentation.

    (a) The national constitution, standard bylaws, charter, or articles 
of agreement of type 2 POs listed in table C-1 have been reviewed by 
CFSC-AE-P and found to meet all requirements of this regulation. 
Inclusion in this list does not imply official DA sanction, endorsement, 
or sponsorship of these

[[Page 366]]

POs. National headquarters of other type 2 POs may submit their national 
constitutions, bylaws, and so forth, for review and possible inclusion 
in table C-1 by sending a complete copy to Commander, CFSC, ATTN: AE-P, 
Alexandria, VA 22331-0507. Affiliated chapters of the POs listed in 
table C-1 may fulfill the requirements of Sec. 556.14(b) by the 
following procedures:
    (1) Local chapters will submit a letter to the installation 
commander requesting a permit to operate.
    (2) The letter will contain--
    (i) A statement of the charter's standing with the national 
organization.
    (ii) A statement that the standard chapter bylaws prescribed by the 
national headquarters have been adopted without change. Any changes made 
by the local chapter will require review by the installation commander.
    (iii) A statement of the intended scope and substance of chapter 
activities.
    (3) Local chapters must also provide a copy of the national 
constitution, bylaws, charter, or articles of agreement. Installation 
commanders will use these in reviewing PO operations for compliance with 
the policies in Sec. 556.8.
    (b) While completing procedures in paragraph (a) (1), (2), and (3) 
of this section satisifies the requirements of Sec. 556.14 (a) and (b) 
local chapters are still subject to revalidation and reporting 
requirements as contained in Sec. 556.14 (c) and (e).

             Table C-1.--Type 2 POs With DA-Reviewed Bylaws             
------------------------------------------------------------------------
                                    Address of national    Federal tax  
       Name of organization            headquarters           exempt    
------------------------------------------------------------------------
Association of the United States   2425 Wilson           Yes.           
 Army.                              Boulevard,                          
                                    Arlington, VA 22201-                
                                    3326.                               
Noncommissioned Officers           International HQ      Yes.           
 Association.                       Complex, P.O. Box                   
                                    33610, San Antonio,                 
                                    TX 78265-3610.                      
United States Army Warrant         P.O. Box 3765,        Yes.           
 Officers Association.              Washington, DC                      
                                    20007-0265.                         
Society of Logistics Engineers...  303 Williams Avenue,  Yes.           
                                    Suite 922,                          
                                    Huntsville, AL                      
                                    35801-6061.                         
Armed Forces Broadcasters          P.O. Box 12013,       Yes.           
 Association.                       Arlington, VA 22209-                
                                    0013.                               
Veterans of Foreign Wars of the    VFW Building, 406     Yes.           
 United States.                     West 34th Street,                   
                                    Kansas City, MO                     
                                    64111-0001.                         
Armed Forces Communications and    4400 Fair Lakes       Yes.           
 Electronics Association.           Court, Fairfax, VA                  
                                    22033-3899.                         
Reserve Enlisted Association of    P.O. Box 2836,        Yes.           
 the United States.                 Washington, DC                      
                                    20013.                              
National Defense Transportation    727 N. Washington     Yes.           
 Association.                       Street, Suite 200,                  
                                    Alexandria, VA                      
                                    22314-1976.                         
American Military Members          8610 Broadway, Suite  Yes.           
 Association of the United States   217, San Antonio,                   
 of America.                        TX 78217-6354.                      
------------------------------------------------------------------------

                Figure C-1. Sample of a Format for Bylaws

                                 BYLAWS

                                ARTICLE I

                      Organization Name and Purpose

                               ARTICLE II

                           General Provisions

(Include all statements required by this regulation such as the 
statement of personal liability and licensing/registration of activities 
required by law [for raffles, insurance resale, and so forth]. Any 
documentation, such as a license or certificate of registration, should 
be attached and noted in this section.)

[[Page 367]]

                               ARTICLE III

                                 Policy

                               ARTICLE IV

                               Membership

                                ARTICLE V

                       Officers and Governing Body

                               ARTICLE VI

                           Duties of Officers

                               ARTICLE VII

                          Elections and Voting

                              ARTICLE VIII

                           Standing Committees

                               ARTICLE IX

                           Method of Financing

                                ARTICLE X

                                  Taxes

                               ARTICLE XI

                           Insurance Coverage

                               ARTICLE XII

                          Meetings and Quorums

                              ARTICLE XIII

                               Activities

                               ARTICLE XIV

                            Awards and Gifts

                               ARTICLE XV

                               Dissolution

(Include the following paragraph: ``If the organization is dissolved, 
all funds in the treasury at the time will be used to meet any 
outstanding debts, liabilities, or obligations. The balance of these 
assets will be disposed of as determined by the membership.'')
Approved by Majority Vote on......................................(date)
 (Signed)_______________________________________________________________
 President______________________________________________________________

 (Signed)_______________________________________________________________
 Secretary______________________________________________________________



                     Subpart D--Support and Services

                                 Funding



Sec. 556.17  Overview.

    (a) POs subject to this regulation will be self-sustaining except 
for limited logistical support that may be granted by installation 
commanders. (See Logistical Support and Services of this subpart) Funds 
will be obtained through dues, contributions, service charges, fees, or 
special assessment of members.
    (b) Neither APFs nor NAFs are authorized to transfer any monies or 
other assets to any PO, including the Boy Scouts and Girl Scouts, by 
means of contributions, dividends, or other distributions, except as 
provided by statute. (See section 155, title 10, United States Code 
(U.S.C.) (10 U.S.C. 115).)



Sec. 556.18  Resale and fundraising activities.

    (a) POs will not engage in on-post resale and fundraising activities 
unless the installation commander authorizes--
    (1) Thrift shop sales of used clothing and used or handcrafted 
merchandise; net proceeds of such sales will be donated as specified in 
Sec. 556.18(b)(2)(iii) of this section.
    (2) Museum gift shop sales of items related to museum activities per 
AR 870-20.
    (3) Occasional fundraising activities such as dances, car washes, 
cake raffles, bazaars, or other special events. All POs will comply with 
State codes requiring licensing for raffles; PO-sponsored raffles will 
not be permitted in States that prohibit them. Occasional sales for 
fundraising purposes within the continental United States (CONUS) will 
offer only the services and merchandise listed in AR 60-20, appendixes B 
and C.
    (b) Exceptions to the continuing resale prohibition may be granted--
    (1) By the installation commander as follows:
    (i) Sales are restricted to PO members.
    (ii) Merchandise sold is related directly to the purpose of the PO.
    (iii) The Army and Air Force Exchange Service (AAFES) and other 
installation NAFIs state in writing an inability to meet the resale 
requirement.
    (2) By major Army commanders as follows:
    (i) Sales are not restricted to PO members and merchandise is not 
directly related to the PO's purpose.

[[Page 368]]

    (ii) AAFES and other installation NAFIs state in writing an 
inability to meet the resale requirement.
    (iii) Net proceeds from sales are donated by the PO to--
    (A) The installation to support its morale, welfare and recreation 
(MWR) and other community and family support activities, scholarship 
funds, or installation hospitals, schools, museums, and so forth.
    (B) Local off-post hospitals, museums, libraries, and other 
community organizations used by, and of direct benefit to, the 
installation community. (Donations do not include proceeds used to cover 
the PO's expenses in providing such sales.)
    (c) A copy of MACOM approval for such operations will be sent to 
Commander, CFSC, Attn: AE-P, Alexandria, VA 22331-0507.

                                Personnel



Sec. 556.19  Exclusions.

    Neither soldiers nor DA employees (APF or NAF) will, as an official 
duty, be assigned to work for POs.



Sec. 556.20  Permissive temporary duty (TDY).

    Installation commanders may authorize permissive TDY for active duty 
military personnel to support national Scouting organizations per AR 
630-5, paragraph 12-4(e).



Sec. 556.21  Special events.

    Installation commanders may authorize the use of military personnel 
and APF or NAF civilians to support special events that may benefit POs. 
The use of such personnel is only to prepare installation facilities and 
grounds for the event. The following conditions must be met:
    (a) The commander must approve the special event (such as a fair, 
bazaar, or picnic) to be conducted on the installation.
    (b) The event must benefit or enhance the morale of the installation 
DOD family.
    (c) The event must be open to all members of the installation DOD 
family.
    (d) The event must not compete with resale activities of the 
installation's MWR and other community and family support programs 
unless authorized, on an exception basis, by the installation commander.
    (e) The event must not state or imply endorsement of a PO or 
specific commercial goods or services.

                     Logistical Support and Services



Sec. 556.22  Overview.

    The amount and type of support authorized for a PO depends on the 
authority under which the PO is organized.
    (a) For type 1 POs governed by other directives (see 
Sec. 556.5(a)(1)) support is authorized as stated in those directives.
    (b) For support for all other POs, Secs. 556.23 through 556.30 will 
be followed. (For POs on Army Reserve Centers requesting use of space 
and facilities, see AR 140-488.)
    (c) Under the provisions of AR 37-60, paragraphs 9-6 and 9-8, 
installation commanders may waive or reduce charges to nonprofit POs for 
any of the support elements listed in paragraph 9-3 of that publication. 
This applies only to support provided to a PO on an occasional or 
nonrecurring basis.
[55 FR 27104, June 29, 1990, as amended at 55 FR 32243, Aug. 8, 1990]



Sec. 556.23  Use of space and facilities.

    Most POs require space only for periods of time necessary to conduct 
regular organizational meetings or for other occasional or nonrecurring 
PO-sponsored events. Installation commanders may grant use of space to 
include utilities, in-place equipment, and janitorial supplies used 
without charge when it is incidental to other uses of the facility. PO 
use of space is governed by AR 405-80. Specific provisions are as 
follows:
    (a) Use of space or facilities under license agreement. Use may be 
granted by means of a revocable-at-will license and will be defined as 
occasional, nonregular, regular part-time, or full-time use of space, 
and will not contain any of the terms in paragraph (b) of this section. 
Commanders will determine whether or not the license will be on a rent-
free basis. POs have no property rights when use of space is granted

[[Page 369]]

under a license agreement. Specifically, such use--
    (1) Entails use of space that may be recalled at any time by the 
installation commander without prior notice to the PO.
    (2) Involves no lease agreement between the PO and the installation.
    (3) Permits storage of equipment and supplies provided that such 
storage does not interfere with, nor restrict, the normal use of the 
facility by other users.
    (b) Use of space and facilities under lease agreement. Use of space 
under a lease agreement will be defined as the guaranteed sole use of 
space or a facility on a full-time basis; guaranteed use of space for a 
specific period of time; or storage of in-place equipment or supplies 
that impairs or restricts normal use of the facility by other users. POs 
have certain property rights when use is granted under a lease 
agreement. Specifically, such use--
    (1) Guarantees facility use for a specific period of time. 
Termination of the lease agreement requires a 30-day notice except in 
times of national emergency.
    (2) Requires a lease agreement between the PO and the U.S. 
Government. This lease protects the PO's use of the facility based upon 
other conflicting installation priorities and requirements.
    (3) Requires payment for use of space and facilities under a lease 
agreement.
    (i) Rent for use of space in CONUS will be set by the district 
engineer.
    (ii) Rent outside the continental United States (OCONUS) will be set 
by installation commanders per host country Status of Forces Agreements, 
treaties, or other agreements under which the Army controls such real 
estate.
    (c) Exceptions. At the discretion of the installation commander:
    (1) Nonprofit thrift shops and museum foundation POs may be granted 
use of space by means of a rent-free, revocable-at-will license.
    (2) On-post youth group POs (Scouts, little league, and so forth) 
may be granted revocable-at-will licenses for one-time, intermittent, or 
continuing use of available meeting facilities. (See AR 405-80.)
    (d) Use by veterans' organization. AR 405-80 authorizes major Army 
commanders to lend certain real property (including unoccupied barracks) 
to veterans' organizations for use at--
    (1) State or national conventions; or
    (2) National youth athletic or recreational tournaments sponsored by 
veterans organizations.



Sec. 556.24  Equipment.

    POs must furnish or procure equipment, supplies, and other materials 
at their own expense.
    (a) Government-owned equipment may be loaned or rented to a PO; 
however, such equipment must be directly related to the purpose and 
function of the PO.
    (b) APFs and NAFs will not be used to repair equipment owned by, or 
loaned to, tenant POs unless a request is approved by the installation 
commander for the PO to reimburse the installation for such repairs.
    (c) Audio-visual hardware and software may be used by POs when not 
in use for official purposes. (See AR 108-2.)



Sec. 556.25  Transportation.

    All transportation support provided to POs will be on a reimbursable 
basis per AR 58-1, per the provisions of AR 37-60 (see Sec. 556.22) to 
include all operations and maintenance costs associated with providing 
this service. The installation commander will ensure that transportation 
made available to POs neither is detrimental to the command mission nor 
generates requirements for additional military vehicles. Specific 
provisions follow:
    (a) In CONUS, the commander may authorize reimbursable military bus 
service in support of PO-sponsored or co-sponored special events on 
post, if other conditions of section 556.21 (1) and (b) are met.
    (b) At OCONUS locations, military buses may be authorized on a 
reimbursable basis to support special events conducted at non-military 
sites.



Sec. 556.26  Utilities.

    All POs will reimburse the installation for utilities except when 
not required under Sec. 556.22.

[[Page 370]]



Sec. 556.27  Printing and copying services.

    POs may obtain printing or copying services from Government printing 
plants on a reimbursable basis according to the provisions of 
Sec. 556.22(c).



Sec. 556.28  Postal support.

    POs will not use appropriated fund postage or the Military Postal 
Service (MPS) except as shown in table D-1. Questions regarding postal 
support to POs will be directed to HQDA (MPSA-ZA), ALEX VA 22331-0600.

                 Table D-1.--Use of APF Postage and MPS                 
------------------------------------------------------------------------
                                             AFP               MPS      
------------------------------------------------------------------------
Type 1--federally sanctioned:                                           
  Organizations.....................                                    
  Banks.............................  No \1\..........  Yes.\2\         
  Credit unions.....................  No..............  Yes.\2\         
  Labor organizations...............  No..............  Yes.\3\         
  Association of Managers and         No..............  Yes.\3\         
   Supervisors.                                                         
  United Service Organization.......  No..............  Yes.\4\         
  Red Cross.........................  No..............  Yes.\4\         
  United Seamen's Service...........  No..............  Yes.\3\         
  DOD Component relief/aid            Yes \5\.........  Yes.            
   organizations.                                                       
  Civil Air Patrol..................  Yes \6\.........  N/A.            
  Youth organizations...............  No..............  Yes.            
Other type 1........................  No..............  Yes.\3\         
Type 2--affiliated..................  No..............  Yes.\3\         
Type 3--independent:                                                    
  All type 3 POs....................  No..............  Yes.\3\         
------------------------------------------------------------------------
Notes:                                                                  
                                                                        
1. Only when using APF postage of the overseas U.S. Army Central Finance
  and Accounting Office for currency shipments to CONUS. Shipments      
  within the overseas theater will include the words ``DOD Official     
  Intra-theater Mail'' where the postage normally would be placed.      
2. Use of MPS is authorized outside CONUS only where there is no U.S.   
  Postal Service (USPS). Use will be limited to transactions arising    
  from official operations for the benefit of the military installations
  and their personnel. All such mail entered into the MPS will bear     
  proper postage.                                                       
3. MPS privileges are authorized outside CONUS only as follows: Where   
  there is no USPS; if existing MPS facilities and personnel of the     
  command permit; if the major overseas commander determines, and the   
  MPS agency concurs, that local civil postal service is inadequate; and
  if the host government does not object.                               
4. Use of MPS is authorized outside CONUS only where there is no USPS.  
5. When a U.S. Army organization is acting on behalf of these           
  organizations.                                                        
6. Use of USAF indicia authorized per HQ USAF (AF/DAAC(S)).             



Sec. 556.29  Other services.

    POs may not use installation auditing, data processing, financial 
management, legal, purchasing, or other similar services. POs must 
obtain such support at their own expense, except in those instances when 
necessary for the installation commanders to perform their oversight 
responsibilities.



Sec. 556.30  Type 2 POs operating overseas.

    Limited logistical support specified in AR 700-32 may be provided, 
on a reimbursable basis, to type 2 POs that are chartered to provide 
programs relating to the religious, social, welfare, and educational 
needs of active duty military personnel and their family members.
    (a) Subject to Status of Forces or other country-to-country 
agreements, such support may include:
    (1) Transportation services on a reimbursable basis.
    (2) Commissary and exchange privileges.
    (3) Armed forces postal services overseas (DODD 4525.6).
    (4) Hospitalization, medical, and dental care on a reimbursable and 
space available basis, as determined by the medical treatment facility 
commander.
    (5) Recreational facilities.
    (6) Dependents' schools on a reimbursable and space-available basis.
    (7) Utilities for facilities used in providing services to armed 
services personnel.
    (8) Military banking facilities (MBFS) operated under DOD contracts.
    (b) Before additional support is provided, the following is 
required:
    (1) Local chapters in overseas areas must submit an application to 
the installation or community commander where they have been given 
permission to operate. The application will state specific support 
elements desired with reasons why the PO considers such support to be 
appropriate. If accepted, the local commander will endorse and forward 
the application to the MACOM.
    (2) The endorsement will cite the services, programs, and activities 
being received from the PO that warrant special consideration for the 
PO; that the additional support authorized can be provided; and an 
estimate of the additional or nonroutine costs for providing that 
support.
    (3) Application will be processed through command channels to CFSC-
AE-P and will be evaluated at each level. If appropriate, HQDA will 
forward the application to the Office of the Secretary of Defense (OSD), 
which

[[Page 371]]

may enter into a Memorandum of Understanding (MOU) with the local PO's 
national headquarters.
    (4) When finalized, the MOU will detail the maximum level of support 
to be extended to all of the affiliated chapters, regardless of overseas 
locations. Support will not be provided until HQDA notification of 
approval and implementing instructions are provided to MACOMs concerned.



    Subpart E--Participation in Activities of Private Organizations 
                             (Associations)



Sec. 556.31  Scope.

    (a) This chapter specifies policy for official participation by DA 
agencies, commands, and personnel in the activities of private 
organizations, societies, and associations, including technical and 
professional societies that operate on- or off-DA installations.
    (b) The following provisions do not apply to DA military or civilian 
personnel participating in POs as individuals, acting outside their 
official capacity as employees of the Federal Government. Such 
membership or participation is permissible as long as it complies with 
laws (including the Hatch Act and the Anti-Lobbying Act) and regulations 
that prohibit soldiers and civilian employees from engaging in 
activities inconsistent with their Federal employment. (See AR 600-50.)



Sec. 556.32  Limitations.

    (a) Participation will be limited to the extent of DOD interest 
involved.
    (b) The favoring of one organization over another will be avoided.



Sec. 556.33  Official participation in POs.

    (a) The following situations will be avoided:
    (1) Unauthorized membership in a PO by the United States or its 
representatives. (See 24 Comp. Gen. 814; 31 Comp. Gen. 398; 32 Comp. 
Gen. 15.)
    (2) Participation in the management and control of POs, in an 
official capacity, without congressional authorization.
    (3) Participation in the determinations or conclusions of POs so as 
to suggest compliance by the Government without subsequent responsible 
administrative authority or congressional authorization.
    (4) If doubt exists as to whether membership of an agency is 
authorized in a particular PO, the case should be referred to HQDA 
(DAJA-AL) WASH DC 20310-2212 prior to acceptance of membership.
    (b) DA agencies may participate in activities of POs in the 
discussion of matters of mutual interest, subject to AR 600-50 and 
otherwise consistent with law, including anti-trust laws and laws 
relating to national security. An agency representative may vote 
verbally or in writing on issues presented for a vote, provided it is 
made clear to the PO that such vote indicates no more than the opinion 
of that representative. No vote so cast will be considered to bind DA or 
any DA agency, in any way, to a particular present or future course of 
action.
    (c) DA military and civilian personnel will not accept an honorary 
office or honorary membership in any trade or professional organization 
that includes in its membership business entities that are engaged in, 
or are attempting to engage in, providing goods and services to a 
component of DOD, including its NAFIs. An honorary office includes any 
office, whether termed honorary or not, when the selection for that 
office is on the basis of an official DA position or assignment.



Sec. 556.34  Permissive TDY.

    Permissive TDY for the attendance of military and civilian personnel 
at PO meetings will be per AR 1-211.

                   Appendix A to Part 556--References

    Required Publications. A required publication is a publication which 
the reader must have in order to understand the publication.

                                AR 1-211

    Attendance of Military and Civilian Personnel at Private 
Organization Meetings. (Cited in Sec. 556.34.)

                                AR 37-60

    Pricing for Materiel and Services. (Cited in Sec. 556.22(c).)

[[Page 372]]

                                 AR 58-1

    Management Acquisition and Use of Administrative Motor Vehicles 
(Cited in Sec. 556.29.)

                                AR 60-20

    Army and Air Force Exchange Service (AAFES) Operating Policies. 
(Cited in Sec. 556.18(a).)

                                AR 405-80

    Granting Use of Real Estate. (Cited in Sec. 556.23.)

                                AR 600-20

    Army Command Policy and Procedures. (Cited in Sec. 556.9(d).)

                                AR 600-50

    Standards of Conduct for Department of the Army Personnel. (Cited in 
Secs. 556.6(c), 556.9(d) and 556.31.)

                                AR 700-32

    Logistic Support of United States Nongovernmental, Nonmilitary 
Agencies and Individuals in Overseas Military Commands. (Cited in 
Sec. 556.30.)

                                AR 870-20

    Museums and Historical Artifacts. (Cited in Sec. 556.18(a).)

                          Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand this regulation.

                                AR 1-100

    Gifts and Donations.

                                 AR 11-2

    Internal Control Systems.

                                AR 108-2

    Army Training and Audiovisual Support.

                                AR140-488

    Licenses to Use Army Reserve Facilities.

                                AR 190-30

    Military Police Investigations.

                                AR 210-24

    Credit Unions.

                               AR 210-135

    Bank and Credit Unions on Army Installations.

                                AR 215-1

    Administration of Army Morale, Welfare, and Recreation Activities 
and Nonappropriated Fund Instrumentalities.

                                AR 215-2

    The Management and Operation of Army Morale, Welfare and Recreation 
Programs and Nonappropriated Fund Instrumentalities.

                                AR 360-61

    Community Relations.

                                AR 630-5

    Leave and Passes.

                                AR 700-83

    Army Support of United Seamen's Service.

                                AR 930-1

    Army Use of USO Services.

                                AR 930-4

    Army Emergency Relief.

                                AR 930-5

    American National Red Cross Service Program and Army Utilization.

                                AFR 46-6

    Support for Civil Air Patrols.

                              DODI 1000.15

    Private Organizations on DOD Installations.

                               DODD 5500.2

    Policies Governing Participation of Department of Defense Components 
and Personnel in Activities of Private Associations.

                               DODD 5500.7

    Standards of Conduct.

                               DODD 4525.6

    Single Manager for Military Postal Service.

Appendix B to Part 556--Classification System for Private Organizations 
                           by Type and Subtype

(The list is not inclusive.)

B-1. Types of private organizations

    a. Type 1--federally sanctioned.
    b. Type 2--affiliated.
    c. Type 3--independent.

B-2. Subtypes of private organizations

    a. Financial institutions.
    b. Community services, fraternal/benevolent.

[[Page 373]]

    c. Labor-management organizations.
    d. Sports, hobbies, crafts.
    e. Distaff service organizations.
    f. Youth groups.
    g. Professional, scientific, and management.
    h. Religious groups.

B-3. Examples of private organizations by type and subtype

    a. Type I--federally sanctioned. Subtypes are--
    (1) Financial institutions.
    (i) Banks.
    (ii) Credit unions.
    (2) Labor-management organizations.
    (i) Labor organizations.
    (b) Association of managers and supervisors.
    (3) Community service.
    (i) USO.
    (ii) Red Cross.
    (iii) United Seamen's Service.
    (iv) Component relief/aid organizations.
    (4) Youth groups.
    b. Type 2--affiliated. Subtypes are--
    (1) Professional, scientific, and management.
    (i) Engineering or scientific fraternities.
    (ii) Associations of active duty personnel.
    (iii) Nurses' guilds.
    (iv) Financial management associations.
    (v) Personnel management organizations.
    (2) Sports, hobbies, crafts.
    (i) Affiliated hobby/craft groups.
    (ii) Sports Officials' Association.
    (3) Community service.
    (i) Veterans organizations.
    (ii) Parent Teachers Association.
    (iii) Surviving spouse/parent organizations.
    (iv) Ethnic group affiliations.
    (v) Reserve and retired associations.
    (vi) Affiliated community service clubs.
    (4) Religious groups.
    (i) Altar guild society.
    (ii) Guilds.
    (iii) Religious youth organizations.
    (5) Youth organizations.
    (i) Junior Army Navy Guild Organizations (JANGO)
    (ii) 4-H Clubs.
    (iii) Scouting organizations.
    (iv) Little league.
    (6) Other affiliations.
    c. Type 3--independent. Subtypes are--
    (1) Sports, hobbies, and crafts.
    (i) Model clubs.
    (ii) Stamp, coin, other collectors.
    (iii) Theater and dance guilds.
    (iv) Fish and game clubs.
    (v) Golf leagues.
    (vi) Bowling leagues not affiliated with national organizations. 
(Note: DOD has waived requirement for nationally affiliated bowling 
leagues to become private organizations under this regulation.)
    (vii) Investment clubs.
    (2) Youth organizations.
    (i) Contemporary age clubs (teens, and so forth).
    (ii) Youth sports/recreation clubs.
    (3) Professional, scientific, management. Local, independent, 
unaffiliated organizations.
    (4) Community service.
    (i) Thrift shops.
    (ii) School booster clubs.
    (iii) Local ethnic groups.
    (iv) Museum associations and foundations.
    (v) Social problem study groups.
    (5) Auxiliary organizations.
    (i) Spouses' or wives' clubs (may include thrift shop operations).
    (ii) National origin clubs.
    (6) Religious. Local, independent, unaffiliated organizations.

                                Glossary

                              Abbreviations

AAFES. Army and Air Force Exchange Service
ACS. Army Community Services
AFR. Air Force Regulation
APF. Appropriated funds
CFSC. U.S. Army Community and Family Support Center
CONUS. Continental United States
CPR. Civilian Publication Regulation
DA. Department of the Army
DCSPER. Deputy Chief of Staff for Personnel
DOD. Department of Defense
FPM. Federal Personnel Manual
HQDA. Headquarters, Department of the Army
IRS. Internal Revenue Service
MACOM. Major command
MBFS. Military banking facilities
MOU. Memorandum of Understanding
MPS. Military Postal Service
MWR. Morale, welfare and recreation
NAF. Nonappropriated funds
NAFI. Nonappropriated fund instrumentality
OCONUS. Outside the continental United States
OSD. Office of the Secretary of Defense
POs. Private Organizations
SJA. Staff Judge Advocate
TDY. Temporary duty
USPS. United States Postal Service

                                  Terms

    Audit. An official examination, verification, and correction of 
account books that shows the financial status of a PO.
    DA installation. A location, facility, or activity assigned to, 
owned, leased, controlled, or occupied by DA.
    DOD family. A group consisting of--
    a. Active duty military personnel.
    b. Retired military members.
    c. Members of Reserve Components.
    d. Family members and surviving spouses of personnel in a. through 
c. above.

[[Page 374]]

    e. Local DOD civilian employees.
    4. Other civilians as authorized by major commanders and 
installation commanders.
    Double entry accounting system. A system in which both elements of 
each transaction (debits and credits) are--
    a. Recorded separately, and
    b. Recorded during the period of occurrence.
    Gross annual revenue. The total revenue of a PO, which includes 
income from--
    a. Sales of goods and services.
    b. Membership assessments or dues.
    c. Contributions and donations.
    d. Interest.
    Investment club. A membership that pools stated amounts of funds to 
invest in stock or other securities. Usually, group members pledge a 
regular amount to be paid into the club on a scheduled basis, for 
example, monthly and annually. Some clubs have a committee that gathers 
information on securities, selects the most promising, and recommends 
that the club invest in them. Other clubs rotate the investigatory 
responsibilities among all their members. Most require all members to 
vote for or against all investments, sales, exchanges, and other 
transactions.
    Nonappropriated fund instrumentality. An integral DOD organizational 
unit that performs an essential Government function. It acts in its own 
name to provide, or assists other DOD organizations in providing, MWR 
programs for military personnel and authorized civilians. It is 
established and maintained individually or jointly by the secretaries of 
the military departments. As a fiscal entity, it maintains custody of 
and control over its NAFs and contributes to the MWR programs of 
organizational entities. It is not incorporated under the laws of any 
State or the District of Columbia. It enjoys the legal status of an 
instrumentality of the United States.
    Nonappropriated funds. Cash and other assets received by NAFIs from 
sources other than monies appropriated by the Congress of the United 
States.
    Private organization. A self-sustaining, non-Federal entity 
constituted or established and operated by individuals acting outside 
any official capacity as officers, employees, or agents of the Federal 
Government or its instrumentalities. It may be incorporated or 
unincorporated. It may operate on or off DA installations; however, to 
operate on-post, the private organization must have the written consent 
of the installation commander or higher authority.
    Qualified auditor. An auditor qualified to hold grade UA/GS 9 (or 
local national equivalent grades) or above in civilian job series 510 or 
511, or public accountant or certified public accountant licensed by a 
State or other recognized licensing jurisdiction.
    Single entry accounting system. A simple system of recording 
transactions on a cash basis. No inventories or accounts receivable or 
payable are kept. (Often called a combination journal system.)
    Status of forces agreement. International agreement which defines 
status of guest forces while on the territory of the host country.

                                  Index

    References are to paragraph numbers except where specified 
otherwise. Definitions of technical terms are found in the Glossary.

AAFES, Section 556.18
Alcoholic beverages, Section 556.8
Boy Scouts, Sections 556.17, and 556.23
Charitable contributions, Section 556.17
Donations, Section 556.18
Property acquisition, Section 556.7
Raffles, Sections 556.13 and 556.18
Rent, Section 556.23

[[Page 375]]



                    SUBCHAPTER E--ORGANIZED RESERVES





PART 562--RESERVE OFFICERS' TRAINING CORPS--Table of Contents




Sec.
562.1  Purpose.
562.2  Applicability.
562.3  Definitions.
562.4  Objectives.
562.5  Policies.
562.6  Responsibilities.
562.7  Program information.
562.8  Army Advisory Panel on ROTC Affairs.

    Authority: 10 U.S.C. 2101-2111, unless otherwise noted.

    Source: 44 FR 51221, Aug. 31, 1979, unless otherwise noted.



Sec. 562.1  Purpose.

    This regulation gives policies for conducting the Army's Senior 
Reserve Officers' Training Corps (ROTC) Program.



Sec. 562.2  Applicability.

    This regulation applies to the program given at college level 
institutions and at the college level in military junior colleges.



Sec. 562.3  Definitions.

    The following terms apply to the Army's Senior Reserve Officers' 
Training Corps Program:
    (a) Academic year. A period covering two semesters, or the 
equivalent, in which a student should complete one-fourth of the 
baccalaureate degree requirements under a 4-year college curriculum, or 
one-fifth of the requirements under a 5-year curriculum. The vacation 
period or summer session which follows is not normally included.
    (b) Advanced camp. The advanced camp training period held on a 
military installation. This is part of the advanced course and normally 
attended between Military Science (MS)-III and MS-IV. (The Ranger camp 
is an acceptable alternate).
    (c) Advanced course. The Senior ROTC 2-year advanced course of study 
(MS-III and MS-IV), including advanced camp. This advanced study 
normally taken by the cadet during his/her junior and senior years in 
college (freshman and sophomore years in a military junior college 
(MJC)).
    (d) Basic camp. The 6-week ROTC training course held at a military 
installation. This course is normally taken before the applicant's 
junior academic year. It is a prerequisite to enrollment in the 2-year 
ROTC program.
    (e) Basic course. The 2-year senior ROTC basic course (MS-I and MS-
II) normally pursued by the cadet during freshman and sophomore years in 
college.
    (f) Branch material. Designation of a course of instruction designed 
to prepare the cadet for appointment as a commissioned officer in a 
specific branch of the Army. A branch material unit may offer training 
in one or more specific branches.
    (g) Cadet. A term applied to each enrolled member of the ROTC 
program, including alien students in MS-I or MS-II. As a grade of rank, 
this term applies only to advanced course cadets.
    (h) Four-year Senior ROTC Program. The 4-year Senior ROTC Program 
consisting of 4 years of military science (MS-I, -II, -III, and -IV), 
and ROTC advanced camp.
    (i) General military science (GMS). A ROTC instruction program to 
prepare a cadet for appointment as a commissioned officer in any branch 
of the Army for which he/she is qualified.
    (j) Military science (MS). The Senior ROTC curriculum which consists 
of two courses, the basic course (MS-I and MS-II) and the advanced 
course (MS-III and MS-IV).
    (k) Professor of Military Science (PMS). The academic and military 
title of the senior commissioned Army officer assigned to a Senior ROTC 
unit.
    (l) Region commander. The commanding general of a U.S. Army ROTC 
Region who is responsible for the operation, training, and 
administration of the ROTC program within his/her geographical area. 
Region commanders are located at:
    (1) US Army First ROTC Region, Fort Bragg, NC 28307.
    (2) US Army Second ROTC Region, Fort Knox, KY 40121.

[[Page 376]]

    (3) US Army Third ROTC Region, Fort Riley, KS 66442.
    (4) US Army Fourth ROTC Region, Fort Lewis, WA 98433.
    (m) ROTC ranger camp. The ranger course conducted by the US Army 
Infantry School for volunteer cadets. Those selected attend in lieu of 
advanced camp.
    (n) Two-year ROTC Program. A Senior ROTC Program of the same status 
as the 4-year program. It consists of the advanced course, preceded by 
basic camp as a qualifying step (in lieu of MS-I and MS-II).



Sec. 562.4  Objectives.

    The objectives of the ROTC program are to:
    (a) Attract, motivate, and prepare students with potential to serve 
as commissioned officers in the Regular Army or the US Army Reserve.
    (b) Understand the concepts and principles of military art and 
science.
    (c) Develop potential to lead and manage.
    (d) Understand other professions.
    (e) Develop integrity, honor, and responsibility.
    (f) Appreciate the need for national security. Attaining these 
objectives prepares students for commissions and establishes a basis for 
future professional development and performance in the Army.



Sec. 562.5  Policies.

    (a) The ROTC draws young men and women from all geographic areas and 
all strata of our country. It uses the many educational disciplines 
required for the modern Army. The ROTC ensures that men and women 
educated in a variety of American schools of higher learning are 
commissioned annually in the Army officer corps. In the future, the ROTC 
will continue to be the major source of newly commissioned officers for 
the Active Army, both Regular Army and Reserve forces. In addition, ROTC 
provides an advantage both to the Army and institutions of higher 
learning by assisting in the education of future Army Officers and 
providing a communication link between our military leaders and our 
developing students.
    (b) The Army Senior ROTC program is a cooperative effort, contracted 
between the Army and host institution to provide junior officer 
leadership in the interest of national security. The Army maintains a 
cordial and cooperative relationship with host institutions. The Army's 
goal is to continue to develop well-educated young men and women with 
potential as leaders in both civilian enterprise and national defense. 
The Army is receptive to valid criticism, regardless of source, as a 
means of maintaining a workable program. The right of orderly campus 
dissent is recognized. However, anti-ROTC activities which degrade and 
distort the Army image cannot be ignored. Consequently, the Army must 
look to its institutional hosts to provide campus support for the ROTC 
program.
    (c) The program meets changing educational philosophies and 
concepts. It gives a flexible course of study in the changing 
environment of the academic community. A curriculum in the ROTC program 
is not restricted to classroom teaching. Program objectives may be 
satisfied in a variety of ways. A program may include a curriculum of 
other than classroom instruction if: it provides stated learning 
results, it is adopted by the host institution as part of its 
curriculum, and it follows the program of instruction published by the 
US Army Training and Doctrine Command. The PMS has authority, subject to 
limits set by the region commander, to develop courses that accomplish 
program objectives of the host institution. Activities which are part of 
the host school's curriculum require the same degree of support as other 
elements of the curriculum. The goal of the ROTC program is to 
commission well-educated young men and women in the Army.
    (d) The PMS is responsible to see that each cadet realizes the 
importance of choice of branch preferences and what is involved in 
making an intelligent selection. Each graduating cadet by Army policy is 
assigned to the branch indicated by personal preference, academic major, 
physical qualifications, ROTC training, and demonstrated abilities, 
whenever possible. However, the assignment must be made by the needs of 
the service and may

[[Page 377]]

prevent selection based on the other factors. In assigning branches 
consideration is given to the cadet's academic specialization.



Sec. 562.6  Responsibilities.

    (a) The Commanding General, US Army Military Personnel Center, 200 
Stovall Street, Alexandria, VA 22332, is the adminstrator of the 
Department of the Army for ROTC.
    (b) The Commanding General, US Army Training and Doctrine Command, 
Ft. Monroe, VA 23651, manages and operates the ROTC program, except for 
those functions and responsibilities retained by Headquarters, 
Department of the Army.
    (c) The Professor of Military Science (PMS) is the key to the 
success of the ROTC program. He/she is responsible for setting up the 
Military Science Program to blend the philosophies of the institution 
with the needs of the Army.
[44 FR 51221, Aug. 31, 1979; 45 FR 9262, Feb. 12, 1980]



Sec. 562.7  Program information.

    (a) The Senior ROTC is conducted at military colleges, civilian 
colleges and universities and military junior colleges. School 
authorities may apply for a ROTC unit to the region commander of the 
area in which the school is located or to TRADOC. To be eligible for a 
unit, the institution must:
    (1) Be a 4-year degree granting college or university.
    (2) Be accredited by an appropriate regional accrediting association 
or accredited by a nationally recognized professional accrediting 
association.
    (3) Have an enrollment large enough to ensure that officer 
production requirements will be met.
    (4) Agree to--
    (i) Establish a Department of Military Science as an integral 
academic and administrative department of the institution.
    (ii) Adopt as part of the institution's curriculum either the 2- or 
4-year program (or both) of the senior ROTC.
    (iii) Require each cadet enrolled in any ROTC course to devote the 
number of hours to military instruction prescribed by the Secretary of 
the Army.
    (iv) Make available for use by the Senior ROTC unit necessary and 
adequate classrooms, administrative offices, office equipment, storage 
space, drill field, and other required facilities in a fair and 
equitable manner in comparison with other departments of the institution 
(or other elements of the institution, if the institution does not have 
departments) and to pay the costs of utilities and maintenance thereof.
    (v) Grant appropriate academic credit applicable toward graduation 
for successful completion of courses offered by the Department of 
Military Science.
    (vi) Arrange for the scheduling of military classes to make it 
equally convenient for students to participate in ROTC as in other 
courses at the same educational level.
    (vii) Include a representative of the Department of Military Science 
designated by the PMS on all faculty committees whose recommendations 
would directly affect the Department of Military Science.
    (viii) Provide, without expense to the Army, adequate storage and 
issue facilities for all Government property provided for the ROTC 
program, when the Army assumes accountability and responsibility for 
Government property. Adequate facilities will consist of safe, well-
lighted, dry, heated, ventilated areas, provided with office space, 
shelving, bins, clothing racks, and cabinets, as required, and suitable 
storage space for arms and ammunition. All windows will be securely 
barred or provided with heavy mesh screen, and doors will be reinforced 
and fitted with cylinder locks. Such facilities will be separate and 
apart from those occupied by any other department of the institution or 
other Government agency. Determination will be made by the region 
commander as to adequacy, safety, and satisfactory nature of storage and 
issue facilities.
    (5) Produce a minimum annual average of 15 qualified commissioned 
officers from each 4-year senior division unit or a combination of a 4- 
and 2-year senior division unit; or a minimum annual average of 10 
qualified officers from each 2-year senior division unit.
    (6) Comply with the following requirements:

[[Page 378]]

    (i) There will be no discrimination with respect to admission to the 
institution or subsequent treatment of students on the basis of race, 
color, or national origin.
    (ii) The senior commissioned officer of the ROTC unit at the 
institution will be given the academic rank of Professor.
    (b) Institutional authorities may, subject to approval of Department 
of the Army, elect to--
    (1) Administer a GMS unit or a branch material unit. Their 
preference will be given consideration, but the type of unit approved 
for establishment will be determined on the basis of the needs of the 
Army.
    (2) Administer the 4-year or the 2-year ROTC program, or both.
    (3) Maintain accountability and responsibility for Government 
property issued for the ROTC program by complying with the following 
requirements or apply for relief therefrom.
    (i) Appoint an officer of the institution as military property 
custodian who will be empowered to requisition, receive, stock, and 
account for Government property issued to the institution, and otherwise 
transact matter pertaining thereto for and in behalf of the institution.
    (ii) Conform to the regulations of the Secretary of the Army 
relating to issue, care, use, safekeeping turn-in and accounting for 
such Government property as may be issued to the institution.
    (iii) Comply with the provisions of law and regulations of the 
Secretary of the Army pertaining to the furnishing of a bond to cover 
the value of all Government property issued to the institutions, except 
uniforms, expendable articles, and supplies expendable in operation, 
maintenance, and instruction.
    (c) Students desiring enrollment in a unit must:
    (1) Be enrolled in and attending fulltime a regular course of 
instruction at a school participating in the program.
    (2) Be a citizen of the United States.
    (3) Be at least 17 years of age.
    (4) Be physically capable of participating in the program.



Sec. 562.8  Army Advisory Panel on ROTC Affairs.

    (a) The Army Advisory Panel on ROTC Affairs (AAP) was established on 
April 28, 1952. The AAP provides for a continuous exchange of views 
between the U.S. Army Training and Doctrine Command, the Department of 
the Army, and the academic community.
    (b) Membership is drawn from national educational associations, 
faculty members and administrators from ROTC host institutions and 
nationally prominent individuals.
    (c) The AAP meets as required, but not less than once annually and 
the meetings are open to the public.
[45 FR 39502, June 11, 1980]



PART 564--NATIONAL GUARD REGULATIONS--Table of Contents




                      Medical Attendance and Burial

Sec.
564.37  Medical care.
564.38  For whom authorized.
564.39  Medical care benefits.
564.40  Procedures for obtaining medical care.
564.41  Burial.

 Claims for Damages Involving the National Guard and Air National Guard

564.51  Purpose.
564.52  Statutory authority.
564.53  Definitions.
564.54  Claims payable.
564.55  Claims not payable.
564.56  Action by claimant.
564.57  Procedure.
564.58  Determination of amount allowable.

    Authority: Section 110, 70A Stat. 600; 32 U.S.C. 110.

                      Medical Attendance and Burial

    Source: Sections 564.37 through 564.41 appear at 44 FR 16385, Mar. 
19, 1979, unless otherwise noted.



Sec. 564.37  Medical care.

    (a) General. The definitions of medical care; policies outlining the 
manner, conditions, procedures, and eligibility for care; and the 
sources from which medical care is obtained are enumerated in AR 40-3.
    (b) Elective care. Elective care in civilian medical treatment 
facilities or

[[Page 379]]

by civilian medical and dental personnel is not authorized. The medical 
care authorized by this regulation is limited to that necessary for the 
treatment of the disease or injury incurred under the conditions 
outlined herein.
    (c) Prosthetic devices, prosthetic dental appliances, hearing aids, 
spectacles, orthopedic footwear, and orthopedic appliances. These items 
will be furnished--
    (1) By Army medical facilities. (i) When required in the course of 
treatment of a disease or injury contracted or incurred in line of duty.
    (ii) When required to replace items that have been lost, damaged, or 
destroyed while engaged in training under sections 502-505 of title 32, 
U.S.C., not the result of negligence or misconduct of the individual 
concerned.
    (2) By civilian sources. (i) Under the circumstances enumerated in 
paragraph (c)(1)(i) of this section, after approval of the United States 
Property and Fiscal Officer's (USPFO) of the respective States.
    (ii) Under the circumstances enumerated in paragraph (c)(1)(ii) of 
this section, in the case of prosthetic devices, prosthetic dental 
appliances, hearing aids, orthopedic footwear, and orthopedic appliances 
when the unit commander determines that:
    (A) Member is far removed from a Federal medical treatment facility.
    (B) Lack of such device would interfere with the individual's 
performance of duty as a member of the ARNG.
    (C) Approval must be obtained from the USPFO's of the respective 
States prior to replacement.
    (iii) Under the circumstances enumerated in paragraph (c)(1)(ii) of 
this section, in the case of spectacles upon a determination by the unit 
commander that:
    (A) The member is far removed from military medical treatment 
facility.
    (B) The member has no other serviceable spectacles.
    (C) Lack of a suitable pair of spectacles would interfere with the 
member's performance of duty as a member of the ARNG.
    (D) Charges for replacement of spectacles will not exceed the rates 
stated in AR 40-330. Charges for replacement or repair by civilian 
sources over and above the allowable rates will be paid from the 
individual's personal funds.
    (E) In cases covered by paragraphs (c)(2) (ii) and (iii) of this 
section, the unit commander will furnish a statement to support the 
voucher as follows:

    Statement

    Name------------, Rank------------, SSN------------, --------------
----------, ------------, while engaged in training under section *(502 
*(503) *(504) *(505) of title 32, United States Code sustained the 
*(loss) *(damage) *(destruction) of his/her spectacles ----------------
--------, description of loss, damage or destruction (type of lens and 
frames) not the result of misconduct or negligence on his/her part. The 
*(repair) *(replacement) would interfere with his/her performance of 
duty as a member of the Army National Guard. Date,------------, 
signature of unit commander------------.

    *Indicate applicable portions.

    (F) Approval must be obtained from the USPFO of the respective State 
prior to repair or replacement of spectacles.


(32 U.S.C. 318-320 and 502-505)



Sec. 564.38  For whom authorized.

    (a) In line of duty. Medical care is authorized for members who 
incur a disease or injury in line of duty under the following 
circumstances:
    (1) When a disease is contracted or injury is incurred while enroute 
to, from, or during any type of training or duty under sections 503, 
504, 505, and for Guardmembers on orders for over 30 days performing 
duty under section 502f of title 32, U.S.C. Such training includes, but 
is not limited to annual training, maneuvers and field exercises, 
service schools, small arms meets, and FTTD under aforementioned 
sections.
    (2) When an injury is incurred while engaged in any type of training 
under section 502 of title 32, U.S.C. Such training includes, but is not 
limited to, unit training assembly, multiple unit training assembly, and 
training in aerial flight, other than FTTD under 502f.
    (3) While not on duty and while voluntarily participating in aerial 
flights in Government-owned aircraft under proper authority and incident 
to training. Guardmembers are authorized

[[Page 380]]

medical and dental care required as the result of an injury incurred in 
line of duty.
    (4) Medical care is not authorized at Army expense for members who 
incur an injury while enroute to or from any type of training under 
section 502, except for Guardmembers ordered to perform duty for over 30 
days under section 502f of title 32, U.S.C. Line of duty investigations 
and authorization for any medical treatment for conditions incurred 
while the members were performing Reserve Enlistment Program of 1963 
(REP 63) training in a Federal status, or training under title 10, 
U.S.C. are the responsibility of the Army Area commander under whose 
jurisdiction the member was training, even though the individual may 
have returned to his/her National Guard status.
    (b) Not in line of duty. Members who incur an injury or contract a 
disease during any type of training or duty under sections 502f, 503, 
504, or 505 of title 32, U.S.C., when it is determined to be not in line 
of duty, may be furnished medical care at Army expense during the period 
of training.
    (c) Armory drill status. Members who incur an injury while in an 
armory drill status under section 502 of title 32, U.S.C., when it is 
determined to be not in line of duty, may not be furnished medical care 
at Army expense.


(32 U.S.C. 318-320 and 502-505)



Sec. 564.39  Medical care benefits.

    (a) A member of the ARNG who incurs a disease or injury under the 
conditions enumerated herein is entitled to medical care, in a hospital 
or at his/her home, appropriate for the treatment of his/her disease or 
injury until the resulting disability cannot be materially improved by 
further medical care.
    (b) If it is determined that the disease or injury was directly 
related to authorized activities surrounding the care of the original 
disease or injury, medical care may be continued in the same manner as 
if it had occurred during the training period.
    (c) When members who incur a disease or an injury during a period of 
training or duty under title 32, U.S.C. 503, 504, 505, or 502f are 
admitted to an Army medical treatment facility, and it appears that a 
finding of ``not in line of duty'' may be appropriate, a formal line of 
duty investigation should be promptly conducted, and a copy of the 
report furnished the treatment facility. If these findings result in a 
``not in line of duty'' determination prior to the date the training is 
terminated, every effort should be made to assist the hospital concerned 
in disposing of the patient from the hospital by the date the training 
is terminated or as soon thereafter as he/she becomes transportable. 
Medical care furnished such member after the termination of the period 
of training is not authorized at Army expense unless the ``not in line 
of duty'' determination is ultimately reversed. The individual may be 
furnished medical care at Army expense from the date the training is 
terminated to the date the member receives notification of this action. 
Medical care received subsequent to the member's receipt of such 
notification is not authorized at Army expense. In the event a line of 
duty investigation has not been made by the date the training is 
terminated, every effort will be made to arrive at a determination as 
soon thereafter as possible.


(32 U.S.C. 318-320 and 502-505)



Sec. 564.40  Procedures for obtaining medical care.

    (a) When a member of the ARNG incurs a disease or an injury, while 
performing training duty under sections 502-505 of title 32, U.S.C., he/
she will, without delay, report the fact to his/her unit commander. Each 
member will be informed that it is his/her responsibility to comply with 
these instructions, and that failure to promptly report the occurrence 
of a disease or injury may result in the loss of medical benefits.
    (b) Authorization for care in civilian facility. (1) An individual 
who desires medical or dental care in civilian medical treatment 
facilities at Federal expense is not authorized such care without 
written or verbal authorization by the Chief, National Guard Bureau or 
his/her designee, except in an emergency.

[[Page 381]]

    (2) When medical care is obtained without prior authorization, the 
details will be submitted to NGB-ARS as soon as practicable. The 
notification of medical care will be made following the format in the 
appendix. The notification will be reviewed by NGB-ARS and replied to as 
deemed appropriate.
    (c) Status while undergoing hospitalization. The ARNG status of an 
individual is not affected by virtue of his hospitalization. The 
provisions of AR 135-200 will apply. Determination of requirement for 
continued hospitalization will be made by the MTF commander. Paragraph 
(d) of this section will apply when a final ``not in line of duty'' 
determination has been made. Under no condition will an individual be 
assigned to the medical holding unit of a hospital.
    (d) Disposition of hospitalized cases. When it is determined that a 
hospitalized ARNG member has obtained the maximum benefits from 
hospitalization and there is no disability remaining from the condition 
for which hospitalized, he/she will be returned to his/her duty station 
or, if none, to his/her home of record at the time of entry into the 
hospital.

                                Appendix

                         notification of injury

    Date ------------

SUBJECT: Notification of Medical Care and/or Hospitalized Beyond the End 
of Training Periods.

THRU: The Adjutant General State of --------.
TO: NGB-ARS, Washington, DC 20310.

    In accordance with paragraph 8, NGR 40-3, notification of medical 
care is furnished below:
 Name:__________________________________________________________________
 SSN:___________________________________________________________________
 Grade:_________________________________________________________________
 Parent unit and station:_______________________________________________
 Type and inclusive dates of training:__________________________________
 Date and place of incident:____________________________________________
 Diagnosis:_____________________________________________________________
 LOD status:____________________________________________________________
 Name and distance of nearest Federal medical facility:_________________
 Name and address of medical facilities utilized:_______________________
 Estimated cost and duration of treatment:______________________________
 Summary of incident:___________________________________________________
 _______________________________________________________________________

(32 U.S.C. 318-320 and 502-505)



Sec. 564.41  Burial.

    (a) Purpose. The purpose of this section is to provide policies and 
designate responsibilities for the care and disposition of remains of 
members of the Army National Guard entitled to burial at Federal 
expense.
    (b) Authority. Act of 10 August 1956 (70A Stat. 112) as amended, 
title 10 U.S.C., sections 1481 through 1488, applicable to military 
personnel and their dependents.
    (c) Policy. The provisions of AR 638-40 are applicable to battalion 
and higher level units of the Army National Guard, except as modified 
herein.
    (d) Responsibilities. (1) The Chief, National Guard Bureau is 
responsible for prescribing procedures for the care and disposition of 
remains of members of the ARNG who die while--
    (i) Performing full-time training at other than an Active Army 
installation under sections 316, 502, 503, 504, and 505, title 32, 
U.S.C.
    (ii) Performing authorized travel to or from training outlined in 
paragraph (d)(1)(i) of this section.
    (iii) Being hospitalized or undergoing treatment at Government 
expense for an injury incurred or disease contracted while performing 
duty indicated in paragraphs (d)(1) (i) and (ii) of this section.
    (iv) Performing inactive duty training (IDT) under section 502, 
title 32, U.S.C. (It is to be noted that present law does not provide 
for payment of burial expenses from Federal funds for ARNG personnel 
killed while traveling to or from IDT.)
    (2) Active Army installations are responsible for the care and 
disposition of remains of members of the National Guard who die while--
    (i) Performing active duty for training under title 10 and training 
or other full-time training duty at an Active Army installation under 
sections 502, 503, 504, and 505, title 32, U.S.C.
    (ii) Performing authorized travel to or from training specified in 
paragraph (d)(2)(i) of this section.
    (iii) Being hospitalized or receiving treatment at Government 
expense as a result of injury incurred or disease contracted while 
performing duty indicated in paragraphs (d)(2) (i) and (ii) of this 
section.

[[Page 382]]

    (3) State adjutants general are responsible for notification of 
death in accordance with chapter 10, AR 600-10.
    (e) Limitation of burial expense. Payment of burial expenses is 
limited to an amount not exceeding that allowed by the Government for 
such services and in no circumstances may payment exceed the amount 
actually expended. The amount allowed when relatives incur the expenses 
will be in accordance with the following limitation:
    (1) If death occurs where a properly approved Contract for Care of 
Remains is in force (Army, Navy, or Air Force contracts), the amount to 
be allowed for each item will not exceed the amount allowable under such 
contract.
    (2) If death occurs where no contract is in force, reimbursement for 
items or services, including preparation and casketing will be limited 
to the stipulated amount included in chapter 4, AR 638-40.
    (3) Reimbursement for transportation will be limited to the amount 
for which the Government could have obtained required common carrier 
transportation plus the change made for hearse servce from the common 
carrier terminal to the first place of delivery.
    (4) Reimbursement for interment expenses is limited to the amounts 
provided in chapter 13, AR 638-40.
    (f) Accountability for clothing. (1) If in a serviceable condition, 
the uniform in possession of the deceased will be used and 
accountability dropped in accordance with NGR 710-2.
    (2) If a serviceable uniform is not in possession of the deceased, a 
request for issue of required items will be prepared. Accountability and 
responsibility for items issued will be terminated by the responsible 
officer upon execution of a statement on DA Form 3078 or 3345, 
substantially as follows:

    The items of clothing enumerated above were issued to clothe the 
remains of ---------- for funeral purposes. At the time of his/her 
death, the deceased was a member in good standing in this organization.

    (g) ARNG personnel serving in a nonpay status. In accordance with 
title 32, U.S.C. section 503, a member may, with his/her consent, either 
with or without pay, be ordered to perform training or other duty in 
addition to that prescribed under title 32, U.S.C. section 502(a). Duty 
without pay will be considered for all purposes as if it were duty with 
pay.
[44 FR 18489, Mar. 28, 1979]

 Claims for Damages Involving the National Guard and Air National Guard

    Source: Sections 564.51 through 564.58 appear at 19 FR 5168, Aug. 
17, 1954, unless otherwise noted. Redesignated at 26 FR 12767, Dec. 30, 
1961.



Sec. 564.51  Purpose.

    Sections 564.51 to 564.58 are published for the information and 
guidance of all concerned to implement the statutory authority by 
defining the claims payable thereunder and the procedure for 
establishing, determining, and settling such claims. They provide the 
exclusive authorization and procedure for the determination and 
settlement of claims within the following statutory authority.



Sec. 564.52  Statutory authority.

    (a) Limited authority for the payment of claims arising out of 
National Guard and Air National Guard activities has been granted 
annually for several years by provisions of the annual Appropriations 
Act for the Department of Defense. A recent provision is as follows:

    The following sums are appropriated, * * * For payment of * * *; 
claims (not to exceed $1,000 in any one case) for damages to or loss of 
private property incident to the operation of Army and Air National 
Guard camps of instruction, either during the stay of units of said 
organizations at such camps or while en route thereto or therefrom; * * 
* (Act of August 1, 1953, Public Law 179, 83d Cong.).

    (b) In accordance with general principles of law, the National Guard 
and the Air National Guard when not in Federal service are not agencies 
of the United States, and the United States is not liable for injury or 
damage arising from their activities. Thus, claims for such injury or 
damage are not cognizable under the Federal Tort Claims Act, as revised 
and codified (62 Stat. 982, 28 U.S.C. 3671-80). By the statutory 
provisions referred to in paragraph (a)

[[Page 383]]

of this section, the United States assumes an obligation to settle 
administratively limited classes of claims relating to activities of the 
National Guard and the Air National Guard.



Sec. 564.53  Definitions.

    As used in Secs. 564.51 to 564.58, the following terms shall have 
the meaning hereinafter set forth:
    (a) Claim. A written demand for payment in money.
    (b) Private property. Real or personal property, excluding property 
owned by any government entity, Federal, State, city, county, or town, 
and excluding stocks, bonds, chose in action, debts, and insurance 
policies.
    (c) Camps of instruction. Regularly scheduled training for units in 
organized camps, or bivouacs and maneuvers away from such camps 
constituting part of such training.
    (d) While en route thereto or therefrom. The period of time during 
which a unit as distinguished from its individual members if travelling 
from its rendezvous to a camp of instruction or return, or from the camp 
of instruction or on a regularly scheduled maneuver and return thereto, 
and the routes followed by the unit. The term does not include the 
movement of individuals.
    (e) Proximate cause. No precise definition of this term can be 
given. Whether acts or omissions of personnel constitute proximate cause 
must be determined in accordance with the local law. In general, an act 
or omission may be said to have been a proximate cause of the accident 
or incident if it was one of the impelling forces resulting in the 
accident or incident. For example, in a rear-end collision, the failure 
of the driver of the following car to stop in time is said to be the 
proximate cause of the accident. But, if the driver of the leading car 
stopped so suddenly and without warning that the second car, using the 
utmost diligence, could not have stopped, the conduct of the driver of 
the leading car would be said to have been the proximate cause of the 
accident. An act or omission without the existence of which the accident 
or incident would not have occurred but which cannot be said to have 
brought it about is a condition and would not constitute a basis for 
liability, or, if committed by the claimant, would not constitute a 
basis for denial of his claim. For example, violations of statutes or 
ordinances providing standards of safety may be negligence in 
themselves, but may not constitute the bases of liability or for denial 
of a claim.
    (f) Scope of employment. Scope of employment is determined in 
accordance with the law of the place where the accident or incident 
occurred, except that statutes in derogation of the common law, such as 
statutes creating a presumption that an employee is in scope of 
employment if using the employer's car with permission, are not 
controlling. An act or omission is within the scope of employment if 
such activity is expressly or impliedly directed or authorized by 
competent authority or is at least in part intended to further the 
mission of the unit or organization, or the interests of the National 
Guard or the Air National Guard. In determining whether an act or 
omission was within the scope of employment, consideration must be given 
to all the attendant facts and circumstances, including the time, place, 
and purpose thereof; whether it was in furtherance of the omission of 
the unit of the National Guard or Air National Guard; whether it was 
usual for or reasonably to be expected of personnel of the 
classification and grade involved; and whether the instrumentality 
causing the damage or injury resulted was property of the National Guard 
or Air National Guard, or of a State or the Federal Government being 
used by the National Guard or Air National Guard.



Sec. 564.54  Claims payable.

    Claims for damage to or loss of private property proximately 
resulting from authorized activities incident to the operation of camps 
of instruction, including maneuvers, field exercises, training of units 
and personnel, movement of vehicles, operation of aircraft, maintenance 
and support of units and personnel, tortious acts or omissions of

[[Page 384]]

military personnel or civilian employees of the National Guard or Air 
National Guard in the scope of employment, and claims arising under a 
contract, executed incident to camps of instruction, even though legally 
enforceable under the express terms of the contract and no other, are 
payable under Secs. 564.51 to 564.58.



Sec. 564.55  Claims not payable.

    (a) Contributory negligence. Negligence or wrongful act of the 
claimant or of his agent or employee, a proximate cause of the accident 
or incident, bars a claim. The law of the place where the accident or 
incident occurred will be followed in determining whether contributory 
negligence is present but the doctrine of comparative negligence will 
not be applied.
    (b) Personal injury. Claims for personal injury are not cognizable 
under the act of Secs. 564.51 to 564.58.
    (c) Use and occupancy. Claims for use and occupancy, payment of 
which is governed by the terms of a lease or contract, are not 
cognizable under Secs. 564.51 to 564.58.



Sec. 564.56  Action by claimant.

    (a) Who may present a claim. A claim for damage to or loss of 
private property may be presented by the owner, or his agent or legal 
representative. The word ``owner'', as so used, includes bailees, 
lessees, mortgagors, conditional vendors, and subrogees, but does not 
include mortgagees, conditional vendors, and others having title for 
purposes of security only. If filed by an agent or legal representative, 
the claim should be filed in the name of the owner, signed by such agent 
or legal representative, showing the title or capacity of the person 
signing, and be accompanied by evidence of the appointment of such 
person as agent, executor, administrator, guardian, or other fiduciary. 
If filed by a corporation the claim should show the title or capacity of 
the officer signing it and be accompanied by evidence of his authority 
to act. In case of the death of the proper claimant, if it appears that 
no legal representative has been or will be appointed, the claim may be 
presented by any person who, by reason of the family relationship, has 
in fact incurred the expense for which the claim is made.
    (b) Form of claim. A claim shall be submitted in the form of a 
statement signed by the claimant, setting forth his address, and stating 
briefly all the facts and circumstances relating to the damage for which 
compensation is claimed, including a description of the property, 
evidence of its value, the nature and extent of the damage, the date and 
place such damage was incurred, the agency by which it was caused, if 
known, and the amount. Standard Form 95 (Claim for Damage or Injury), 
appropriately modified by deleting references to ``injury'' and 
``personal injury,'' may be used for this purpose. The claim and all 
papers accompanying it which are signed by the claimant should bear like 
signatures.
    (c) Time within which claim must be presented. A claim cognizable 
under Secs. 564.51 to 564.58 must be submitted within two years of the 
date of occurrence of the accident or incident.
    (d) Place of filing. A claim cognizable under Secs. 564.51 to 564.58 
must be presented in writing to the adjutant general, or his duly 
authorized representative, of the State, Territory, Commonwealth, or 
District of Columbia, having jurisdiction over the personnel or unit 
involved in the accident or incident out of which the claim arose, or to 
the office of the Chief, National Guard Bureau, The Pentagon, 
Washington, DC 20310.
    (e) Evidence to be submitted by claimant--(1) General. A claim for 
damage to or loss of private property must be specific and substantiated 
by evidence of the damage or loss. A mere statement that such property 
was damaged or lost and that a certain amount is a fair compensation 
therefor is not sufficient to support a claim.
    (2) Motor vehicles, buildings, fences, and other structures. The 
claimant must submit, if repairs or replacement has been effected, 
itemized bills therefor, signed and certified as just and correct by the 
repairman or suppliers, together with evidence of payment thereof, if 
made; if repairs or replacement has not been effected, an estimate of 
the cost thereof signed by a person competent to effect such repairs or 
replacement.

[[Page 385]]

    (3) Crops, trees, land, and other realty. The claimant must submit 
an itemized signed estimate of the cost of repairs or restoration of the 
property, supported by evidence of the number of acres of land, crops, 
or trees involved, the normal yield per acre and the market value of the 
property per unit of measure common to the property damaged, or the 
estimated length of time the land will be unfit for grazing, the normal 
rental value per acre of similar land in the vicinity, and such other 
information as may be necessary.
    (4) Contracts. A copy of the contract, or competent evidence of the 
provisions thereof, will be furnished by the claimant in support of a 
claim cognizable under Sec. 564.54.
    (5) Additional evidence. The claims officer, the interested State 
adjutant general, or the Chief National Guard Bureau, may require the 
claimant to submit such additional evidences as he deems necessary to 
substantiate the claim, including, without limiting the generality of 
the foregoing, estimates of cost, of repairs from repairman other than 
those whose estimates the claimant has submitted with the claim and 
evidence of ownership of or interest in the property.



Sec. 564.57  Procedure.

    Responsibility for the investigation of claims cognizable under 
Secs. 564.51 to 564.68 and of accidents or incidents which may give rise 
to such claims rests in the adjutants general of the several States. 
Accordingly, claims received by the National Guard Bureau, or other 
agencies of the United States, will be referred to the adjutants general 
of the interested States. Regulations promulgated by the State adjutants 
general should require the prompt investigation of all accidents or 
incidents which might result in claims cognizable hereunder, whether or 
not claims have been filed.



Sec. 564.58  Determination of amount allowable.

    (a) The maximum amount which may be allowed is the value of the 
property immediately prior to the accident or incident. Subject to the 
foregoing, the amount allowable is the cost, incurred or estimated to be 
incurred, of replacing the property, or of restoring it to the condition 
in which it was immediately prior to the accident or incident. However, 
if as the result of the repairs effected, the value of the property is 
appreciably enhanced, a sum equal to the increase in value will be 
deducted from the cost of restoring the property in determining the 
amount allowed. Conversely, if after the repairs have been effected, the 
value of the property is appreciably less than that prior to the 
accident or incident, the difference in value will be added to the cost 
of repairs in determining the amount allowed. However, no award in 
excess of the amount claimed may be made.
    (b) In determining the amount allowable for repairs, the permanency 
of parts replaced will be considered and deductions made for 
depreciation as appropriated. Thus, an automobile tire is not expected 
to last through the life of a vehicle so that when a tire three-fourths 
worn is replaced with a new tire, the amount allowable is one-fourth of 
the cost of the new tire. The same principle applies to batteries and 
other items of equipment or accessories during relatively short wearout 
periods. However, no allowance for depreciation is made in replacing 
parts, such as fenders, bumpers, radiators, which normally would last 
through the life of the vehicle.
    (c) Deprivation of use of property (including motor vehicles) is 
allowable as an item of damages, but only in those cases where the 
claimant has sustained legally provable damages. Towing charges are also 
allowable items of damage. However, interest, cost of preparation of 
claim and of securing supporting evidence, inconvenience, and similar 
items are not property allowable items of damage.

[[Page 386]]



                         SUBCHAPTER F--PERSONNEL





PART 571--RECRUITING AND ENLISTMENTS--Table of Contents




Sec.
571.1  General.
571.2  Basic qualifications for enlistment.
571.3  Waivable enlistment criteria including civil offenses.
571.4  Periods of enlistment.
571.5  Enlistment options.

    Authority: Section 3012, 70A Stat. 157; 10 U.S.C. 3012.

    Source: 44 FR 9745, Feb. 15, 1979, unless otherwise noted.



Sec. 571.1  General.

    (a) Purpose. This part gives the qualifications for men and women 
enlisting or reenlisting in the Regular Army (RA). The procedures 
simplify and standardize the processing of applicants through the 
recruiting service. The applicant's ability to meet all requirements or 
exceptions will determine eligibility. This includes obtaining 
prescribed waivers.
    (b) Definitions. The following definitions apply to this part:
    (1) Enlistment. The first voluntary enrollment in the Regular Army 
as an enlisted member.
    (2) Reenlistment. The second or subsequent voluntary enrollment in 
the Regular Army as an enlisted member.
    (3) United States Army. The Regular Army, Army of the United States 
(AUS), Army National Guard (ARNG) of the United States, and the United 
States Army Reserve (USAR).
    (4) Regular Army (RA). The permanent Army, which is a major 
component of the United States Army, as used in this part distinguishes 
it from the other major components.
    (5) Prior Service (PS). One or more days of completed active duty in 
a regular component or of extended active duty in a Reserve component of 
any of the Armed Forces, in the Army National Guard or Army Reserve 
programs of active duty for training pursuant to the Reserve Forces Act 
of 1955; in the Reserve Enlistment Program of 1963; or in similar 
programs of any of the Army Forces. Short periods of active duty for 
training in any other programs will not meet prior service requirements 
in this part.
    (6) Non-Prior Service (NPS). No previous service in any of the Armed 
Forces of the United States, or previous service without completion of 1 
or more days of active duty or active duty for training as given in 
paragraph (b)(5) of this section.
    (7) Within 3 months of separation. The 3 month's period when an 
individual must reenlist to be eligible for certain benefits. This 
period begins on the day following separation and ends with the date of 
the month, 3 months later, that corresponds to the separation date. When 
there is no corresponding date in the 3rd month, the terminating date 
will be the last day of that month. For example, an individual separated 
on 31 January has a terminating date of 30 April.
    (8) Major commanders. The following have commanding generals, United 
States Army Forces Command (FORSCOM); United States Army Training and 
Doctrine Command (TRADOC); US Army Military District of Washington 
(MDW); US Army Materiel Development and Readiness Command (DARCOM); US 
Army Intelligence and Security Command (INSCOM); US Army Communications 
Command (ACCOM); US Army Criminal Investigation Command (CIDC); US Army 
Health Services Command (HSC); Military Traffic Management Command 
(MTMC); Commander in Chief, US Army Europe and Seventh Army 
(CINCUSAREUR): Eighth US Army; and US Army Japan (USAJ).
    (9) Dependent. The term ``dependent'' means:
    (i) A spouse. This does not include a common law spouse unless so 
judged by a civil court.
    (ii) Any unmarried natural (legitmate or illegitimate) or adopted 
child of the applicant if the child is under 18 year of age, whether or 
not the applicant has custody of the child, and regardless of who has 
guardianship of the child. If the applicant's child has been adopted by 
another person (Final adoption decree issued and effective)

[[Page 387]]

then the child is not the applicant's dependent. The term ``natural 
child'' includes any illegitimate child claimed by the applicant to be 
his/her child or judged to be his/her child by court order.
    (iii) Stepchild of the applicant who resides with the applicant if 
the stepchild is under 18 years of age.
    (iv) Any other person who is dependent on the applicant for over 
one-half of his/her support.
    (10) Applicant without a spouse. An applicant who is unmarried, is 
divorced, is legally separated, whose spouse is deceased; has deserted 
applicant, is incarcerated, is not residing permanently with applicant, 
or applicant has sole custody of the dependent(s).
    (c) Delayed Entry Program (DEP). The Commanding General, United 
States Army Recruiting Command (USAREC) is authorized by 10 U.S.C. 5-11a 
to organize and administer DEP. Applicants enlisted in DEP are assigned 
to the United States Army Reserve (USAR) Control Group (Delayed Entry). 
Only qualified applicants who agree to subsequently enlist in the 
Regular Army may enlist in DEP.



Sec. 571.2  Basic qualifications for enlistment.

    (a) Age requirements. (1) Non-prior service. Applicants must be 17 
to 34 years old, inclusive.
    (2) Prior service. Applicants must be 17 to 34 years old. If 35 or 
older but less than 55 years, they will qualify if they:
    (i) Have a minimum of 3 years honorable active service in any one of 
the Armed Forces, with at least 1 or more days of Army service.
    (ii) Be not less than 35 years old plus the number of completed 
years of prior honorable active military service.
    (3) Exceptions. Applicants will be exempt from the above age 
requirements if they can qualify for retirement by age 60, are not 55 or 
older with 20 or more years of active service, and if they are:
    (i) Honorably discharged active duty commissioned or warrant 
officers who enlist within 6 months after their separation date or who 
were awarded the Medal of Honor, Silver Star, or the Distinguished 
Service Cross.
    (ii) Enlisted members who separate from the Regular Army with an 
honorable or general discharge and reenlist within 3 months after 
separation date.
    (4) Parental consent. The written consent of parents or legal 
guardian is required for applicants under 18 years of age.
    (b) Citizenship requirements. The applicant must be:
    (1) A citizen of the United States, or
    (2) An alien who has been lawfully admitted to the United States as 
a permanent resident, or
    (3) A National of the United States (Citizen of Puerto Rico, Guam, 
American Samoa or the Virgin Islands).
    (c) Trainability requirements. (1) Non-prior service. For enlistment 
in mental group category I-III applicants must have a high school 
diploma (HSD) or General Education Development (GED) Certificate. HSD or 
GED scores must be 90 or above in one or more aptitude areas in Armed 
Services Vocational Aptitude Battery (ASVAB) tests. Mental group IV 
requires two. Non-high-school graduates (NHSG) in mental group I-IIIA 
require two. Applicants must meet all other criteria for the option they 
wish to select. (See Sec. 571.2(c)(3).)
    (2) Prior service. Applicants must meet the mental requirements in 
paragraph (c)(3) of this section, or qualify for exemption from these 
requirements through:
    (i) Award of the Medal of Honor.
    (ii) Award of the Distinguished Service Cross, Navy Cross, or Silver 
Star Medal, with less than 20 years of active military service.
    (iii) Partially disabling combat-wounds with less than 20 years of 
active military service.
    (3) Mental categories and eligibility for enlistment.

[[Page 388]]



                                                                                                                                                        
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                         Enlistment eligibility \3\                                     
            Applicant                    Age       Education    Mental category \2\   -------------------------------               Remarks             
                                                   level \1\                                DEP             RA                                          
--------------------------------------------------------------------------------------------------------------------------------------------------------
NPS--male........................  17............       HSG   I-IVB..................  Yes..........  Yes...........  10th grade minimum unless over 22 
                                                        GED   I-IIIA.................  Yes..........  No............   years old, then 11th grade       
                                                        GED   IIIB-IV................                 Yes...........   minimum.                         
                                                                                                      No............                                    
                                                       NHSG   I-IIIA.................  Yes..........  Yes...........                                    
                                                       NHSG   IIIB-IV................  No...........  No............  Eligible for RA if graduates. If  
                                                       HSSR   I-IVB..................  Yes..........  (See remarks).   NHSG, meet criteria of this      
                                                                                                                       table.                           
NPS--male........................  18 or older...       HSG   I-IVB..................  Yes..........  Yes...........  10th grade minimum unless over 22 
                                                        GED   I-IIIB.................  Yes..........  Yes...........   years old, then 11th grade       
                                                        GED   IV.....................  No...........  No............   minimum.                         
                                                       NHSG   I-IIIA.................  Yes..........  Yes...........                                    
                                                       NHSG   IIIB...................  Yes..........  Yes...........  11th grade minimum regardless of  
                                                       NHSG   IV.....................  No...........  No............   age.                             
                                                       HSSR   I-IVB..................  Yes..........  (See Remarks).  Eligible for RA if graduates. If  
                                                                                                                       NHSG, meet criteria of this      
                                                                                                                       table.                           
NPS--female......................  ..............       HSG   WST 50 or higher.......  Yes..........  Yes...........  Eligible for RA if graduates.     
                                                        GED   .......................  No...........  No............                                    
                                                       NHSG   .......................  No...........  No............                                    
                                                       HSSR   .......................  Yes..........  Yes...........                                    
Prior service--male..............  ..............       HSG   I-IIIB and three         Yes..........  Yes...........                                    
                                                        GED    aptitude scores of 90   Yes..........  Yes...........                                    
                                                       NHSG    or higher.              No...........  No............                                    
Prior service--female............  ..............       HSG   Three aptitude scores    Yes..........  Yes...........  If female is a member of USAR/ARNG
                                                        GED    of 90 or higher.        Yes..........  Yes...........   prior to RA enlistment, a minimum
                                                       NHSG                            No...........  No............   Womens Selection Test (WST) score
                                                                                                                       of 50 is required in addition to 
                                                                                                                       3 aptitude scores of 90 or       
                                                                                                                       higher.                          
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Education definitions:                                                                                                                              
a. High school graduate (HSG). An applicant who has graduated from an accredited high school with a diploma, a certificate of graduation, or statement  
  of completion.                                                                                                                                        
b. General Education Development (GED) equivalency. An applicant who has evidence of completion of the high school level GED equivalency.               
c. Non-high school graduate (NHSG) and high school senior (HSSR). Self explanatory.                                                                     
\2\ CAT I 93-100, CAT II 65-92, CAT IIIA 50-64, CAT IIIB 31-49, CAT IVA 21-30, CAT IVB 16-20.                                                           
\3\ Applicants must meet the additional prerequisites for training in the selected military occupational specialty (MOS) as indicated by the option and 
  REQUEST System.                                                                                                                                       

    (d) Education requirement. (1) Applicants must meet the following 
educational requirements of the specific enlistment option.
    (i) Female applicants must be high school graduates.
    (ii) Male applicants, 17-22 years of age, must have successfully 
completed the 10th grade or equivalent. Males, 23 or older at time of 
entry on active duty, must have successfully completed the 11th grade or 
equivalent.
    (iii) Aliens or applicants completing high school requirements in 
foreign countries must take the GED or have obtained an evaluation in 
accordance with table 2-5, note 5d, AR 601-210 to be considered a high 
school graduate for enlistment purposes.
    (iv) Minimum education requirements, in a foreign country, given in 
paragraph (d)(1)(iii) of this section are the same in the United States.
    (2) Prior service applicant must either:
    (i) Possess a diploma or certificate of graduation from high school; 
or
    (ii) Present documentation of successful completion of high school 
level or higher GED equivalency.
    (e) Physical requirements. (1) The applicant must:
    (i) Meet the enlistment physical fitness standards given in chapter 
2, AR 40-501.
    (ii) Meet any additional requirement of the specific enlistment 
option.
    (iii) Request a waiver if the AFEES medical examining officer 
decides an exception to medical standards is appropriate.
    (2) Prior service applicants must meet the weight standards in 
appendix A, AR 600-9 and

[[Page 389]]

    (i) The retention medical fitness standards in chapter 3, AR 40-501, 
if applicant enlists within 6 months of RA separation.
    (ii) The enlistment medical fitness standards in chapter 2, AR 40-
501 (except the weight standards of paragraph 2-22, AR 40-501) if 
applicants enlist 6 months from the last RA separation date, or if 
applicants last separated from another service or component and meets 
the weight tables in appendix A, AR 600-9.
    (iii) The retention medical fitness standards in chapter 3, AR 40-
501 if applicant is an active member of USAR/ARNG unit and meets the 
weight tables at appendix A, AR 600-9.
    (iv) Any additional requirements for the specific enlistment option.
    (f) Dependent criteria. (1) The applicant may have only three 
dependents (see paragraphs (f)(1) and (iii) of this section).
    (i) An applicant without a spouse who has one or more dependents 
under 18 years of age is disqualified, except as noted in paragraphs 
(f)(1) (ii) and (iii) of this section. No waiver is authorized.
    (ii) An applicant may be enlisted when dependent children are in the 
custody of the other parent by court order, and the applicant is not 
required to provide child support. No waiver is required.
    (iii) An applicant, required to pay child support for no more than 2 
dependents under 18 years of age when dependents are in the other 
parent's custody by court order, may enlist without waiver.
    (iv) In meritorious cases, an applicant with a spouse may request 
waiver of paragraph (f)(1) of this section.
    (v) Husband and wife teams who have one or more dependents under 18 
years of age are disqualified. No waiver is authorized.
    (vi) An applicant with a spouse on active duty with any Service who 
has 1 or more dependents under 18 years of age is disqualified.
    (2) Prior service. Same as non-prior service for pay grades E-1 
through E-3. If eligible for pay grade E-4 or higher, may enlist without 
regard to number and ages of dependents. However, the provisions of 
paragraphs (f) (i), (ii), (iii), (v), and (vi) of this part for 
applicants without prior service apply.



Sec. 571.3  Waivable enlistment criteria including civil offenses.

    (a) Waivers of enlistment eligibility criteria--(1) General. This 
section gives the procedures for initiating and processing requests for 
waiver to meet the basic qualifications for enlistment.
    (2) All waiver authority. The Commander, U.S. Army Enlistment 
Eligibility Activity (USAEEA) may act for the Commanding General, U.S. 
Army Military Personnel Center (MILPERCEN) to process, approve and 
disapprove waivers for enlistment.
    (3) Waiver disapproval authority. The responsibility for deciding if 
a waiver request warrants favorable consideration rests at all levels.
    (4) Validity period. Unless otherwise stated in the waiver document, 
waivers are valid for 6 months.
    (5) Waiver approval authorities--eligibility criteria.

                                                                        
------------------------------------------------------------------------
         If disqualification is--           Then approval authority is--
------------------------------------------------------------------------
(i) Medical:                                                            
  Non-prior service.......................  CG, USAREC                  
  Prior service...........................  CG, MILPERCEN               
(ii) Underweight or overweight (+ or -5                                 
 lbs.):                                                                 
  Non-prior service.......................  AFEES Senior Medical Officer
  Prior service...........................  None. Prior service         
                                             applicants enlisting in DEP
                                             or active Army must meet   
                                             the AR 600-9 weight        
                                             standards. No waivers are  
                                             authorized.                
(iii) Dependents..........................  CG, MILPERCEN               
(iv) AWOL:                                                              
  Lost time 1-15 days.....................  CDR, District Recruiting    
                                             Command (DRC)              
  Lost time over 15 days..................  CG, MILPERCEN               
(v) Previous discharge for dependency or    CG, MILPERCEN               
 hardship.                                                              

[[Page 390]]

                                                                        
(vi) Last separated from any of the Armed   CG, USAREC                  
 Forces on the basis of being a sole                                    
 surviving person and family member or                                  
 applying for enlistment for the first                                  
 time.                                                                  
(vii) Previous conscientious objectors who                              
 are no longer conscientious objectors:                                 
  Non-prior service.......................  CG, USAREC                  
  Prior service...........................  CG, MILPERCEN               
(viii) Received one or more convictions by  CG, MILPERCEN               
 military courts-martial during last                                    
 period of active service or was                                        
 discharged with disqualifications (e.g.,                               
 unsuitability, conviction by civil court,                              
 resignation for good of Service,                                       
 misconduct, fraudulent enlistment, or bar                              
 to reenlistment).                                                      
(ix) Desires to enlist as conscientious                                 
 objector:                                                              
  Non-prior service.......................  CG, USAREC                  
  Prior service...........................  CG, MILPERCEN               
(x) Was denied reenlistment at time of      CG, MILPERCEN               
 last separation from active Service under                              
 Qualitative Screening Process unless                                   
 ineligible for enlistment.                                             
(xi) Discharged under the Trainee           CG, MILPERCEN               
 Discharge program or Expeditious                                       
 Discharge program.                                                     
(xii) Primary Military Occupational         CG, MILPERCEN               
 Specialty (PMOS) Evaluation Score below                                
 70.                                                                    
(xiii) Persons whose DD Form 214 (Report    CG, MILPERCEN (Year Group   
 of Separation from Active Duty) contains    Management)                
 no PMOS evaluation score.                                              
(xiv) Persons enrolled in the Alcohol and   CG, MILPERCEN               
 Drug Abuse Prevention and Control Program                              
 (ADAPCP) at time of last separation from                               
 active duty.                                                           
------------------------------------------------------------------------

    (b) Civil offenses--(1) Moral standards. Moral standards for 
enlistment deal generally with the acceptability of persons with records 
of court convictions or adverse juvenile judgments. The standards screen 
out persons who may become serious disciplinary cases and who could 
bring harm to a military mission.
    (2) Waiver approval authorities--civil offenses.

                                                                        
------------------------------------------------------------------------
            If the offense is--             Then approval authority is--
------------------------------------------------------------------------
(i) Minor traffic offenses................  CDR, Recruiting Area        
(ii) Minor non-traffic offenses...........  CDR, Recruiting Area        
(iii) Misdemeanors........................  CDR, DRC                    
(iv) Juvenile felonies....................  CG, USAREC                  
(v) Adult felonies........................  CG, MILPERCEN               

[[Page 391]]

                                                                        
(vi) Civil restraint of unconditional       CDRs in lines (i) through   
 suspended sentence or unconditional.        (v) for the offenses       
                                             involved                   
------------------------------------------------------------------------

    (c) Rules governing processing of moral waivers. (1) Individuals 
require a misdemeanor waiver if arrested, cited, charged, or held and 
allowed to plead guilty to a lesser offense or to plead guilty to 
criminal possession of stolen property (value $100 or less). An arrest 
or questioning with no preferral of charges does not require a waiver. 
When charges are dismissed without determination of guilt no waiver is 
required. A waiver is not authorized if a criminal or juvenile court 
charge is pending or if such a charge was dismissed or dropped at any 
stage of the court proceedings on condition that the offender enlist in 
a military service.
    (2) To ensure equal treatment of all persons applying for RA 
enlistment, notwithstanding the wide variance in State statutes, the 
following guidance is furnished:
    (i) Expunging of the record. Some states have procedures for 
(subsequent) ``expunging of the record,'' dismissal of charges, or 
pardon (upon evidence of rehabilitation of the offender). Such action 
has the effect of extinguishing the ``initial conviction'' or ``adverse 
juvenile adjudication.'' Under the State law, the applicant then has no 
record of conviction or adverse juvenile decision. Despite the legal 
effect of this action, a waiver is required to authorize the RA 
enlistment of such an applicant. The record is also required to be 
revealed.
    (ii) Juvenile and youthful offenses. To determine eligibility for RA 
enlistment, a juvenile or youthful offense is defined as one committed 
by the applicant under the age that the individual could enlist in the 
RA without parental consent. Offenses committed below the age of 18 are 
considered juvenile or youthful offenses regardless of disposition of 
civil authorities. For example, a juvenile felony is one committed by an 
applicant under 18, whether or not the result is a civil court 
conviction or adverse juvenile judgements. On the other hand, an adult 
felony is one committed by an applicant when 18 years old or older 
regardless of what type of court makes the decision.
    (iii) Civil court conviction. This term means the decision of guilty 
by a court (or a jury) based either on the case's merits, or on the 
defendant's guilty plea or nolo contendere, regardless of--
    (A) Whether sentence was then imposed, withheld, or suspended, or
    (B) Subsequent proceedings deleted an initial decision of guilt from 
court records, based on evidence of rehabilitation or completion of a 
satisfactory probationary period. Examples of subsequent proceedings in 
adult offender cases include pardon; expungement; reopening of the case 
to change the original finding of guilty or nolo contendere, to not 
guilty, dismissing the charge, amnesty, and setting aside the 
conviction. These subsequent proceedings merely recognize 
rehabilitation, they do not alter the fact that the offender committed 
the criminal act.
    (iv) Adverse juvenile judgements. This term--
    (A) Means that a judge or a jury in a juvenile court proceedings 
determined that the juvenile was guilty of or committed the alleged 
acts, that the decision was based either on the complaint's merits or on 
the juvenile's admission of guilt or plea of guilty; and that the 
decision was recorded in the court records.
    (B) Applies, whether or not sentence was then imposed, withheld, or 
suspended; and regardless of subsequent proceedings to delete an initial 
determination of guilt from court records, based on rehabilitation or 
satisfactory probation or supervision. Examples of subsequent 
proceedings in juvenile courts include expungement; record sealing; 
reopening the case to change the original findings of guilty or 
delinquency, or the plea of guilty or admission of the truth of the 
allegation, to not guilty; and dismissal of the original petition and 
setting aside the decision of delinquency. These subsequent proceedings 
merely recognize rehabilitation. They do not alter the fact that the 
juvenile committed the act for which he or she was judged.

[[Page 392]]

    (C) Includes judgement as a juvenile delinquent, wayward minor, 
youthful offender, delinquent child or juvenile offender, and 
declaration of the juvenile as a ward of the court. The term does not 
include the judgement of the juvenile as dependent, neglected, or 
abandoned.
    (v) Unconditional suspended sentence and supervised unconditional 
probation. These terms mean a suspended sentence or probationary status 
imposed by a court that places no condition upon the individual--
    (A) Concerning individual's freedom of movement.
    (B) Requiring the payment of damages. (If paid, this requirement is 
no bar to waiver consideration.)
    (C) Requiring periodic reporting to an officer of the court 
(including a probation officer).
    (D) Involving supervision by an officer of the court (including a 
probation officer). For example, a sentence suspended on sole condition 
that the offender must not commit a like offense in the next 12 months 
does not bar waiver consideration.
    (vi) For prior service personnel. Although the applicant must reveal 
all offenses committed, only those require a waiver that are committed 
during and/or subsequent to the last period of honorable service, and/or 
those not previously revealed. For Reserve Component personnel of any 
Service, waivers are required for all offenses shown that require a 
waiver, whether or not a waiver was authorized for entry into the 
Reserve Component. Waivers granted to enter the Reserve Components are 
not valid for Regular Army enlistment.
    (d) Waiting period. The waiting period following release from civil 
restraint gives the individual an opportunity to demonstrate a 
satisfactory adjustment and the Army a basis to judge the applicant's 
rehabilitation before enlistment.
    (e) Required investigations. If the applicant does or does not admit 
a record (to include arrests, charges, juvenile court judgments, and 
convictions), and the enlisting agency has reason to believe a record 
exists, enlistment action will be held in abeyance pending an 
investigation.
    (f) Civil restraint. (1) If all civil restraint is ended and there 
is substantial evidence of rehabilitation as a law-abiding member of a 
civil community, the applicant may be processed for enlistment.
    (2) Recruiting personnel will not help directly or indirectly in the 
release of an individual from a pending charge so that he or she may 
enlist in the Army as an alternative to further prosecution or further 
juvenile court proceedings. Equally important, recruiting personnel will 
in no way contribute, either tacitly or expressly, to the false notion 
that the Army condones such a practice. Persons subject to a pending 
charge are not eligible for enlistment. Therefore, they are not eligible 
for preenlistment processing to determine their mental and medical 
eligibility.
    (g) Restrictions on help. Recruitment personnel will not help in any 
way to secure the release of individuals from any type of civil 
restraint so that these individuals may enlist or start reenlistment 
processing. The term ``civil restraint'' includes confinement, 
probation, parole, and suspended sentence. Persons under civil restraint 
that makes them ineligible for enlistment are not eligible for 
preenlistment processing to determine their mental and medical 
eligibility for enlistment.



Sec. 571.4  Periods of enlistment.

    Enlistments are authorized for periods of 2, 3, 4, 5, or 6 years. 
The enlistee's option determines the number of years.



Sec. 571.5  Enlistment options.

    Personnel who enlist in the Regular Army for 2 or more years are 
authorized certain initial assignment choices. They must meet the 
criteria given in AR 601-210. Also, a valid Army requirement must exist 
for the skill under which enlisted.



PART 574--UNITED STATES SOLDIERS' AND AIRMEN'S HOME--Table of Contents




Sec.
574.1  Statutory authority.
574.2  Home benefits.
574.3  Persons eligible for admission to the Home.

[[Page 393]]

574.4  Persons ineligible for admission to the Home.
574.5  Applications for admission.
574.6  User fee assessment of members of the Home.

    Authority: R.S. 4815, as amended; 24 U.S.C. 41.

    Source: 44 FR 10981, Feb. 26, 1979, unless otherwise noted.



Sec. 574.1  Statutory authority.

    The basic statutory authority for establishment of the United States 
Soldiers' and Airmen's Home is contained in the Act of March 3, 1851 (9 
Stat. 595), and the Act of March 3, 1883 (22 Stat. 564).



Sec. 574.2  Home benefits.

    The United States Soldiers' and Airmen's Home provides a home and 
other benefits authorized by law for its members. Some of the important 
Home benefits are as follows:
    (a) Suitable living quarters.
    (b) Subsistence.
    (c) Medical, dental, and hospital care.
    (d) Complete recreation program.
    (e) Laundry and drycleaning service.



Sec. 574.3  Persons eligible for admission to the Home.

    (a) The following persons are eligible for admission to the United 
States Soldiers' and Airmen's Home, except as indicated in Sec. 574.4:
    (1) First Category--Every soldier, airman, or warrant officer, male 
or female, of the Army or Air Force of the United States, who has--
    (i) Had some service as an enlisted member of warrant officer in the 
Regular Army or Regular Air Force; and
    (ii) Served honestly and faithfully for 20 years or more. In 
computing the necessary 20 years' time, all active service as an 
enlisted member or as a warrant officer in the Army or Air Force, 
whether in the regular or Reserve components, will be credited. Service 
in the Navy or the Marine Corps or service as a commissioned officer 
cannot be credited.
    (2) Second Category--Every soldier, airman, or warrant officer, male 
or female, of the Army or Air Force of the United States, whether in the 
regular or Reserve components, who has--
    (i) Had some service as an enlisted member or warrant officer in the 
Regular Army or Regular Air Force and
    (ii) Become incapable of earning a livelihood because of the 
disease, an injury, or wounds incurred in the military service of the 
United States, in line of duty, and not as a result of his/her own 
misconduct.
    (3) Third Category--Every soldier, airman, or warrant officer, male 
or female, of the Army or Air Force of the United States, whether in the 
Regular or Reserve components, who--
    (i) Has served on active duty as an enlisted member or warrant 
officer in the Army or Air Force during any war;
    (ii) Has had some service as an enlisted member or warrant officer 
in the Regular Army or Regular Air Force; and
    (iii) Is by reason of wounds, sickness, old age or other disability, 
unable to earn a livelihood.
    (b) A requirement in each category is the performance of some 
service in the Regular Army or Regular Air Force and the terminating of 
active service in an enlisted or warrant officer status. Any enlisted 
person or warrant officer who served as a volunteer in the Spanish 
American War or who served with an organization of the Regular Army 
during World War I will be considered as having had some service in the 
Regular Army.
    (c) Admission to the United States Soldiers' and Airmen's Home is 
granted by authority of the Board of Commissioners. Individuals who are 
admitted to the Home will be officially designated as members. Whenever 
the Home's facilities become limited to the extent that it appears that 
all eligible applicants cannot be accomodated, a system of priorities 
authorized by the Board of Commissioners will be administered by the 
Governor of the Home. The objective of this system will be to grant 
admission to the most deserving individuals.



Sec. 574.4  Persons ineligible for admission to the Home.

    Admission to the Home cannot be granted to any person who was 
convicted of a felony or other disgraceful or infamous crime of a civil 
nature after entering the service of the United

[[Page 394]]

States; or to any deserter, mutineer, or habitual drunkard unless there 
is sufficient proof of subsequent honorable service, good conduct, and 
reformation of character to satisfy the Board of Commissioners.



Sec. 574.5  Applications for admission.

    Applications for admission to the United States Soldiers' and 
Airmen's Home and information concerning eligibility requirements may be 
obtained by writing directly to the Board of Commissioners, United 
States Soldiers' and Airmen's Home, Washington, DC 20317. The Board of 
Commissioners will issue letters authorizing admission to those 
individuals whose applications are approved.



Sec. 574.6  User fee assessment of members of the Home.

    The Board of Commissioners of the United States Soldiers' and 
Airmen's Home will collect from members of the Home a fee which may be 
used solely for the operation of the Home. The amount of the fee will be 
determined by the Board of Commissioners on the basis of financial needs 
of the Home and the ability of the members to pay, but in no case may 
the fee collected in any month, in the case of any member, exceed an 
amount equal to 25 percent of the monthly--
    (a) Military retired pay paid to such member;
    (b) Civil Service annuity paid to such member where such annuity is 
based in part on years of military service;
    (c) Disability compensation or pension paid to such member by the 
Veterans' Administration; or
    (d) Military retired pay and disability compensation or pension 
where such member is receiving both retired pay and disability 
compensation or pension.



PART 575--ADMISSION TO THE UNITED STATES MILITARY ACADEMY--Table of Contents




Sec.
575.1  Military Academy.
575.2  Admission; general.
575.3  Appointments; sources of nominations.
575.4  [Reserved]
575.5  Entrance requirements.
575.6  Catalogue, United States Military Academy.

    Authority: Secs. 3012, 4331, 70A Stat. 157, 238; 10 U.S.C. 3012, 
4331-4355.

    Source: 44 FR 11781, Mar. 2, 1979, unless otherwise noted.



Sec. 575.1  Military Academy.

    (a) Organization and administration. (1) The United States Military 
Academy is under the general direction and supervision of the Department 
of the Army. The Secretary of the Army has designated the Chief of Staff 
of the Army as the officer in direct charge of all matters pertaining to 
West Point.
    (2) The immediate government and military command of the Academy and 
the military post at West Point are vested in the Superintendent. In the 
absence of the Superintendent, the Deputy Superintendent, if present for 
duty, shall have such government and command. The Dean of the Academic 
Board has charge of the faculty and all academic work, and acts as 
representative of the academic departments and as adviser on academic 
matters to the Superintendent. The Commandant of Cadets is in charge of 
the administration and training of the Corps of Cadets and is also head 
of the Department of Tactics.
    (b) Mission. The mission of the United States Military Academy is to 
educate, train, and motivate the Corps of Cadets so that each graduate 
shall have the character, leadership, and other attributes essential to 
progressive and continuing development throughout a career of exemplary 
service to the Nation as an officer of the Regular Army.
    (c) Courses of instruction. Courses include academic education and 
military training. In accomplishing its mission, the Military Academy 
strives to develop in each cadet the following traits:
    (1) The knowledge, skill, intellectual curiosity, discipline, and 
motivation provided by a sound education in the arts and sciences 
requisite for continued professional and intellectual growth.
    (2) A highly developed sense of personal honor and professional 
ethics.
    (3) Professional and personal commitment to the responsibilities of 
an officer for soldiers.

[[Page 395]]

    (4) Selflessness.
    (5) The willing acceptance of responsibility for personal actions 
and the actions of subordinates.
    (6) The initiative and good judgment to take appropriate action in 
the absence of instructions or supervision.
    (7) Physical and moral courage.
    (8) The physical strength, endurance, and conditioning habits 
required of a soldier.



Sec. 575.2  Admission; general.

    (a) In one major respect, the requirements for admission to the 
United States Military Academy differ from the normal requirements for 
admission to a civilian college or university; each candidate must 
obtain an official nomination to the Academy. The young person 
interested in going to West Point should, therefore, apply for a 
nomination from one of the persons authorized to make nominations listed 
in Sec. 575.4. In the application, each prospective candidate should 
request a nomination to the United States Military Academy, and give 
residence, reasons for wanting to enter the Academy, and status of 
education and training.
    (b) A candidate's mental qualifications for admission are determined 
by performance on one of the regularly administered College Entrance 
Examination Board series of tests. The Military Academy will consider 
scores made on the tests which are offered in December, January, March, 
and May at more than 700 College Board Test Centers throughout the 
United States and abroad. In general, a center will be within 75 miles 
of the candidate's home. Candidates register for the prescribed tests in 
accordance with the regularly published instructions of the College 
Board and pay the required fee directly to the College Board.
    (c) The candidate's physical qualifications are determined by a 
thorough medical examination and physical aptitude test. To qualify, a 
candidate must be in good health, have good vision and hearing, have no 
deformities, and have the physical strength, endurance, coordination, 
and agility of active persons in their late teens. The medical 
examination and physical aptitude tests are held at selected military 
installations throughout the country (and overseas) on the Thursday and 
Friday preceding the regularly scheduled March administration of the 
College Board tests.



Sec. 575.3  Appointments; sources of nominations.

    Admission to the Military Academy is gained by appointment to one of 
the cadetships authorized by law. Graduation of the senior class 
normally leaves about 915 vacancies each year. Candidates are nominated 
to qualify for these vacancies the year prior to admission. Those 
nominees appointed enter the Academy the following July and upon 
graduation are obligated to serve in the Army for a period of not less 
than 5 years. There are two major categories of nomination 
(Congressional/Gubernatorial and Service-Connected) and two minor 
categories (Filipino and Foreign Cadets). Cadetships authorized at the 
Military Academy are allocated among various sources of nominations from 
the major categories as follows:

                                                                        
------------------------------------------------------------------------
                                                              Cadets at 
                                                             the Academy
                Congressional/Gubernatorial                   at any one
                                                                 time   
------------------------------------------------------------------------
Vice President.............................................            5
100 Senators (5 each)......................................          500
435 Representatives (5 each)...............................        2,175
Delegates in Congress from:                                             
  District of Columbia.....................................            5
  Virgin Islands...........................................            1
  Guam.....................................................            1
Governor/Residential Commissioner of Puerto Rico...........            6
Governors of:                                                           
  Canal Zone...............................................            1
  American Samoa...........................................            1
------------------------------------------------------------------------


                                                                        
------------------------------------------------------------------------
                                                               Annually 
                     Service-Connected                        Allocated 
                                                              Cadetships
------------------------------------------------------------------------
Presidential...............................................          100
Enlisted Members of the Regular Army.......................           85
Enlisted Members of the Army Reserve/National Guard........           85
Sons and Daughters of Deceased and Disabled Veterans                    
 (approximately)...........................................           10
Honor Military, Naval Schools and ROTC.....................           20
Sons and Daughters of persons Awarded the Medal of Honor...    Unlimited
------------------------------------------------------------------------

    (a) Congressional / Gubernatorial Nomination. (1) Up to 10 
nominations may be submitted for each vacancy. Nominating authorities 
may use one of three methods of nomination:
    (i) Name 10 nominees on a totally competitive basis,

[[Page 396]]

    (ii) Name a principal nominee, with nine competing alternates, or
    (iii) Name a principal nominee, with nine alternates in order of 
preference.
    (2) The priority that a fully qualified candidate may receive when 
considered for appointment is actually governed by the method of 
nomination used. For example, a principal nominee who is found minimally 
qualified must be offered an appointment. Conversely, the same 
individual nominated on a totally competitive basis, may be ranked as 
one of the least qualified nominees for that vacancy and, consequently, 
may not be offered an appointment. Many nominating authorities hold 
preliminary competitive nomination examinations to select their 
nominees. Those selected are required to be actual residents of the 
geographic location represented by the nominating authority.
    (b) Service-connected nominations. There is no restriction on the 
residence of nominees who compete for an appointment under these quotas. 
All applications for a service-connected nomination must be submitted to 
the Superintendent, United States Military Academy, West Point, NY 
10996, not later than 15 December for the class entering the following 
July. A description of the Service-Connected nomination categories 
follows:
    (1) Presidential: Children of career military personnel in the Armed 
Forces who are on active duty, retired, or deceased, are nominated 
through this category. The term ``career'' includes members of the 
Reserve Components currently serving 8 or more years of continuous 
active duty and Reserve retirees receiving either retired or retainer 
pay. Children of reservists retired while not on active duty are 
ineligible. Applications should include the name, grade, social security 
number/service number, and branch of service of the parent as a member 
of such regular component, and the full name, address, and date of birth 
of the applicant (complete military address and social security number, 
if in the Armed Forces). Adopted children are eligible for appointment 
if they were adopted prior to their 15th birthday; a copy of the order 
of court decreeing adoption, duly certified by the clerk of the court, 
must accompany the application.
    (2) Children of Deceased and Disabled Veterans: This category is for 
children of deceased or 100 percent disabled Armed Forces veterans whose 
deaths or disabilities were determined to be service-connected, and for 
children of military personnel or federally employed civilians who are 
in a missing or captured status. Candidates holding a nomination under 
this category are not eligible for nomination under the Presidential or 
Medal of Honor category. The Veterans Administration determines the 
eligibility of all applicants. The application should include the full 
name, date of birth, and address of the applicant (complete service 
address should be given if the applicant is in the Armed Forces), and 
the name, grade, social security number/service number, and last 
organization of the veteran parent, together with a brief statement 
concerning the time, place, and cause of death. The claim number 
assigned to the veteran parent's case by the Veterans Administration 
should also be furnished.
    (3) Children of Persons Awarded the Medal of Honor: Applications 
from children of persons awarded the Medal of Honor should contain the 
applicant's full name, address, and date of birth (complete service 
address should be given if the applicant is in the Armed Forces); the 
name, grade, and branch of service of the parent; and a brief statement 
of the date and circumstances of the award. Candidates appointed from 
this source may qualify in the same manner as a congressional principal 
candidate. All who are found fully qualified will be admitted as cadets, 
regardless of the number.
    (4) Honor Military Schools: Certain Honor Military Schools 
designated by Department of the Army, Department of the Navy, and 
Department of the Air Force are invited to recommend three candidates 
for nomination annually from among their honor graduates. Appointments 
are filled by selecting the best qualified candidates regardless of the 
school from which nominated. Application should be made through the 
school Senior Army Instructor.
    (5) Army ROTC: This category is for members of college and high 
school Army Reserve Officers' Training Corps units. Application should 
be made

[[Page 397]]

through the Professor of Military Science or Senior Army Instructor at 
the school.
    (6) Regular Army: This category is for enlisted members of the 
active Army. Appointments may be awarded to 85 Regular Army candidates. 
Application for admission, through command channels to the United States 
Military Academy Preparatory School (USMAPS) constitutes application for 
nomination under this category.
    (7) Reserve Components: This category is for enlisted members of the 
Army Reserve and Army National Guard. Application for admission should 
be made through command channels to USMAPS. Enlisted members who are not 
on active duty should apply to the Commandant, United States Military 
Preparatory School, Fort Monmouth, New Jersey 07703.
    (c) Filipino cadets. The Secretary of the Army may permit each 
entering class one Filipino, designated by the President of the Republic 
of the Philippines, to receive instruction at the United States Military 
Academy.
    (d) Foreign cadets. The law permits 20 persons at a time from the 
Latin-American Republics and Canada to receive instruction at the United 
States Military Academy. A maximum of three persons from any one country 
may be cadets at the same time. Such persons receive the same pay and 
allowances (including mileage from their homes in proceeding to the 
Military Academy for initial admission) as cadets appointed from the 
United States. However, they are not entitled to appointment in the 
United States Armed Forces upon graduation. Citizens of other foreign 
countries have been permitted from time to time to attend the Military 
Academy upon specific authorization of the United States Congress in 
each case. Applications must be submitted to the United States 
Government through diplomatic channels by the governments concerned. 
Requirements for the admission, advancement, and graduation of foreign 
cadets are similar to those for United States Cadets.



Sec. 575.4  [Reserved]



Sec. 575.5  Entrance requirements.

    This section describes the specific requirements which candidates 
must fulfill in addition to obtaining an appointment as outlined in 
Sec. 575.3.
    (a) Age. On 1 July of the year admitted to the Military Academy a 
candidate must be at least 17 years of age and must not have passed his/
her 22d birthday. The age requirements for all candidates are statutory 
and cannot be waived.
    (b) Citizenship. A candidate must be a citizen of the United States, 
except those appointed specifically as foreign cadets.
    (c) Character. Every candidate must be of good moral character.
    (d) Marital Status. A candidate must be unmarried and not be 
pregnant or have a legal obligation to support a child or children.



Sec. 575.6  Catalogue, United States Military Academy.

    The latest edition of the catalogue, United States Military Academy, 
contains additional information regarding the Academy and requirements 
for admission. This publication may be obtained free of charge from the 
Registrar, United States Military Academy, West Point, NY 10996, or from 
the United States Army Military Personnel Center, HQDA (DAPC-OPP-PM), 
200 Stovall Street, Alexandria, VA 22332.



PART 578--DECORATIONS, MEDALS, RIBBONS, AND SIMILAR DEVICES--Table of Contents




                       Decorations for Individuals

Sec.
578.1  Purpose.
578.2  Definitions.
578.3  General provisions governing the awards of decorations.
578.4  Medal of Honor.
578.5  Distinguished Service Cross.
578.6  Distinguished Service Medal.
578.7  Silver Star.
578.8  Legion of Merit.
578.9  Distinguished Flying Cross.
578.10  Soldier's Medal.
578.11  Bronze Star Medal.

[[Page 398]]

578.12  Air Medal.
578.12a  Joint Service Commendation Medal.
578.13  Army Commendation Medal.
578.14  Purple Heart.
578.15  Medal for Merit.
578.16  National Security Medal.
578.17  Presidential Medal of Freedom.
578.17a  Distinguished Civilian Service Medal.
578.17b  Outstanding Civilian Service Medal.
578.18  Appurtenances to military decorations.
578.19  Foreign individual awards.
578.20  Supply of medals and appurtenances.
578.21  Original issue or replacement.
578.22  Exhibition.
578.23  Certificates for decorations: Issuance for prior awards.
578.24  Certificate of appreciation.
578.25  Accolade and Gold Star lapel button.
578.25a  Certificate of Honorable Service and Record Service (Deceased 
          Military Personnel).
578.25b  Certificate of Achievement.
578.25c  Special Certificate of Achievement for Public and Community 
          Relations.

                             Service Medals

578.26  General.
578.27  Good Conduct Medal.
578.28  Civil War Campaign Medal.
578.29  Indian Campaign Medal.
578.30  Spanish Campaign Medal.
578.31  Spanish War Service Medal.
578.32  Army of Cuban Occupation Medal.
578.33  Army of Puerto Rican Occupation Medal.
578.34  Philippine Campaign Medal.
578.35  Philippine Congressional Medal.
578.36  China Campaign Medal.
578.37  Army of Cuban Pacification Medal.
578.38  Mexican Service Medal.
578.39  Mexican Border Service Medal.
578.40  World War I Victory Medal.
578.41  Army of Occupation of Germany Medal.
578.42  American Defense Service Medal.
578.43  Women's Army Corps Service Medal.
578.44  American Campaign Medal.
578.45  Asiatic-Pacific Campaign Medal.
578.46  European-African-Middle Eastern Campaign Medal.
578.47  World War II Victory Medal.
578.48  Army of Occupation Medal.
578.48a  Medal for Humane Action.
578.48b  Korean Service Medal.
578.48c  Armed Forces Reserve Medal.
578.48d  United Nations Service Medal.
578.48e  National Defense Service Medal.
578.48f  Antarctica Service Medal.
578.48g  Armed Forces Expeditionary Medal.
578.49  Service ribbons.
578.49a  Philippine service ribbons.
578.49b  United Nations Medal.
578.52  Miniature service medals and appurtenances.
578.53  Miniature service ribbons.
578.54  Lapel buttons.
578.56  Manufacture, sale, and illegal possession.

                                 Badges

578.60  Badges and tabs; general.
578.61  Combat and special skill badges and tabs.
578.62  Qualification badges and tabs.

    Authority: Sec. 3012, 70A Stat. 157; 10 U.S.C. 3012.

    Source: 21 FR 7672, Oct. 6, 1956, unless otherwise noted.

                       Decorations for Individuals



Sec. 578.1  Purpose.

    The primary purpose of the awards program is to provide tangible 
evidence of public recognition for acts of valor and for exceptional 
service or achievement. Medals constitute one of the principal forms for 
such evidence; in the United States Army, medals are of the following 
categories:
    (a) Military decorations are awarded on a restricted individual 
basis in recognition of and as a reward for heroic, extraordinary, 
outstanding, and meritorious acts, achievements, and services; and such 
visible evidence of recognition is cherished by recipients. Decorations 
are primarily intended to recognize acts, achievements, and services in 
time of war.
    (b) The Good Conduct Medal is awarded in recognition of exemplary 
behavior, efficiency, and fidelity during enlisted status in active 
Federal military service.
    (c) Service medals are awarded generally in recognition of honorable 
performance of duty during designated campaigns or conflicts. Award of 
decorations, and to a lesser degree, award of the Good Conduct Medal and 
of service medals, provide a potent incentive to greater effort, and are 
instrumental in building and maintaining morale.
[26 FR 6434, July 18, 1961]



Sec. 578.2  Definitions.

    The following definitions are furnished for clarity and uniformity 
in the determination and award of decorations:
    (a) Above and beyond the call of duty. Exercise of a voluntary 
course of action, the omission of which would not

[[Page 399]]

justly subject the individual to censure for failure in the performance 
of duty. It usually includes the acceptance of existing danger or 
extraordinary responsibilities with praiseworthy fortitude and exemplary 
courage. In its highest degrees it involves the voluntary acceptance of 
additional danger and risk of life.
    (b) Combat heroism. Act or acts of heroism by an individual engaged 
in:
    (1) Actual conflict with an armed enemy, or
    (2) Military operations which involve exposure to personal hazards, 
due to direct enemy action or the imminence of such action.
    (c) Combat zone. The region where fighting is going on; the forward 
area of the theater of operations where combat troops are actively 
engaged. It extends from the front line to the front of the 
communications zone.
    (d) Duty of great responsibility. Duty which, by virtue of the 
position held, carries the ultimate responsibility for the successful 
operation of a major command, activity, agency, installation, or 
project. The discharge of such duty must involve the acceptance and 
fulfillment of the obligation so as to greatly benefit the interests of 
the United States.
    (e) Duty of responsibility. Duty, which by virtue of the positions 
held, carries a high degree of the responsibility for the successful 
operation of a major command, activity, agency, installation, or 
project, or which requires the exercise of judgment and decision 
affecting plans, policies, operations, or the lives and well being of 
others.
    (f) Heroism. Specific acts of bravery or outstanding courage, or a 
closely related series of heroic acts performed within an exceptionally 
short period of time.
    (g) In connection with military operations against an armed enemy. 
This phrase covers all military operations including combat, support, 
and supply which have a direct bearing on the outcome of an engagement 
or engagements against armed opposition. To perform duty or to 
accomplish an act of achievement in connection with military operations 
against an armed enemy, the individual must have been subjected either 
to personal hazard as a result of direct enemy action (or the imminence 
of such action) or must have had the conditions under which his duty or 
accomplishment took place complicated by enemy action or the imminence 
of enemy action.
    (h) Key individual. A person who is occupying a position that is 
indispensable to an organization, activity, or project.
    (i) Meritorious achievement. A praiseworthy accomplishment, with 
easily discernible beginning and end, carried through to completion. The 
length of time involved is not a consideration but speed of 
accomplishment may be a factor in determining the worth of the 
enterprise.
    (j) Meritorious service. Praiseworthy execution of duties over a 
period of time. Service differs from achievement in that service 
concerns a period of time while achievement concerns an enterprise 
having a definite beginning and end but not necessarily connected with a 
specific period of time.
    (k) Peacetime criteria. The criteria applied:
    (1) In a period when the United States is not engaged in the 
prosecution of a formal declared war, or
    (2) Outside a combat zone when the United States is engaged in 
military operations against an armed enemy, but is not prosecuting a 
formal declared war, except that in the communications zone, those 
individuals whose duties are in connection with military operations 
against an armed enemy may be considered under war criteria.
    (l) Shall have distinguished himself or herself by. The person thus 
described must have, by praiseworthy accomplishment, set himself apart 
from his comrades or from other persons in the same or similar 
circumstances. Determination of this distinction requires careful 
consideration of exactly what is or was expected as the ordinary, 
routine, or customary behavior and accomplishment for individuals of 
like rank and experience for the circumstances involved.
    (m) Wartime criteria. The criteria to be applied under the following 
conditions:
    (1) During a period of formal, declared war and for 1 year after the 
cessation of hostilities, or

[[Page 400]]

    (2) During a period of military operations against an armed enemy 
and for 1 year after the cessation of hostilities. Only those 
individuals actually in the combat zone or those individuals in the 
communications zone whose duties involve direct control or support of 
combat operations, are to be considered under wartime criteria.
    (n) Active Federal military service. The term ``active Federal 
military service'' means all periods of active duty and, except for 
service creditable for the Armed Forces Reserve Medal, excludes periods 
of active duty for training. Service as a cadet at the United States 
Military Academy is considered to be active duty.
    (o) He, his, him. Include the terms ``she'' and ``her,'' as 
appropriate.
    (p) Medal. A term used in either of two ways:
    (1) To include the three categories of awards, namely: decorations, 
Good Conduct Medal, and service medals; or
    (2) To refer to the distinctive physical device of metal and ribbon 
which constitutes the tangible evidence of an award.
    (q) Officer. Except where expressly indicated otherwise, the word 
``officer'' means ``commissioned or warrant officer.''
[21 FR 7672, Oct. 6, 1956, as amended at 26 FR 6434, July 18, 1961]



Sec. 578.3  General provisions governing the awards of decorations.

    (a) To whom awarded. See figure 1.

[[Page 401]]



                                                                               Figure 1--Army Personal Decorations                                                                              
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                Awarded for--                  Awarded by--                                                Awarded to--                                         
                                    ------------------------------------------------------------------------------------------------------------------------------------------------------------
  Decorations (Listed in order of            Heroism                                                                 Military                                        Civilian                   
            precedence)             -------------------------------------  Under war     Under   -----------------------------------------------------------------------------------------------
                                                             Achievement  criteria a     peace                                                                                                  
                                       Combat    Non-Combat   or service              criteria a           U.S.                   Foreign                  U.S.                   Foreign       
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                            military                                                                                            
                                                                                                                                                                                                
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                                                                                                                                                            
Medal of Honor (Est. 1862).........           X  ..........  ...........      (\1\ )  ..........  War b.................  ......................  ......................                        
Distinguished Service Cross (Est.             X  ..........  ...........      (\3\ )  ..........  War...................  War...................  War c.................  War.c                 
 1918).                                                                                                                                                                                         
Distinguished Service Medal (Est.    ..........  ..........            X      (\2\ )      (\2\ )  War,..................  War \1\ ..............  War c \1\.............  War.c \1\             
 1918).                                                                                                                                                                                         
                                                                                                  Peace.................                                                                        
Silver Star (Est. 1918)............           X  ..........  ...........      (\3\ )  ..........  War...................  War...................  War c.................  War.c                 
Legion of Merit (Est. 1942)........  ..........  ..........            X      (\4\ )      (\2\ )  War,..................  War,..................  ......................                        
                                                                                                  Peace d...............                                                                        
Distinguished Flying Cross (Est.            X e         X e          X e      (\3\ )      (\2\ )  War,..................  War...................  ......................                        
 1926).                                                                                                                                                                                         
                                                                                                  Peace.................                                                                        
Soldier's Medal (Est. 1926)........  ..........           X  ...........      (\3\ )      (\2\ )  War,..................  War...................  ......................                        
                                                                                                  Peace.................                                                                        
Bronze Star Medal (Est. 1944)......         X f  ..........            X      (\3\ )  ..........  War...................  War...................  War...................  War.c                 
Air Medal (Est. 1942)..............         X e  ..........          X c      (\3\ )      (\2\ )  War,..................  War...................  War...................  War.c                 
                                                                                                  Peace.................                                                                        
Army Commendation Medal (Est. 1945)  ..........           X            X      (\3\ )  (\5\ \2\ )  War,..................  ......................  ......................                        
                                                                                                  Peace k...............                                                                        
Purple Heart (Est. 1782; Revived         Wounds  ..........       (\6\ )  ..........         War  ......................  War...................                                                
 1932).                                                                                                                                                                                         
                                                                                                                                                                                                
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                                                                                                                                                            
                                                                                           nonmilitary                                                                                          
                                                                                                                                                                                                
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½                                                                                                                                                            
Medal for Merit (Est. 1942)........  ..........  ..........            X      (\1\ )  ..........  ......................  ......................  War j.................  War.                  
National Security Medal (Est. 1953)           X           X            X      (\1\ )      (\1\ )  War...................  War...................  War...................  War.                  
                                                                                                  Peace.................  Peace.................  Peace.................                        
Medal of Freedom (Est. 1942).......           X           X            X      (\4\ )      (\3\ )  ......................  Peace g...............  Peace h...............  Peace.g               
Distinguished Civilian Service       ..........  ..........            X  ..........      (\2\ )  ......................  ......................  Peace i...............  Peace.                
 Medal (Est. 1957).                                                                                                                                                                             
Outstanding Civilian Service Medal   ..........  ..........            X  ..........      (\2\ )  ......................  ......................  Peace i...............  Peace.                
 (Est. 1960).                                                                                                                                                                                   
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ President of the U.S. He may award all decorations; only he may award the Medal of Honor.                                                                                                   
\2\ Secretary of the Army. Secretary of Defense awards the LM to foreign military personnel.                                                                                                    
\3\ Senior Army commander of any separate force. He may delegate his authority to (a) any subordinate commander in the grade of major general or higher and (b) any brigadier general who       
  commands a tactical unit, and, as such, occupies a position vacancy of a major general. Exception: Authority to award the DSC to foreign personnel is retained by the Secretary of the Army.  
\4\ Commanders specifically designated by the Secretary of the Army (usually theater commanders).                                                                                               

[[Page 402]]

                                                                                                                                                                                                
\5\ Commander in the grade or position of major general or higher, heads of Hq DA Staff agencies.                                                                                               
\6\ Commander of any separate force in the grade or position of a major general or higher. He may delegate his authority to any field grade officer.                                            
a Peace criteria apply to all personnel in times of total peace; similarly, war criteria apply to all personnel in times of formal declared war plus 1 year thereafter. When no formal war has  
  been declared but the U.S. is engaged in military operations against an armed enemy, all personnel in the combat zone and certain individuals in the communications zone (i.e., only those    
  whose duties involve direct control or support of combat operations) are considered under war criteria; all remaining personnel are considered under peace criteria.                          
b Army Medal of Honor is awarded only to Army officer and enlisted personnel.                                                                                                                   
c Not usually awarded to these personnel.                                                                                                                                                       
d Awarded to foreign military in one of four degrees. The degrees of Chief Commander and Commander compare to award of the DSM to U.S. military, the degrees of Officer and Legionnaire compare 
  to award of the LM to U.S. military. Second or succeeding awards of this decoration must be in the same or a higher degree than the previous award.                                           
e Must meet requirement ``while participating in aerial flight.''                                                                                                                               
f Must meet requirement ``in actual ground combat'' for valor, awarded with a bronze star ``V'' device to distinguish from an award made for achievement or service.                            
g Awarded to foreign personnel in one of four degrees: Gold Palm (corresponds to LM, Chief, Commander degree); Silver Palm (corresponds to LM, Commander degree); Bronze Palm (corresponds to   
  LM, Officer and Legionnaire degrees); and without Palm (corresponds to Bronze Star Medal). Only one Medal of Freedom, either with or without palm, is awarded to any one person. Second and   
  successive awards may be evidenced by the addition of a palm of a higher degree.                                                                                                              
h The meritorious act or service must be of degree required for the award of the BSM to U.S. military. Usually awarded for acts or services performed within an active theater of operations,   
  never for acts of services performed within continental limits of the United States.                                                                                                          
i Not awarded for service rendered as a Department of the Army employee.                                                                                                                        
j Last awarded in 1952.                                                                                                                                                                         
kNever awarded to officers of general rank.                                                                                                                                                     

[[Page 403]]

                                                                                                                                                                                                

    (b) Recommendations. (1) It is the responsibility and privilege of 
any individual having personal knowledge of an act, achievement, or 
service believed to warrant the award of a decoration to submit a 
recommendation for consideration. It is usually desirable that the 
intended recipient not be informed of a pending recommendation or given 
an implied promise of an award prior to final approval and clearance. 
This is especially true when the intended recipient is a foreigner.
    (2) Recommendations may be submitted in letter form but it is 
preferable that DA Form 638 (Recommendation for Award (Heroism, 
meritorious achievement or service)) be used. This form is self-
explanatory; however, close attention to detail is most essential. A 
separate recommendation including a proposed citation will be submitted 
for each proposed award and only one proposed recipient will be named in 
a single recommendation. Lucid reporting of facts, not flowery 
generalities, will be most likely to achieve the object of the 
recommendation. Statements of eyewitnesses, extracts from official 
records, sketches, maps, diagrams, photographs, etc., will be attached 
to support and amplify stated facts. Statements must be signed and the 
signer clearly identified by his organization or address; if in the 
military service the service number should be included. All other 
documentation should be authenticated and related to the basic 
recommendation. The proposed citation usually will be limited to one 
typewritten page (8 by 10\1/2\ inches) double spaced.
    (3) To be fully effective a decoration must be timely. Undue delay 
in the submission of a recommendation may preclude its consideration as 
noted in paragraph (m) of this section. It is highly desirable that a 
recommendation be placed in military channels and acted on as quickly as 
possible. If circumstances preclude submission of a completely 
documented recommendation it is best to submit it as soon as possible 
and note that additional data is to be submitted later. Action by 
intermediate headquarters and by the final approving authority will be 
as expeditious as possible, consistent with full and weighted judgment.
    (4) A recommendation for the award of a decoration based on a period 
of meritorious service will not normally be acted on more than 30 days 
prior to the projected end of that period. Such an award normally will 
not be made until the duties which the individual has been performing 
are terminated. When an individual departing an organization or 
installation desires to initiate a recommendation for an award for 
meritorious service for an individual who is remaining in the command, 
he should leave the recommendation in written form with the commanding 
officer or with his own successor for final action when the person 
recommended becomes eligible for consideration, as indicated in 
paragraphs (b)(1) to (4) of this section.
    (5) Recommendations for all awards which may not be finally acted on 
in the field pursuant to delegated authority will be forwarded through 
channels to The Adjutant General, or directly to The Adjutant General if 
the use of military channels is impracticable. Each intermediate 
headquarters will express approval or disapproval, indicating reasons if 
disapproved. When an interim award is made a copy of the orders and 
citation will be added to the recommendation when it is forwarded.
    (c) By whom awarded--wartime criteria. The award of the Medal of 
Honor is made by the President. Awards of other decorations are made by 
the President, the Secretary of Defense, and the Secretary of the Army, 
except that during a period when wartime criteria apply, authority to 
award decorations is delegated as follows:
    (1) The Distinguished-Service Cross, Silver Star, Distinguished-
Flying Cross, Soldier's Medal, Bronze Star Medal, Air Medal, and 
Commendation Ribbon with Metal Pendant may be awarded to members of the 
Armed Forces of the United States by the senior Army commander of any 
separate force or by subordinate commanders to whom he may delegate this 
authority, provided that the authority will not be delegated to any 
commander below the grade of major general. Authority may be delegated 
to any commander in the grade of brigadier general while he is in 
command of a tactical unit and, as

[[Page 404]]

such, is occupying the established position vacancy of a major general. 
No award will be made under the provisions of this paragraph to a member 
of another United States Armed Forces service without the concurrence of 
the respective senior commander present.
    (2) The Distinguished-Service Cross and Silver Star may be awarded 
by the commanding general of a United States Army force in a theater of 
operations to officers and members of crews of ships of the United 
States Merchant Marine serving under his jurisdiction.
    (3) The Legion of Merit may be awarded only by commanders 
specifically designated by the Secretary of the Army.
    (4) The Silver Star, Distinguished-Flying Cross, Soldier's Medal, 
Bronze Star Medal, and Air Medal may be awarded by the commanders 
indicated in paragraph (c)(1) of this section, to members of the armed 
forces of friendly foreign nations, provided concurrence has been 
obtained from the senior commander present in the theater of hostilities 
for an award to one of his own nationals, except as shown in paragraphs 
(c)(4) (i) and (ii) of this section. Such concurrence will be regarded 
as constituting approval by his government for acceptance of the award. 
A recommendation for any of these awards will be forwarded to the 
Department of the Army when:
    (i) The senior commander of a cobelligerent force is unable to 
obtain the approval of his government.
    (ii) An award to a flag or general officer or to the senior officer 
of the cobelligerent force present in the area is contemplated.
    (5) The Purple Heart may be awarded by the commanding general of any 
separate force who is in the grade or position of a major general or 
higher or by any field grade officer to whom he may delegate the 
authority. The award may be made to members of the Armed Forces of the 
United States, to officers and members of crews of ships of the United 
States Merchant Marine serving within the area of his command, to 
civilian citizens of the United States serving with the Army, and to 
civilian citizens of the United States whose presence within the command 
has been approved (examples: war correspondents, Red Cross, and USO 
personnel).
    (6) The Medal of Freedom may be awarded by such officers as may be 
designated by the Secretary of the Army.
    (7) The National Security Medal shall be awarded by the President or 
his designee for that purpose under either wartime or peacetime 
criteria.
    (d) By whom awarded; peacetime criteria. (1) Awards for peacetime 
service are made by the President, the Secretary of Defense, and the 
Secretary of the Army.
    (2) No peacetime award of an Army decoration will be made to a 
member of another United States Armed Forces Service without concurrence 
from the military department concerned.
    (3) The Legion of Merit, the Soldier's Medal, the Army Commendation 
Medal, the Decoration for Distinguished Civilian Service and the 
Outstanding Civilian Service Award are the only United States 
decorations which may be awarded by the Department of the Army to 
foreign nationals under peacetime criteria. The Bronze Star Medal may be 
awarded by the Department of the Army to foreign nationals under 
peacetime criteria during a period and in specified areas where United 
States troops are engaged in military operations involving conflict with 
an opposing foreign force or while serving with friendly foreign forces 
engaged in an armed conflict against an opposing armed force in which 
the United States is not a belligerent party.
    (4) Authority to award the Joint Service Commendation Medal has been 
delegated by the Secretary of Defense to:
    (i) The Deputy Secretary of Defense for awards to military personnel 
assigned to the Office of the Secretary of Defense.
    (ii) The Chairman, Joint Chiefs of Staff for awards to military 
personnel on his staff, and in those agencies and activities reporting 
through his staff.
    (iii) Director, Defense Supply Agency for awards to military 
personnel on his staff.
    (iv) Director, National Security Agency for award to military 
personnel on his staff.

[[Page 405]]

    (v) Commanders in Chief of Unified and Specified Commands, for 
awards to military personnel assigned to their respective headquarters 
and to those joint agencies and activities reporting to or through their 
commands.

In wartime, this authority may be further delegated at the direction of 
the Secretary of Defense.
    (5) The Army Commendation Medal may be awarded for heroism, 
meritorious achievement or meritorious service by any commander in the 
grade or position of a Major General or higher and by the heads of 
Headquarters Department of the Army staff agencies to members of the 
Army of the United States below the grade of Brigadier General. The Army 
Commendation Medal may be awarded by the appropriate commander as an 
interim award in accordance with paragraph (g) of this section in those 
cases involving heroism and for which a recommendation for the award of 
the Distinguished Flying Cross or the Soldier's Medal has been 
submitted. Awards of the Army Commendation Medal may also be made under 
the provisions of AR 672-301 (Incentive Awards).
    (6) The National Security Medal is awarded as noted in paragraph 
(c)(7) of this section.
    (e) Civilian components. Awards of the Soldier's Medal, 
Distinguished-Flying Cross, Air Medal, and Commendation Ribbon with 
Metal Pendant may be made by the Secretary of the Army to members of the 
civilian components of the Army not in Federal service or on active duty 
for acts and services incident to membership in such civilian components 
or directly related to attendance on occasions of military duty.
    (f) Posthumous awards. Awards may be made following the decease of 
the person being honored in the same manner as they are made for a 
living person except that the orders and citation will indicate that the 
award is being made posthumously. Engraved certificates for presentation 
with the decorations will not contain the word posthumous. When the next 
of kin resides in the United States, orders announcing the award, 
together with the citation and related papers will be forwarded to The 
Adjutant General who will cause presentation to be made. Eligible 
classes of next of kin are listed in the order of their precedence in 
Sec. 578.25a(b).
    (g) Interim awards. To insure prompt recognition of an act, 
achievement, or service, the award of a suitable lesser military 
decoration may be made by appropriate authority pending final action on 
a recommendation for a higher award. Each such lesser award will be 
revoked simultaneously with an award of a higher military decoration for 
the same act.
    (h) Awards of a lower decoration. When an interim award has not been 
made as provided in paragraph (g) of this section, the commander having 
authority to take final action in the case may award a lower decoration 
in lieu of the one recommended.
    (i) Duplication of awards. Only one military decoration will be 
awarded for the same act, achievement, or period of meritorious service. 
An award for meritorious service may include meritorious achievements, 
but duplicating awards will not be made for meritorious achievement and 
meritorious service involving the same period of time. Continuation of 
the same or similar type service already recognized by an award for 
meritorious service will not be given a second award. If appropriate, an 
award may be made to include the extended period of service by 
superseding the earlier award, or if considered appropriate by the 
awarding authority, and desired by the individual, the award previously 
made may be amended to incorporate the extended period of service. An 
award for heroism performed within a period which is recognized by an 
award for meritorious service is not a duplication.
    (j) Conversion of awards. Awards of certain decorations on the basis 
of existing letters, certificates, and/or orders, as hereinafter 
authorized will be made only upon letter application of the individuals 
concerned to The Adjutant General, Washington, DC 20310. If possible, 
the applicant for the conversion of an award of the Bronze Star Medal or 
Commendation Ribbon should inclose the original or a copy of the 
documentation which he wishes to have considered, or furnish all 
possible details as to time, place, and deed or service to assist in 
locating any copy of

[[Page 406]]

the commendation which may have been recorded.
    (k) Character of service. No decoration shall be awarded or 
presented to any individual whose entire service subsequent to the time 
of the distinguished act, achievement, or service shall not have been 
honorable. The Act of July 9, 1918 (40 Stat. 871) as amended (10 U.S.C. 
1409); the Act of July 2, 1926 (44 Stat. 789), as amended (10 U.S.C. 
1429).
    (l) Disapproval of awards. Whenever a recommendation for the award 
of a decoration is disapproved, the disapproving officer will indicate 
the specific reason or reasons for such action. The disapproval of a 
recommendation by an officer subordinate to the commander having 
authority to award the decoration will not constitute authority for the 
return of the recommendation to the initiator, except that 
recommendations for an award for meritorious service which describe only 
performance of normal duty in time of peace will be automatically 
disapproved and returned to the initiator. All recommendations which 
have been finally disapproved by the commander having authority to award 
the decoration recommended will be considered by that commander for the 
award of a lesser but appropriate decoration which, if approved, will be 
forwarded in lieu thereof. All disapproved recommendations will be 
returned to the initiator if he is in the military service and will be 
returned through the same channels employed for forwarding.
    (m) Time limitations. By operation of law a military decoration will 
not be awarded more than 3 years after the action or period of service 
being honored, and in each instance the recommendation for an award must 
be formally entered into military channels within 2 years of the date of 
the act, achievement, or service to be honored.
    (1) Awards of military decorations may be made in cases where prior 
similar recommendations have been acted upon by commanders who had 
authority to approve the awards, provided the requests for 
reconsideration or upgrading are submitted within the time limits 
prescribed above and such requests are accompanied by new and material 
evidence in support thereof.
    (2) Awards of military decorations may be made in recognition of 
previously issued orders, letters, or certificates, and in exchange of 
decorations as may be authorized in this section.
    (n) Announcement of awards. All awards made pursuant to delegated 
authority will be announced in general orders by the commander 
authorized to make the award. Complete citations for acts of heroism are 
normally included in orders announcing the award. Orders announcing 
awards for meritorious achievement and meritorious service normally 
include only the places and inclusive dates of such achievements and 
services; the complete citation is then prepared separately for 
presentation and record purposes. Awards made by the President and the 
Secretary of the Army will be announced in Department of the Army 
General Orders when appropriate.
    (o) Recording of awards. The award of a military decoration will be 
entered in the personnel records of the recipient and in the unit 
history of his organization in the manner prescribed in Army 
regulations.
    (p) Engraving of awards. The Medal of Honor is engraved with the 
grade, name, and organization of the recipient. The Medal of Freedom is 
engraved on the edge, and the reverse of all other decorations is 
engraved with the name of the recipient. Normally, engraving will be 
accomplished prior to presentation. When this is impracticable, the 
recipient will be advised of his privilege to mail the decoration to 
Commanding General, Philadelphia Quartermaster Depot, Philadelphia, 
Pennsylvania, for engraving at Government expense.
    (q) Presentation of decoration--(1) Medal of Honor. The Medal of 
Honor is usually presented to living recipients by the President of the 
United States at the White House. Posthumous presentation to the next of 
kin is normally made in Washington, DC, by the President or his personal 
representative.
    (2) Other United States military decorations. Presentation will be 
timely. They will be made with an appropriate air of formality and with 
fitting ceremony.
    (3) Conversion awards. Conversion awards are not usually presented 
with

[[Page 407]]

formal ceremony, however, such presentation may be made at the 
discretion of local commanders.
    (4) Act of presentation. A decoration may be pinned on the clothing 
of the recipient, whether in uniform or civilian clothing or on the next 
of kin in the case of an award following death; however, this will not 
be construed as authority for any person other than the individual 
honored by the decoration to wear it. As an alternative to pinning the 
decoration, it may be handed to the recipient in an open decoration 
container.
[21 FR 7672, Oct. 6, 1956, as amended at 21 FR 10010, Dec. 18, 1956; 24 
FR 1790, Mar. 12, 1959; 26 FR 6434, July 18, 1961; 29 FR 527, Jan. 22, 
1964]



Sec. 578.4  Medal of Honor.

    (a) Criteria. The Medal of Honor, established by Joint Resolution of 
Congress, 12 July 1862 (amended by Act of 9 July 1918 and Act of 25 July 
1963) is awarded in the name of Congress to a person who, while a member 
of the Army, distinguished himself conspicuously by gallantry and 
intrepidity at the risk of his life above and beyond the call of duty 
while engaged in an action against an enemy of the United States; while 
engaged in military operations involving conflict with an opposing 
foreign force; or while serving with friendly foreign forces engaged in 
an armed conflict against an opposing armed force in which the United 
States is not a belligerent party (figure 1). The deed performed must 
have been one of personal bravery or self-sacrifice so conspicuous as to 
clearly distinguish the individual above his comrades and must have 
involved risk of life. Incontestable proof of the performance of the 
service will be exacted and each recommendation for the award of this 
decoration will be considered on the standard of extraordinary merit. 
Eligibility is limited to members of the Army of the United States in 
active Federal military service.
    (b) Description. A gold-finished bronze star, one point down, 1\9/
16\ inches in diameter with rays terminating in trefoils, surrounded by 
a laurel wreath in green enamel, suspended by two links from a bar 
bearing the inscription ``Valor'' and surmounted by an eagle grasping 
laurel leaves in one claw and arrows in the other. In the center of the 
star is the head of Minerva surrounded by the inscription ``United 
States of America.'' Each ray of the star bears an oak leaf in green 
enamel. On the reverse of the bar are stamped the words ``The Congress 
To.'' The medal is suspended by a hook to a ring fastened behind the 
eagle. The hook is attached to a light-blue moired silk neckband, 1\3/
16\ inches in width and 21\3/4\ inches in length, behind a square pad in 
the center made of the ribbon with the corners turned in. On the ribbon 
bar are 13 white stars arranged in the form of a triple chevron, 
consisting of two chevrons of 5 stars and one chevron of 3 stars. A 
hexagonal rosette of light-blue ribbon \1/2\ inch circumscribing 
diameter, with a fan-shaped ribbon insert showing white stars, is 
included for wear on civilian clothing.
    (c) Medal of Honor Roll. The Medal of Honor Roll was established by 
Act of Congress, April 27, 1916, as amended, 38 U.S.C. 560. It provides 
that each Medal of Honor awardee may have his name entered on the Medal 
of Honor Roll. Each person whose name is placed on the Roll is certified 
to the Veterans' Administration as being entitled to receive a special 
pension of $100 per month for life, payable monthly by that agency. The 
payment of this special pension is in addition to, and does not deprive 
the pensioner of any other pension, benefit, right, or privilege to 
which he is or may thereafter be entitled. A written application must be 
made by the awardee to have his name placed on the Medal of Honor Roll 
and to receive the special pension. For Army personnel, proper blanks 
and instructions shall be furnished without charge upon request to The 
Adjutant General, Department of the Army, Washington, DC 20314, 
Attention: AGPB-AC. The application must bear the full personal 
signature of the applicant.
    (d) Additional benefits. (1) Air transportation: See AR 96-20 (Army 
Regulations pertaining to Air Transportation).
    (2) Sons of winners of the Medal of Honor, otherwise qualified for 
admission to the United States Military Academy, will not be subject to 
quota

[[Page 408]]

requirements (see annual catalog, United States Military Academy).

(Sec. 3741, 70A Stat. 215; 10 U.S.C. 3741)

[21 FR 7672, Oct. 6, 1956, as amended at 29 FR 527, Jan. 22, 1964; 35 FR 
9279, June 13, 1970]



Sec. 578.5  Distinguished Service Cross.

    (a) Criteria. The Distinguished Service Cross, established by Act of 
Congress 9 July 1918 (amended by Act of 25 July 1963), is awarded to a 
person who, while serving in any capacity with the Army, distinguishes 
himself by extraordinary heroism not justifying the award of a Medal of 
Honor while engaged in an action against an enemy of the United States, 
while engaged in military operations involving conflict with an opposing 
force, or while serving with friendly foreign forces engaged in an armed 
conflict against an opposing armed force in which the United States is 
not a belligerent party (figure 1). The act or acts of heroism must have 
been so notable and have involved risk of life so extraordinary as to 
set the individual apart from his comrades.
    (b) Description. A cross of bronze 2 inches in height and 1\13/16\ 
inches in width with an eagle on the center and a scroll below the eagle 
bearing the inscription ``For Valor.'' On the reverse, the center of the 
cross is circled by a wreath. The cross is suspended by a ring from 
moired silk ribbon, 1\3/8\ inches in length and 1\3/8\ inches in width, 
composed of a band of red (\1/8\-inch), white (\1/16\-inch), blue (1-
inch), white (\1/16\-inch), and red (\1/8\-inch).

(Sec. 3742, 70A Stat. 215; 10 U.S.C. 3742)

[21 FR 7672, Oct. 6, 1956, as amended at 29 FR 527, Jan. 22, 1964]



Sec. 578.6  Distinguished Service Medal.

    (a) Criteria. (1) The Distinguished Service Medal, established by 
Act of Congress on July 9, 1918, is awarded to any person who, while 
serving in any capacity with the Army of the United States, shall have 
distinguished himself or herself by exceptionally meritorious service to 
the Government in a duty of great responsibility (Fig. 1). The 
performance must be such as to merit recognition for service which is 
clearly exceptional. Superior performance of normal duty will not alone 
justify an award of this decoration.
    (2) For service not related to actual war the term ``duty of great 
responsibility'' applies to a narrower range of positions than in time 
of war, and requires evidence of conspicuously significant achievement. 
However, justification of the award may accrue by virtue of 
exceptionally meritorious service in a succession of high positions of 
great importance.
    (3) Awards may be made to persons other than members of the Armed 
Forces of the United States for wartime services only, and then only 
under exceptional circumstances with the express approval of the 
President, in each case.
    (b) Description. The coat of arms of the United States in bronze 
surrounded by a circle of dark-blue enamel 1\1/2\ inches in diameter, 
bearing the inscription ``For Distinguished Service MCMXVIII.'' On the 
reverse, a blank scroll upon a trophy of flags and weapons. The medal is 
suspended by a bar from a moired silk ribbon, 1\3/8\ inches in length 
and 1\3/8\ inches in width, composed of a bank of scarlet (\5/8\-inch), 
a stripe of dark-blue (\1/16\-inch), a band of white (\5/8\-inch), a 
stripe of dark-blue (\1/16\-inch), and a band of scarlet (\5/16\-inch).

(Sec. 3743, 70A Stat. 216; 10 U.S.C. 3743)



Sec. 578.7  Silver Star.

    (a) Criteria. The Silver Star, established by Act of Congress 9 July 
1918 (amended by Act of 25 July 1963), is awarded to a person who, while 
serving in any capacity with the Army, is cited for gallantry in action 
that does not warrant a Medal of Honor or Distinguished Service Cross 
while engaged in an action against an enemy of the United States, while 
engaged in military operations involving conflict with an opposing 
foreign force, or while serving with friendly foreign forces engaged in 
an armed conflict against an opposing armed force in which the United 
States is not a belligerent party (figure 1). The required gallantry, 
while of lesser degree than that required for the award of the Medal of 
Honor or Distinguished Service Cross, must nevertheless have been 
performed with marked distinction. It is also awarded

[[Page 409]]

upon letter application to The Adjutant General to those individuals 
who, while serving in any capacity with the Army, received a citation 
for gallantry in action in World War I published in orders issued by the 
headquarters of a general officer.
    (b) Description. A bronze star 1\1/2\ inches in circumscribing 
diameter. In the center thereof is a \3/16\-inch diameter raised silver 
star, the center lines of all rays of both stars coinciding. The reverse 
has the inscription ``For Gallantry in Action.'' The star is suspended 
by a rectangular-shaped metal loop with corners rounded from a moired 
silk ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, composed 
of stripes of blue (\3/32\-inch), white (\3/64\-inch), blue (\7/32\-
inch), white (\7/32\-inch), red (\7/32\-inch), white (\7/32\-inch), blue 
(\7/32\-inch), white (\3/64\-inch), and blue (\3/32\-inch).

(Sec. 3746, 70A Stat. 216; 10 U.S.C. 3746)

[21 FR 7672, Oct. 6, 1956, as amended at 29 FR 527, Jan. 22, 1964]



Sec. 578.8  Legion of Merit.

    The Legion of Merit, established by Act of Congress July 20, 1942, 
is awarded to any member of the Armed Forces of the United States or of 
a friendly foreign nation who has distinguished himself or herself by 
exceptionally meritorious conduct in the performance of outstanding 
services. See figure 1.
    (a) Criteria for Armed Forces of the United States. (1) The 
performance must have been such as to merit recognition of key 
individuals for service rendered in a clearly exceptional manner. 
Superior performance of duties normal to the grade, branch, specialty, 
or assignment, and experience of an individual is not an adequate basis 
for this award.
    (2) For service not related to actual war, the term ``key 
individuals'' applies to a narrower range of positions than in time of 
war and requires evidence of significant achievement. Such service, 
performed in peacetime, should be in the nature of a special requirement 
or the performance of an extremely difficult duty in an unprecedented 
and clearly exceptional manner. However, justification of the award may 
accrue by virtue of exceptionally meritorious service in a succession of 
important positions.
    (3) The accomplishment of the duty should have been completed prior 
to submitting a recommendation, or if the person being recommended has 
been transferred prior to completion, the accomplishment must have 
progressed to what may be clearly determined to be an exceptional 
degree.
    (4) Awards will be made without reference to degree and for each 
such award, the Legion of Merit (Legionnaire) will be issued.
    (b) Criteria for armed forces of foreign nations. (1) See AR 672-7 
(Army Regulations pertaining to Legion of Merit for foreign nationals).
    (2) Each award will be made in one of the following degrees, which 
are listed in order or rank:
    (i) Chief Commander.
    (ii) Commander.
    (iii) Officer.
    (iv) Legionnaire.
    (3) Awards of this decoration in the degrees of Chief Commander and 
Commander are comparable to awards of the Distinguished-Service Medal 
and the standards prescribed in Sec. 578.6 (a) will be applied in 
considering such awards.
    (4) Awards in the lesser degrees of this decoration are comparable 
to awards of the Legion of Merit to members of the Armed Forces of the 
United States and the standards prescribed in paragraph (a) of this 
section are applicable.
    (5) Second or succeeding awards of this decoration will be in the 
same or a higher degree than the previous award.
    (c) Description--(1) Chief Commander. A domed five-pointed American 
white star plaque of heraldic form bordered in purplish-red enamel 2\15/
16\ inches circumscribing diameter with 13 white stars on a blue field 
emerging from a circle of clouds; backing the star, a laurel wreath with 
pierced, crossed arrows pointing outward between each arm of the star 
and the wreath. The reverse is engraved with the words ``United States 
of America.''
    (2) Commander. A five-pointed American white star of heraldic form 
bordered in purplish-red enamel 2\1/4\-inches circumscribing diameter 
with 13 white stars on a blue field emerging from a

[[Page 410]]

circle of clouds; backing the star, a laurel wreath with pierced, 
crossed arrows pointing outward between each arm of the star and the 
wreath. A bronze wreath connects an oval suspension ring to a neck 
ribbon. The reverse of the five-pointed star is enameled in white. 
bordered in purplish-red enamel; in the center is a disk surrounded by 
the words ``Annuit Coeptis'' and ``MDCCLXXXII,'' and on the scroll are 
the words ``United States of America.'' The moired silk neck ribbon is 
21\1/4\ inches in length and 1\15/16\ inches in width composed of a bank 
of purplish-red (1\13/16\-inches) with edges of white (\1/16\-inch).
    (3) Officer. A five-pointed American white star of heraldic form 
bordered in purplish-red enamel 1\7/8\-inches circumscribing diameter 
with 13 white stars on a blue field emerging from a circle of clouds; 
backing the star, a laurel wreath with modeled, crossed arrows pointing 
outward between each arm of the star and the wreath, and an all-bronze 
device of the same design as the pendant \3/4\ inch in diameter on the 
center of the suspension ribbon. On the reverse is a disk surrounded by 
the words ``Annuit Coeptis'' and ``MDCCLXXXII,'' and on the scroll are 
the words ``United States of America.'' The pendant is suspended by a 
moired silk ribbon 1\7/8\ inches in length and 1\3/8\ inches in width, 
composed of a bank of purplish-red (1\1/4\-inches) with edges of white 
(\1/16\-inch).
    (4) Legionnaire. Same as prescribed in paragraph (c)(3) of this 
section, except the all-bronze device is not worn on the ribbon.

(Sec. 1121, 70A Stat. 88; 10 U.S.C. 1121, E.O. 9260, October 29, 1942, 7 
FR 8819, 3 CFR, 1943 Cum. Supp.)

[21 FR 7672, Oct. 6, 1956, as amended at 22 FR 9692, Dec. 4, 1957]



Sec. 578.9  Distinguished Flying Cross.

    (a) Criteria. The Distinguished Flying Cross, established by Act of 
Congress July 2, 1926, is awarded to any member of the Armed Forces of 
the United States and of friendly foreign nations who while serving in 
any capacity with the Army of the United States, shall have 
distinguished himself or herself by heroism or extraordinary achievement 
while participating in aerial flight (figure 1). The performance of the 
act of heroism must be evidenced by voluntary action in the face of 
great danger above and beyond the call of duty while participating in 
aerial flight. The extraordinary achievement while participating in 
aerial flight must have resulted in an accomplishment so exceptional and 
outstanding as to clearly set the individual apart from his comrades, or 
from other persons in similar circumstances. Awards will be made only to 
recognize single acts of heroism or extraordinary achievement and will 
not be made in recognition of sustained operational activities against 
an armed enemy. It should also be noted that if a higher decoration is 
considered to be merited for the heroism or extraordinary achievement 
while participating in aerial flight, recommendation may be made for any 
appropriate higher award.
    (b) Description. On a bronze 1\1/2\-inch cross pattee, a four-bladed 
propeller 1\11/16\ inches across the blades; in the reentrant angles, 
rays forming a 1-inch square. The cross is suspended by a plain, 
straight link from a moired silk ribbon 1\3/8\ inches in length and 1\3/
8\ inches in width, composed of stripes of blue (\7/64\-inches), white 
(\9/64\-inch), blue (\11/32\-inch), white (\3/64\-inch), red (\3/32\-
inch), white (\3/64\-inch), blue (\11/32\-inch), white (\9/64\-inch), 
and blue (\7/64\-inch).

(Sec. 3749, 70A Stat. 217; 10 U.S.C. 3749, E.O. 4601, March 1, 1927, as 
amended by E.O. 7786, January 8, 1938, 3 FR 39)



Sec. 578.10  Soldier's Medal.

    (a) Criteria. The Soldier's Medal, established by Act of Congress 
July 2, 1926, is awarded to any person who, while serving in any 
capacity with the Army of the United States, shall have distinguished 
himself or herself by heroism not involving actual conflict with an 
armed enemy (figure 1). The same degree of heroism is required as that 
for an award of the Distinguished Flying Cross. The performance must 
have involved personal hazard or danger and the voluntary risk of life 
under conditions other than those involving conflict with an armed 
enemy. Awards will not be made solely on the basis of having saved a 
life. The award of this decoration will be limited to members of

[[Page 411]]

the Armed Forces of the United States and of friendly foreign nations.
    (b) Description. On a 1\3/8\-inch bronze octagon, an eagle 
displayed, standing on a fasces, between two groups of stars of six and 
seven, above the group of six a spray of leaves. On the reverse is a 
shield paly of 13 pieces on the chief, the letters ``U.S.'' supported by 
sprays of laurel and oak, around the upper edge the inscription 
``Soldier's Medal,'' and across the face the words ``For Valor.'' The 
medal is suspended by a rectangular-shaped metal loop with corners 
rounded from a moired silk ribbon 1\3/8\ inches in length and 1\3/8\ 
inches in width, composed of two outside stripes of blue (\3/8\-inch), 
the center containing 13 white and red stripes of equal width (7 white 
and 6 red).

(Sec. 3750, 70A Stat. 217; 10 U.S.C. 3750)



Sec. 578.11  Bronze Star Medal.

    (a) Criteria. The Bronze Star Medal, established by Executive Order 
on February 4, 1944, is awarded to any person who, while serving in any 
capacity in or with the Army of the United States, on or after December 
7, 1941, shall have distinguished himself or herself by heroic or 
meritorious achievement or service, not involving participation in 
aerial flight, in connection with military operations against an armed 
enemy. See figure 1.
    (1) Heroism. Awards may be made for acts of heroism performed in 
actual ground combat against an armed enemy which are of lesser degree 
than required for the award of the Silver Star.
    (2) Meritorious achievement and service. (i) Awards may be made to 
recognize single acts of merit and meritorious service. The required 
achievement or service, while of lesser degree than that required for 
the award of the Legion of Merit, must nevertheless have been 
meritorious and accomplished with distinction.
    (ii) Awards may be made, upon letter application to The Adjutant 
General, to those members of the Armed Forces of the United States who, 
on or after December 7, 1941, have been awarded the Combat Infantryman 
Badge or Medical Badge for exemplary conduct in ground combat against an 
armed enemy between December 7, 1941 and September 2, 1945, inclusive, 
or whose meritorious achievement or exemplary conduct in ground combat 
against an armed enemy during such period has been otherwise confirmed 
in writing by documents executed prior to July 1, 1947. Documents which 
have been executed since August 4, 1944 in connection with 
recommendations for the award of decorations of higher degree than the 
Bronze Star Medal will not be used to establish a basis for the award of 
this decoration under the provisions of this paragraph.
    (b) Description. A bronze star 1\1/2\ inches in circumscribing 
diameter. In the center thereof is a \3/16\-inch diameter raised bronze 
star, the center line of all rays of both stars coinciding. The reverse 
has the inscription ``Heroic or Meritorious Achievement.'' The star is 
suspended by a rectangular-shaped loop with corners rounded from a 
moired silk ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, 
composed of stripes of white (\1/32\-inch), red (\9/16\-inch), white 
(\1/32\-inch), blue (\1/8\-inch), white (\1/32\-inch), red (\9/16\-
inch), and white (\1/32\-inch). A bronze block letter ``V'' \1/4\ inch 
in height with serifs at the top of the members is worn on the 
suspension and service ribbons of the Bronze Star Medal to denote an 
award made for heroism (valor). Not more than one ``V'' device will be 
worn. When one or more oak-leaf clusters appear on the same ribbon the 
``V'' device is worn on the wearer's right.

(E.O. 9419, Feb. 4, 1944, 9 FR 1495)



Sec. 578.12  Air Medal.

    (a) Criteria. The Air Medal, established by Executive Order on May 
11, 1942, is awarded to any person who, while serving in any capacity in 
or with the Army of the United States, has distinguished himself or 
herself by meritorious achievement while participating in aerial flight 
(Fig. 1). Awards may be made to recognize single acts of merit or 
sustained operational activities against an armed enemy. The required 
achievement, while of lesser degree than that required for the award of 
the Distinguished Flying Cross, must nevertheless have been accomplished 
with distinction above and beyond that normally expected.

[[Page 412]]

    (b) Description. A bronze compass rose 1\11/16\-inches 
circumscribing diameter suspended by the pointer and charged with an 
eagle volant carrying two lightning flashes in its talons. The points of 
the compass rose on the reverse are modeled with the central portion 
plain. The medal is suspended from a moired silk ribbon 1\3/8\ inches in 
length and 1\3/8\ inches in width, composed of a band of ultramarine 
blue (\1/8\-inch), a band of golden orange (\1/4\-inch), a band of 
ultramarine blue (\5/8\-inch), a band of golden orange (\1/4\-inch), and 
a band of ultramarine blue (\1/8\-inch), by a ring engaging the pointer.

(E.O. 9158, May 11, 1942, 7 FR 3541, as amended by E.O. 9242A, Sept. 11, 
1942, 7 FR 7874)



Sec. 578.12a  Joint Service Commendation Medal.

    Department of Defense Directive 1348.14, 25 June 1963, established 
the Joint Service Commendation Medal This decoration is awarded in the 
name of the Secretary of Defense and shall take precedence with, but 
before, the Army Commendation Medal when both are worn on the uniform. 
The decoration is not awarded to any individual for a period of service 
for which another meritorious decoration has been awarded.
    (a) Eligibility. Any member of the Armed Forces of the United States 
who distinguishes himself by meritorious achievement or service while 
serving in any assignment specified in paragraph (b) of this section 
after 1 January 1963 is eligible for this award. The required 
achievement or service, while of lesser degree than that required for 
award of the Legion of Merit, must nevertheless have been accomplished 
with distinction.
    (b) Joint activities. Military personnel assigned to the following 
joint activities are eligible for the award:
    (1) Office of the Secretary of Defense.
    (2) Organization of the Joint Chiefs of Staff.
    (3) Defense Supply Agency.
    (4) National Security Agency.
    (5) Other Department of Defense agencies or joint activities 
reporting through the Joint Chiefs of Staff.
    (6) Headquarters, unified and special commands.
    (7) Headquarters of joint task forces, joint commands or control 
groups, reporting through the Joint Chiefs of Staff, unified, specified 
or subordinate joint commanders, to include service components assigned 
to a joint command for exercise purposes (e.g., STRIKE Command).
    (8) Other joint activities reporting to commanders of unified or 
specified commands (e.g., Military Assistance Advisory Groups or Joint 
Missions).
[29 FR 527, Jan. 22, 1964]



Sec. 578.13  Army Commendation Medal.

    (a) Criteria. The Army Commendation Medal established by the 
Secretary of War on December 18, 1945, and amended in Department of the 
Army General Orders 10, 1960, is awarded to any members of the Armed 
Forces of the United States who, while serving in any capacity with the 
Army after December 6, 1941, shall have distinguished himself by 
meritorious achievement or meritorious service. (See figure 1.)
    (1) The required meritorious achievement or meritorious service 
while of lesser degree than that required for the award of the Legion of 
Merit must nevertheless have been accomplished with distinction and must 
have been of the same degree as required for the award of the Bronze 
Star Medal or Air Medal. An award may be made when the operational 
requirements for the award of the Bronze Star Medal have not been fully 
met.
    (2) An award may be made for acts of outstanding courage which do 
not meet the requirements for an award of the Soldier's Medal.
    (3) An award for meritorious service will not normally be made for a 
period of service of less than 6 months' duration.
    (4) The Army Commendation Medal will not be awarded to general 
officers.
    (5) It is particularly desirable that emphasis be placed on the 
award of this decoration to outstanding company grade officers, warrant 
officers, and enlisted personnel whose achievements and services meet 
the prescribed standards.
    (6) Awards may be made upon letter application to The Adjutant 
General to any individual commended after December 6, 1941, and prior to 
January 1,

[[Page 413]]

1946, in a letter, certificate, or order of commendation, as 
distinguished from letter of appreciation, signed by an officer in the 
grade or position of a major general or higher.
    (7) The Army Commendation Medal may be awarded in connection with 
military participation in the Department of the Army Suggestion Program.
    (8) Awards of the Army Commendation Ribbon and of the Commendation 
Ribbon with Metal Pendant are redesignated by Department of the Army 
General Orders 10, March 31, 1960, as awards of the Army Commendation 
Medal, without amendments of certificates or of orders previously 
issued.
    (b) Description. On a 1\3/8\-inch bronze hexagon, one point up, an 
American bald eagle with wings displayed horizontally grasping three 
crossed arrows and bearing on its breast a shield paly of 13 pieces and 
a chief. On the reverse between the words ``For Military'' and ``Merit'' 
a panel, all above a sprig of laurel. A moired silk ribbon 1\3/8\ inches 
in length and 1\3/8\ inches in width, composed of stripes of white (\3/
32\-inch), green (\25/64\-inch), white (\1/32\-inch), green (\1/16\-
inch), white (\1/32\-inch), green (\1/16\-inch), white (\1/32\-inch), 
green (\1/16\-inch), white (\1/32\-inch), green (\1/16\-inch), white 
(\1/32\-inch), green (\25/64\-inch), and white (\3/32\-inch).
[21 FR 7672, Oct. 6, 1956, as amended at 26 FR 6434, July 18, 1961]



Sec. 578.14  Purple Heart.

    (a) Criteria. The Purple Heart, established by General George 
Washington at Newburgh, New York, on August 7, 1782, and revived by the 
President on February 22, 1932, is awarded to any member of the Armed 
Forces of the United States and to any civilian citizen of the United 
States serving with the Army who was wounded either in action against an 
armed enemy of the United States or as a direct result of an act of such 
enemy, provided the wound necessitated treatment by a medical officer. 
See figure 1.
    (1) For the purpose of considering an award of this decoration, a 
``wound'' is defined as an injury to any part of the body from an 
outside force or agent sustained while in action in the face of the 
armed enemy or as a result of a hostile act of such enemy. A physical 
lesion is not required, provided the concussion or other form of injury 
received was directly due to enemy action and required treatment by a 
medical officer. Awards will not be made by reason of injuries due to 
frostbite or trenchfoot. Not more than one award of this decoration will 
be made for more than one wound or injury received at the same instant 
or from the same missile, force, explosion, or agent.
    (2) Records of medical treatment for wounds or injuries received in 
action as prescribed above must have been made a matter of official 
record during the period of hostilities or within 6 months thereafter.
    (3) Awards may be made, upon letter application, to those 
individuals who, as members of the Army, prior to December 7, 1941, were 
awarded Meritorious Services Citation Certificates by the Commander-in-
Chief, American Expeditionary Forces, during World War I and/or were 
authorized to wear wound chevrons.
    (4) Those individuals who, as members of the Army, on or after 
December 7, 1941, were awarded the Purple Heart for meritorious 
achievement or service in connection with military operations against 
the enemy may make application for the award of an appropriate 
decoration in lieu of the Purple Heart.
    (5) A Purple Heart will be issued by The Adjutant General to the 
next of kin of each person entitled to a posthumous award. Issue will be 
made automatically as soon as possible after receipt by the Department 
of the Army of a report of death under circumstances indicating such 
entitlement, and notwithstanding the fact that the records indicate the 
presentation of a Purple Heart to the deceased person prior to death.
    (b) Description. On a purple heart within a bronze border, a profile 
head in relief of General George Washington in military uniform. Above 
the heart is a shield of General Washington's coat of arms between two 
sprays of leaves in green enamel. On the reserve below the shield and 
leaves without enamel is a raised bronze heart with the inscription 
``For Military Merit.'' The entire device is 1\11/16\ inches in length. 
The medal is suspended by a rectangular-

[[Page 414]]

shaped loop with corners rounded from a moired silk ribbon 1\3/8\ inches 
in length and 1\3/8\ inches in width consisting of a purple (pansy) 
center with white edges (\1/8\-inch).



Sec. 578.15  Medal for Merit.

    (a) Criteria. The Medal for Merit was established by Act of Congress 
on July 20, 1942, to be awarded to civilians of the nations prosecuting 
the war under the joint declaration of the United Nations and of other 
friendly foreign nations who have, subsequent to the proclamation of an 
emergency by the President, distinguished themselves by exceptionally 
meritorious conduct in the performance of outstanding services. The 
Medal for Merit has not been awarded since 1952.
    (b) Description. An eagle displayed standing on a vertical sheaf of 
arrows bearing the inscription ``Novus Ordo Seclorum,'' all gold-
finished bronze, in front of a ring of dark-blue enamel 1\1/2\ inches in 
diameter, bearing 13 white enamel stars. On the gold-finished bronze 
reverse, the ring, in front of the eagle and arrows in reverse, the 
words ``United States of America'' at the top and ``For Merit'' at the 
bottom in front of a spray of laurel leaves. The medal is connected to 
the suspension ring by a wreath of laurel leaves, green enamel on the 
front and gold-finished bronze on the back. The medal is suspended by a 
moired silk ribbon 1\7/8\ inches in length and 1\3/8\ inches in width, 
composed of a stripe of purplish-red (\9/16\-inch), a stripe of white 
(\1/16\-inch), a stripe of purplish-red (\1/8\-inch), a stripe of white 
(\1/16\-inch), and a stripe of purplish-red (\9/16\-inch). A circular 
cup-shaped rosette of purplish-red ribbon, \1/2\-inch circumscribing 
diameter, with a fan-shaped ribbon insert showing purplish-red and white 
stripes is included for wear on civilian clothing.

(Sec. 1122, 70A Stat. 88; 10 U.S.C. 1122)



Sec. 578.16  National Security Medal.

    (a) Criteria. The National Security Medal, established by Executive 
Order on January 19, 1953, is awarded to any person, without regard to 
nationality, including members of the Armed Forces of the United States 
for distinguished achievement or outstanding contribution on or after 
July 26, 1947, in the field of intelligence relating to the national 
security. This contribution may consist of either exceptionally 
meritorious service performed in a position of high responsibility or of 
an act of valor requiring personal courage of a high degree and complete 
disregard of personal safety.
    (b) Description. A blue enameled compass rose surrounded by a red 
enameled oval, the interior dimensions of which are 1 inch vertically 
and \7/8\ inch horizontally, bearing the inscription ``United States of 
America'' at the top and ``National Security'' at the bottom, the whole 
enclosed within a laurel wreath of gold-finished bronze surmounted by an 
American bald eagle standing with wings raised. On the reverse a serial 
number appears on the eagle and the words ``Presented To'' are impressed 
on the compass rose. The name of the recipient is engraved below. The 
medal is suspended by a loop from a silk moire ribbon 2 inches in length 
and 1\3/8\ inches in width, composed of a band of dark-blue (\1/4\-
inch), gold (\3/32\-inch), dark blue (\11/16\-inch), gold (\3/32\-inch), 
dark blue (\1/4\-inch). Diagonal gold lines (\3/32\ inch in width and 
\3/32\ inch apart) extend downward from the wearer's right to left 
across the center band of dark blue. The miniature of this medal is 
furnished at the time of the award.

(E.O. 10431, January 19, 1953, 18 FR 437)



Sec. 578.17  Presidential Medal of Freedom.

    (a) Criteria--(1) Medal of Freedom. The Medal of Freedom was 
established by Executive Order 9586, 6 July 1945, as amended by 
Executive Order 10336, 5 April 1952, to be awarded to any person other 
than a member of the Armed Forces of the United States who, after 6 
December 1941, performed a meritorious act or service which aided the 
United States in the prosecution of a war against an armed enemy or 
enemies, or similarly aided any nation engaged with the United States in 
the prosecution of a war against a common enemy or enemies, or during 
any period of national emergency declared by the President or the 
Congress furthered the interests or the security of the United States or 
of any nation allied or associated with the United States during

[[Page 415]]

such period when the award of any other United States military 
decoration was not deemed appropriate. Under special circumstances, 
without regard to the existence of a state of war or national emergency, 
the Medal of Freedom was awarded by or at the direction of the President 
for performance of a meritorious act or service in the interest of the 
security of the United States. The Medal of Freedom was reestablished as 
the Presidential Medal of Freedom on 22 February 1963 and no awards of 
the Medal of Freedom after that date are authorized.
    (2) Establishment of Presidential Medal of Freedom. The Medal of 
Freedom was reestablished as the Presidential Medal of Freedom by 
Executive Order 11085, 22 February 1963, to be awarded to any person who 
has made an especially meritorious contribution to the security or 
national interest of the United States, to world peace or to cultural or 
other significant public or private endeavors. The Medal can only be 
awarded by the President of the United States who makes the final 
selection of recipients with the assistance of a Distinguished Civilian 
Service Awards Board. The President may select for award of the 
Presidential Medal of Freedom any person nominated by the Board, any 
person otherwise recommended to him for award of the Medal, or any 
person he selects upon his own initiative. Announcement of awards will 
be made by the President on or about 4 July of each year.
    (b) Description. The Medal of bronze is 1\1/4\ inches in diameter. 
On the obverse are the head, shoulders, and headdress of Freedom (taken 
from the statue on the top of the United States Capitol dome). In the 
lower portion in an arc is the inscription ``Freedom.'' On the reverse 
is the ``Liberty Bell'' without carriage, within a circle composed of 
the words ``United States of America.'' The medal is suspended by a ring 
from a moired silk ribbon 1\3/8\ inches in length and 1\3/8\ inches in 
width, composed of red (\7/16\-inch), white (\1/32\-inch), red (\1/8\-
inch), white (\1/32\-inch), red (\1/8\-inch), white (\1/32\-inch), red 
(\1/8\-inch), white (\1/32\-inch), and red (\7/16\-inch). The gold, 
silver, or bronze palm is 1\1/8\ inches in length, and is worn on the 
suspension and service ribbons of the Medal of Freedom with the tip of 
the palm toward the wearer's right.
[E.O. 9586, July 6, 1945, 10 FR 8523, as amended by E.O. 10336, Apr. 3, 
1952, 17 FR 2957; 29 FR 528, Jan. 22, 1964]



Sec. 578.17a  Distinguished Civilian Service Medal.

    (a) Criteria. The Distinguished Civilian Service Medal, established 
by the Secretary of the Army, is awarded to civilians other than 
employees of the Department of the Army, who render outstanding service 
during peacetime which makes a substantial contribution to the 
accomplishments of the Army's mission. Award is made by the Secretary of 
the Army upon recommendation of a staff agency.
    (b) Description. Distinguished Civilian Service Medal, Department of 
the Army, is bronze, gold filled, 1\1/4\ inches in diameter. The central 
design of the obverse of the medal incorporates a disc with a wreath on 
the lower half of the rim denoting nonmilitary service. The equilateral 
triangle is symbolic of the civilian. Displayed on the triangle is the 
eagle from the Great Seal of the United States. The reverse of the medal 
is inscribed ``Awarded To----------for Distinguished Civilian Service To 
The United States Army.'' The medal is suspended from a ribbon 1\3/8\ 
inch in width consisting of a white stripe (\1/16\ in.), a blue stripe 
(\1/16\ in.), a white stripe (\1/16\ in.), a red stripe (\1/16\ in.), a 
white stripe (\1/16\ in.), a blue stripe (\1/16\ in.), a white stripe 
(\5/8\ in.), a blue stripe (\1/16\ in.), a white stripe (\1/16\ in.), a 
red stripe (\1/16\ in.), a white stripe (\1/16\ in.), a blue stripe (\1/
16\ in.), and a white stripe (\1/16\ in.). A rosette \13/32\ inch in 
diameter, made of the medal ribbon into a red centered white disc 
surrounded by blue, is provided for lapel wear.
    (c) Recommendations. Recommendations will be submitted through 
military channels to the Deputy Chief of Staff for personnel, 
Headquarters, Department of the Army, Washington 25, DC, Attn: Office of 
Civilian Personnel. Each recommendation will describe the project, 
research, or type of service rendered; the activity in which performed; 
and the dates of this service. The relationship and value of this 
service to the Army as a whole must be

[[Page 416]]

clearly indicated. The recommendation will also include a statement that 
the individual is not employed by the Army, or was not so employed 
during the period in which the services to be recognized were rendered. 
A proposed citation will be inclosed.
[22 FR 9693, Dec. 4, 1957]



Sec. 578.17b  Outstanding Civilian Service Medal.

    (a) Criteria. The Outstanding Civilian Service Medal established by 
the Secretary of the Army in DA General Orders No. 3, 1960, is awarded 
to private citizens, Federal Government officials at the policy 
development level, and technical personnel who serve the Army in an 
advisory capacity or as consultants. Award is made by the Secretary of 
the Army, or by major commanders on behalf of the Secretary of the Army 
when the contribution is of significance to or within the major command 
concerned only.
    (b) Recommendations. Same as Sec. 578.17a(c).
    (c) Description. Outstanding Civilian Service Medal, Department of 
the Army, is bronze, 1\1/4\ inches in diameter. The central design of 
the obverse of the medal incorporates a disc with a wreath on the lower 
half of the rim denoting nonmilitary service. The equalateral triangle 
is symbolic of the civilian. Displayed on the triangle is the eagle from 
the Great Seal of the United States. The reverse of the medal is 
inscribed ``Awarded to--------------for Outstanding Civilian Service to 
the United States Army.'' The medal is suspended from a ribbon 1\3/8\ 
inches wide consisting of thirteen alternating stripes equally spaced, 
seven white and six red, with a blue stripe \1/64\ inch wide centered on 
each white stripe. A rosette \1/2\ inch in diameter consisting of a 
gathered red center on a white background with a narrow blue stripe, the 
rim composed of alternating red and white vertical stripes with a narrow 
blue stripe centered on the white, is included for wear on civilian 
clothing.
[26 FR 6435, July 18, 1961]



Sec. 578.18  Appurtenances to military decorations.

    (a) Oak-Leaf Cluster. A bronze (or silver) twig of four oak leaves 
with three acorns on the stem, \13/32\ inch in length for a suspension 
ribbon and \5/16\ inch in length for a service ribbon is issued in lieu 
of a decoration for the second or succeeding awards of United States 
military decorations with the exception that Oak-Leaf Clusters will not 
be placed on a posthumous award of the Purple Heart. Oak-Leaf Clusters 
are not issued for the Legion of Merit of the Medal of Freedom awarded 
in degrees to foreign nationals. Oak-Leaf Clusters are worn attached to 
the ribbons of the decorations to which they pertain with the stem of 
the oak leaves toward the wearer's right. A silver Oak-Leaf Cluster may 
be worn in lieu of five bronze Oak-Leaf Clusters for the same 
decoration. In lieu of an Oak-Leaf Cluster a gold compass rose is issued 
to denote the second or succeeding awards of the National Security 
Medal.
    (b) Letter ``V'' Device. See Sec. 578.11 (b).
    (c) Palm. See Sec. 578.17(b).
    (d) Service ribbon. A ribbon identical in color with the suspension 
ribbon of the decoration it represents attached to a bar \3/8\ inch in 
width (vertical dimension) and 1\3/8\ inches in length, equipped with a 
suitable attaching device. A service ribbon is issued with each 
decoration except the National Security Medal which is provided with an 
extra length of ribbon for the recipient's use. Service ribbons will not 
be impregnated with unnatural preservatives nor worn with protective 
coverings.
    (e) Lapel button. A lapel button \1/8\ inch in length and \21/32\ 
inch in width is a colored enamel replica of the respective service 
ribbon. An enamel lapel button is issued with each decoration except the 
Medal of Honor and Medal for Merit.
    (f) Rosette. See Secs. 578.4(b), 578.15 (b), and 578.17a(b).
    (g) Container. A container, either plastic or leather covered, and 
plushlined, containing a decoration, service ribbon, and lapel button or 
rosette. Each decoration awarded will be furnished in an appropriate 
container.
    (h) Miniatures. Miniature decorations and appurtenances are replicas 
of the

[[Page 417]]

corresponding decorations and appurtenances on the scale of one-half. 
With the exception of the National Security Medal (Sec. 578.16), 
miniatures are not presented or sold by the Army but may be purchased 
from civilian dealers. There is no miniature of the Medal of Honor or 
the Legion of Merit, degree of Commander.
[21 FR 7672, Oct. 6, 1956, as amended at 22 FR 9693, Dec. 4, 1957]



Sec. 578.19  Foreign individual awards.

    (a) Constitutional restriction. No person holding any office of 
profit or trust under the United States shall, without the consent of 
the Congress, accept any present, emolument, office, or title of any 
kind whatsoever from any king, prince, or foreign state. (Const., Art I, 
Sec. 9.) This includes decorations, awards, and gifts tendered by any 
official of a foreign government.
    (b) Definitions. (1) Accept or Acceptance as used in this section 
means assumption of ownership and permanent possession of a military 
award or similar object awarded by a foreign government or official for 
which congressional approval has been granted.
    (2) Receive or Receipt as used in this section means the act of 
coming into temporary custody of a military award or similar object 
awarded by a foreign government or official for which congressional 
approval is required.
    (c) General policy. The provisions for receipt and/or acceptance, or 
prohibition thereof, outlined in this section apply to all members of 
the Armed Forces on active duty, all members of the Reserve components, 
and all civilian employees of the Army. This policy should be observed 
also when the award or gift is tendered to a member of the immediate 
family of any of the foregoing personnel.
    (d) Participation in ceremonies. Except as prohibited by paragraph 
(h) of this section, an individual may participate in a ceremony and 
receive the tender of a foreign award or gift. The receipt of the award 
or gift will not constitute acceptance of the award by the recipient. 
Immediately following the ceremony, the individual will forward the 
award or gift with all appurtenances thereto, and all official papers 
including diploma and citation, to The Adjutant General. A brief 
statement should accompany the award explaining the act or service for 
which the award was made, date and place of presentation, and name and 
title of official who made the presentation.
    (e) Congressional authorization. Except for such awards as may be 
specifically authorized by the Congress. The Adjutant General will 
forward each foreign award or gift to the Secretary of State to be held 
in escrow pending approval of its acceptance by the Congress. Each 
military and civilian recipient of foreign awards, upon discharge or 
permanent retirement or other permanent separation from active Federal 
service, should notify The Adjutant General in order that action may be 
taken with reference to his award or gifts. The Secretary of State is 
required by law to transmit the names of retired personnel to the second 
session of each alternate Congress (5 U.S.C. 115a). Upon approval by the 
Congress, the award or gift will be forwarded to the individual 
concerned.
    (f) Acceptance of foreign awards. An award by a friendly foreign 
nation may be accepted without the requirement for securing approval by 
the Congress only as indicated below:
    (1) By the next of kin if the award is conferred posthumously upon a 
former member of the Armed Forces of the United States.
    (2) By the next of kin if the recipient dies before approval of 
acceptance can be obtained.
    (3) If the award was conferred or earned while the recipient was 
serving as a bona fide member of the Armed Forces of the nation 
conferring the award and if the award is one authorized to be conferred 
generally upon members of that nation's forces. Such foreign awards must 
meet the following applicable requirements:
    (i) A decoration must be awarded prior to the recipient's entrance 
into active service in the Armed Forces of the United States.
    (ii) A badge must have been qualified for by the recipient under 
criteria established by the country concerned for award of the badge.
    (iii) A service medal must have been earned under usual criteria 
established by the country concerned.

[[Page 418]]

    (g) Foreign service medals. Service medals awarded by foreign 
governments for service performed while a member of the Armed Forces of 
the United States may not be accepted or worn except the Philippine 
Service Ribbons, the United Nations Service Medal, and others which may 
be specifically authorized.
    (h) Military Assistance Program. (1) As an exception to the general 
policy and procedures set forth in the foregoing paragraphs, the 
following prohibition shall apply to members of the Armed Forces and 
civilian employees performing duties in connection with the Military 
Assistance Program. Specifically, this prohibition includes personnel 
assigned or attached to, or otherwise performing duty with, Military 
Assistance Advisory Groups, Military Advisory Groups, Military Aid 
Groups, or missions having Military Assistance Program functions. Such 
personnel, regardless of assignment, may not accept the tender of any 
decoration, award, or gift from foreign governments for duty of this 
nature. In addition, personnel performing military assistance advisory, 
programming, budgeting, and/or logistic functions in any headquarters, 
office, agency, or organization may not accept the tender of any 
decoration, award, or gift from foreign governments in recognition of 
such duties. Accordingly, participation in ceremonies involving any such 
tender is not authorized. In order to avoid embarrassment, the 
appropriate foreign officials should be acquainted with this 
prohibition. If presentation is made in spite of such representation, 
the decoration, award, or gift will be forwarded with a full explanation 
of the circumstances to The Adjutant General for disposal. This 
restriction also applies to personnel performing United Nations Truce 
supervisory activities.
    (2) When an award or gift is proffered to a member of the Armed 
Forces or a civilian employee performing any duty in connection with the 
Military Assistance Program in recognition of actual combat services 
against an armed enemy of the United States, or in recognition of 
heroism involving the saving of life, the foregoing prohibition is 
inapplicable, and the provisions of paragraph (e) of this section will 
be followed.
[26 FR 6435, July 18, 1961]



Sec. 578.20  Supply of medals and appurtenances.

    (a) Items issued by Department of the Army:
    (1) Decorations,
    (2) Service medals,
    (3) Service ribbons,
    (4) Palms,
    (5) Rosettes,
    (6) Clasps,
    (7) Arrowheads,
    (8) Service Stars,
    (9) Good Conduct Medals,
    (10) Oak-Leaf Clusters,
    (11) Letter ``V'' devices,
    (12) Certificates for decorations,
    (13) Lapel buttons for decorations,
    (14) Lapel buttons, miscellaneous,
    (15) 10-year devices,
    (16) Berlin airlift devices,
    (17) Containers for decorations.
    (b) Items not issued or sold by Department of the Army:
    (1) Miniature medals and appurtenances,
    (2) Miniature service ribbons,
    (3) Miniature devices,
    (4) Lapel buttons for service medals,
    (5) Lapel buttons, miscellaneous.
[26 FR 6436, July 18, 1961]



Sec. 578.21  Original issue or replacement.

    (a) General. All United States Army medals are presented without 
cost to the awardee. Replacement medals are likewise issued without cost 
to an awardee in active Federal military service when his written 
request includes a statement that the original medal was lost, 
destroyed, or rendered unfit for use without fault or neglect on his 
part. Replacement of medals for individuals not on active duty or for 
eligible next of kin, provided the original issue had been made to them, 
may be made at cost price. No money should be mailed until instructions 
are received from The Adjutant General or the Commanding Officer, U.S. 
Army Records Center, 9700 Page Boulevard, St. Louis, Mo., 63132. 
Requests should be directed as follows:

[[Page 419]]



                                                                        
------------------------------------------------------------------------
          Individual status                        Direct to            
------------------------------------------------------------------------
Personnel in active Federal military   Unit commander.                  
 service or in Reserve components.                                      
All requests for medals in behalf of   Commanding Officer, U.S. Army    
 individuals having no current Army     Records Center, 9700 Page Blvd.,
 status or deceased.                    St. Louis, Mo., 63132           
Personnel receiving retirement pay,    Same as above.                   
 except general officers.                                               
Retired general officers.............  The Adjutant General, Washington,
                                        DC 20310                        
------------------------------------------------------------------------

    (b) Discharged Personnel. All requests for medals in behalf of 
individuals having no current Army status, or deceased, will be 
forwarded to the Commanding Officer, United States Army Records Center, 
9700 Page Boulevard, St. Louis, Mo., 63132.
    (c) Miscellaneous. (1) Supply action for the Medal of Honor will be 
accomplished only by The Adjutant General.
    (2) The Medal for Merit has not been awarded since 1952; therefore, 
no requirements exist for this item except for replacements.
    (3) The Gold Star Lapel Button is authorized for issue to next of 
kin of deceased personnel.
[29 FR 528, Jan. 22, 1964]



Sec. 578.22  Exhibition.

    (a) Government agencies. Upon approval by the Secretary of the Army, 
samples of military decorations may be furnished, without charge, for 
one display at the headquarters of each Army and higher field commander, 
in the offices of the chiefs of governmental agencies not under military 
jurisdiction where opportunity for the public to view the display is 
assured, and in each office of the Department of the Army the functions 
of which include matters pertaining to decorations.
    (b) Civilian institutions. Upon approval of the Secretary of the 
Army, samples of military decorations may be furnished, at cost price 
(including the cost of engraving, packing, and shipment), to museums, 
libraries, numismatic, and military societies and institutions of such 
public nature as will assure an opportunity for the public to view the 
exhibits under circumstances beneficial to the Army. All decorations 
furnished to civilian institutions for exhibition purposes will be 
engraved with the words ``For Exhibition Purposes Only.''
    (c) Requests. Letter requests for decorations for exhibit or display 
will be made to The Adjutant General, Department of the Army, 
Washington, DC 20310. Shipment is made direct from the Philadelphia 
Quartermaster Depot, Philadelphia, Pennsylvania.



Sec. 578.23  Certificates for decorations: Issuance for prior awards.

    Those individuals to whom United States military decorations have 
been awarded subsequent to December 7, 1941, and to whom an appropriate 
certificate for decoration has not been issued may make application for 
such certificate by submitting a written request to the appropriate 
office as indicated in Sec. 578.21. Each request should indicate a 
reference to the number, date, and headquarters of issue of the order 
announcing the award.



Sec. 578.24  Certificate of appreciation.

    As a token of appreciation and in recognition of patriotic civilian 
service contributing to the accomplishment of the mission of an 
installation, command, or Staff Agency of the Army, or to the welfare of 
Army personnel, a Certificate of Appreciation has been established. This 
certificate, together with a brief citation may be awarded by commanders 
of major commands and heads of Headquarters, Department of the Army 
Staff agencies on behalf of the Secretary of the Army for services 
rendered to elements of the Army under their respective jurisdictions. 
The accompanying citation should conform to Sec. 578.3(b)(2) and will be 
made a matter of record in the headquarters of issue, or, when issued by 
a Headquarters, Department of the Army Staff agency, will be forwarded 
to The Adjutant General, Department of the Army, Washington, DC 20310, 
Attn: AGAO-N, for file.

[[Page 420]]

    (a) Awards to individuals. The award may be made to civilians who 
are not employed by the Department of the Army and were not so employed 
during the period for which the services are being recognized. It is 
intended that this certificate be used when the services to be 
recognized do not fulfill all the requirements for a decoration, but are 
outstanding to a degree which merits public recognition by the Army in 
the local area. When this certificate is presented as an individual 
award the recipient will be furnished with the Patriotic Civilian 
Service lapel button.
    (b) Awards to organizations, companies, etc. The award may be made 
to business firms, fraternal organizations, quasi-military units, etc., 
on the same basis as stated above for individual awards. No lapel button 
or other device accompanies the certificate and citation when presented 
to organizations.
    (c) Supply. This is a standard Department of the Army certificate 
which may be obtained by a written request to The Adjutant General, 
Department of the Army, Washington, DC 20310, Attn: AGPS-AD. The 
certificates when provided will bear the signature of the Secretary of 
the Army in the lower right and will be countersigned on the left by the 
major commander or head of a Headquarters, Department of the Army Staff 
agency making the award. Patriotic Civilian Service Lapel Buttons will 
be obtained in the same manner. Not more than a 6-month supply of 
certificates and lapel buttons will be maintained by using agencies.
[22 FR 9693, Dec. 4, 1957]



Sec. 578.25  Accolade and Gold Star lapel button.

    (a) As a token of appreciation and in recognition of services 
rendered by those who died in the service of their country, an Accolade 
signed by the President is issued to the next of kin of record of all 
military personnel whose death occurred in line of duty during World War 
II, December 7, 1941, to July 25, 1947, both dates inclusive, and in 
Korea during military operations from June 27, 1950, to July 27, 1954, 
inclusive. The Accolade is also issued to the next of kin of civilians 
who died overseas or as a result of injury or disease contracted while 
serving in a civilian capacity with the Armed Forces of the United 
States during the dates and/or in the areas prescribed above in 
connection with military personnel.
    (1) The Accolade reads as follows:

    In grateful memory of------------------ who died in the service of 
his (her) country at------------------. He (she) stands in the unbroken 
line of patriots who have dared to die that freedom might live and grow, 
and increase its blessings. Freedom lives, and through it he (she) 
lives--in a way that humbles the undertakings of most men. (Facsimile 
signature) President of the United States.

    (2) Accolades will be issued by The Adjutant General upon receipt of 
reports of death.
    (b) In order to provide an appropriate identification for widows, 
parents, and certain next of kin of members of the Armed Forces of the 
United States who lost their lives in World War I, April 6, 1917 to 
March 3, 1921; World War II, September 8, 1939 to July 25, 1947; Korean 
operations, June 27, 1950 to July 27, 1954; or during any subsequent war 
or period of armed hostilities in which the United States may be 
engaged, a Gold Star lapel button was established by an Act of Congress 
on August 1, 1947.
    (1) The Gold Star lapel button consists of a gold star on a purple 
circular background, bordered in gold and surrounded by gold laurel 
leaves. On the reverse is the inscription ``United States of America, 
Act of Congress, August 1947,'' with space for engraving the initials of 
the recipient.
    (2) One Gold Star lapel button will be furnished without cost to the 
widow or widower and to each of the parents of a member of the Armed 
Forces who lost his or her life while in the active military service 
during the periods indicated above. The term ``widow or widower'' 
includes those who have since remarried, and the term ``parents'' 
included mother, father, stepmother, stepfather, mother through 
adoption, father through adoption, and foster parents who stood in loco 
parentis.
    (3) One Gold Star lapel button will be furnished at cost price to 
each child, stepchild, child through adoption, brother, half brother, 
sister, and half sister of a member of the Armed Forces

[[Page 421]]

who lost his or her life during any period indicated herein.
    (4) Letter applications for Gold Star lapel buttons may be submitted 
to The Adjutant General or to the Commanding Officer, Army Records 
Center, 9700 Page Boulevard, St. Louis, Missouri 63132, by eligible next 
of kin of deceased Army personnel enumerated in paragraphs (b) (2) and 
(3) of this section.
    (5) Under the act, only one Gold Star lapel button will be furnished 
to eligible individuals, except that whenever a Gold Star lapel button 
has been lost, destroyed, or rendered unfit for use, without fault or 
neglect on the part of the person to whom it was furnished, such button 
may be replaced at cost price upon application to The Adjutant General. 
Private manufacture and/or sale of the Gold Star lapel button is 
prohibited. The design will not be incorporated in any manner in any 
article manufactured commercially or privately. The law prescribes a 
fine of $1,000 and/or imprisonment for 2 years as a penalty for 
unauthorized wearing or counterfeiting of the Gold Star lapel button, or 
for possessing a counterfeit of this button.



Sec. 578.25a  Certificate of Honorable Service and Record Service (Deceased Military Personnel).

    (a) Certificate of Honorable Service. A Certificate of Honorable 
Service (DA Form 1563) is issued to the closest next of kin of record in 
recognition of services rendered by those who die in line of duty while 
in active military service in time of peace when the Accolade is not 
appropriate.
    (1) The certificate reads as follows:

    Honorable Service in the Armed Forces of the United States of 
America. This is to certify that--------------------------died while in 
the service of our country as a member of the Army of the United States 
on the--------------day of-------------- This certificate is awarded as 
a testimonial of Honest and Faithful Service. (Signature) Secretary of 
the Army.

    (2) Certificates of Honorable Service will be issued by The Adjutant 
General upon receipt of reports of death.
    (b) A Record of Service--Deceased Military Personnel (DA Form 53A). 
Form 53A will be issued for all military personnel who die while in the 
active military service or while taking inactive status training as 
reservists not on active duty, regardless of line of duty status. 
Commanding officer having custody of the individual's records at time of 
death will prepare the form in duplicate. The original will be forwarded 
to the closest next of kin of record of the deceased individual in the 
following order: Widow or widower, eldest son, eldest daughter, father, 
mother, eldest brother, eldest sister, eldest grandchild.



Sec. 578.25b  Certificate of Achievement.

    Commanding officers may recognize periods of faithful service, acts, 
or achievements which do not meet the standards required for decorations 
by issuing to individual United States military personnel and United 
States civilian citizens a Certificate of Achievement.
    (a) The Certificate of Achievement may be devised locally by 
commanding officers and issued under such regulations as they may 
prescribe; may be printed or lithographed; and may bear reproductions of 
authorized insignia. A Certificate of Achievement may be used locally 
for awarding the Good Conduct Medal.
    (b) No distinguishing device is authorized for wear to indicate the 
receipt of a Certificate of Achievement.



Sec. 578.25c  Special Certificate of Achievement for Public and Community Relations.

    (a) A Special Certificate of Achievement for issuance to information 
media, civic, fraternal, and other types of organizations and groups who 
have actively supported the Army in its public and community relations 
efforts, including the Reserve Forces Program, has been established. 
This special certificate is designed to give official Department of the 
Army recognition to civilian groups and organizations who have made an 
exceptional contribution to the development of public understanding of 
the Army, gaining for it greater public confidence and support. 
Consideration should be given to the award of this certificate as an 
expression of the appreciation of the Army

[[Page 422]]

for the service rendered by civilian organizations which have 
contributed directly to improved relationship between members of local 
military commands and civilian communities. The award may be made in 
recognition of service rendered over a prolonged period of time, or for 
a specific one-time program or service considered to be so outstanding 
as to merit commendation by the Secretary of the Army.
    (b) Letter recommendations for issuance of the Special Certificate 
of Achievement for Public and Community Relations will be submitted to 
the Chief of Information, Department of the Army, Washington, DC 20310, 
through military channels. Recommendations will include a detailed 
description of the contributions made by the nominee, the inclusive 
dates of the period during which the contributions were made, and a 
proposed citation. The value of these contributions to the Army must be 
clearly indicated. No distinguishing device is authorized for wear by 
members of the cited organization.
    (c) Presentation of the special certificate will be made in a manner 
commensurate with the significance of the award.
[22 FR 9693, Dec. 4, 1957]

                             Service Medals



Sec. 578.26  General.

    (a) Purpose. Service (campaign) medals denote honorable performance 
of military duty within specified limiting dates in specified 
geographical areas. With the exception of the Medal of Humane Action and 
the Armed Forces Reserve Medal they are awarded only for active Federal 
military service.
    (b) Awarding. Awarding of service medals is effected pursuant to 
announcement of criteria by the Secretary of the Army in Department of 
the Army Bulletins or General Orders. A service medal thus is 
automatically awarded to each individual who meets the published 
criteria. Orders are not required.
    (c) Requisitioning. Service medals for service prior to World War I 
will not be requisitioned for display purposes since only minimum 
essential quantities are available for issue to authorized recipients.
    (d) Duplicating awards. Not more than one service medal will be 
awarded for service involving identical or overlapping periods of time, 
except that each of the following groups of service medals may be 
awarded to an individual provided he meets the criteria prescribed 
hereinafter.
    (1) World War I Victory Medal and Mexican Service Medal.
    (2) World War II Victory Medal and one or more of the campaign 
medals for that war.
    (3) Medal for Humane Action and Army of Occupation Medal.
    (4) National Defense Medal, Korean Service Medal, and United Nations 
Service Medal.
    (5) Armed Forces Reserve Medal and any other service medal listed 
hereinafter.
[26 FR 6436, July 18, 1961]



Sec. 578.27  Good Conduct Medal.

    (a) Purpose. The Good Conduct Medal, established by Executive Order 
8809 and amended by Executive Order 9323 and by Executive Order 10444 is 
awarded for exemplary behavior, efficiency, and fidelity in active 
Federal military service. It is awarded on a selective basis to each 
soldier who distinguishes himself from among his fellow soldiers by his 
exemplary conduct, efficiency, and fidelity while in an enlisted status. 
There is no right or entitlement to the medal until the immediate 
commander has made positive recommendation for its award, and until the 
awarding authority has announced the award in General Orders. To qualify 
for an award of the Good Conduct Medal, an enlisted person must meet 
specified criteria throughout a specified period of continuous enlisted 
active Federal military service, as outlined in this section.
    (b) Awarding authority. General and field grade officer commanders 
are authorized to award the Good Conduct Medal (original and subsequent 
awards) to enlisted personnel serving under their command jurisdiction 
who meet the established criteria. This delegated authority is limited 
to service during the 36 calendar months immediately

[[Page 423]]

preceding the date of current considerations. Personnel processing 
installation or activity commanders are prohibited from awarding the 
Good Conduct Medal to personnel other than members of their own 
permanent party.
    (c) Special provisions. (1) Qualifying periods of service must be 
continuous enlisted active Federal military service. When an interval in 
excess of 24 hours occurs between enlistments, that portion of service 
prior to the interruption is not creditable toward an award.
    (2) Entry into service as a cadet or midshipman at any United States 
service academy or discharge from enlisted status for immedate entry on 
active duty in an officer status is considered termination of service 
for the purpose of awarding the Good Conduct Medal.
    (3) A qualified person scheduled for separation from active Federal 
military service should receive the award at his last duty station. Such 
award is authorized up to 30 days prior to the soldier's departure en 
route to a separation processing installation in CONUS or overseas. 
Orders announcing such advance awards will indicate the closing date of 
periods for the award prefixed with ``DOSOA'' (indicating ``Date of 
separation on or about'').
    (4) An award made for any authorized period of less than 3 years 
must be for the total period of obligated active Federal military 
service.
    (5) Discharge under provisions of AR 635-205 for immediate (re) + 
enlistment is not termination of service.
    (6) Retroactive awards will be made only by The Adjutant General 
after favorable consideration of requests, submitted through channels, 
which include adequate evidence of injustice.
    (d) Qualifying periods of service. Any one of the following periods 
of continuous enlisted active Federal military service qualifies for 
award of the Good Conduct Medal or of a Clasp, in conjunction with the 
criteria in paragraph (e) of this section.
    (1) Each 3 years completed on or after August 26, 1940.
    (2) For first award only, 1 year served entirely during the period 
December 7, 1941 to March 2, 1946.
    (3) For the first award only, upon termination of service on or 
after June 27, 1950, of less than 3 years but more than 1 year.
    (4) For first award only, upon termination of service, on or after 
June 27, 1950, of less than 1 year when final separation was by reason 
of physical disability incurred in line of duty.
    (e) Criteria. Throughout a qualifying period each enlisted person 
must meet all of the following criteria for an award.
    (1) All conduct (character) and efficiency ratings must be recorded 
as ``Excellent'' except that:
    (i) Ratings of ``Unknown'' for portions of the period under 
consideration are not disqualifying.
    (ii) Service school efficiency ratings based upon academic 
proficiency of at least ``Good'' rendered subsequent to November 22, 
1955 are not disqualifying.
    (2) No conviction by court-martial during the period.
    (3) The individual must not be serving in, nor have been serving at 
the time of separation in, an assignment of the type designated as 
``specially controlled duties'' in AR 604-10.
    (f) Basis for recommendation. Recommendation by the individual's 
immediate unit commander is required for award of the Good Conduct Medal 
by the approving authority. Such commander's recommendation will be 
based on his personal knowledge and on the individual's official records 
for periods of service under prior commanders during the period for 
which the award is to be made. The lack of official disqualifying 
comment by such previous commanders qualifies the use of such periods 
toward the award by current commander.
    (g) Clasp. A good Conduct Medal Clasp is awarded for wear on the 
Good Conduct Medal suspension ribbon and service ribbon to denote a 
second or subsequent award of the medal. Not more than one Good 
Conduction Medal may be awarded to any one person.
    (h) Presentation. Presentation of the Good Conduct Medal to military 
personnel may be made at troop formations.
    (i) Description. The Good Conduct Medal of bronze is 1\1/4\ inches 
in diameter. On the obverse is an eagle standing

[[Page 424]]

on a closed book and Roman sword, encircled by the words ``Efficiency-
Honor-Fidelity.'' On the reverse is a five-pointed star and a scroll 
between the words ``For Good'' and ``Conduct,'' surrounded by a wreath 
formed by a laurel branch on the left and an oak branch on the right. 
The medal is suspended by a ring from a silk moire ribbon 1\3/8\ inches 
long and 1\3/8\ inches wide composed of stripes of red (\1/16\ inch), 
white (\1/16\ inch), red (\1/16\ inch), white (\1/16\ inch), red (\1/16\ 
inch), white (\1/16\ inch), red (\5/8\ inch), white (\1/16\ inch), red 
(\1/16\ inch), white (\1/16\ inch), red (\1/16\ inch), white (\1/16\ 
inch), and red (\1/16\ inch).
[26 FR 6436, July 18, 1961]



Sec. 578.28  Civil War Campaign Medal.

    Established by WD General Orders 12, 1907.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the head of Lincoln, nearly in profile, facing 
sinister, surrounded by the words ``With malice toward none, with 
charity for all.'' On the reverse are the words ``The Civil War,'' and 
below this the dates ``1861-1865,'' surrounded by a wreath formed by a 
branch of oak on the left and a branch of olive on the right, the stems 
joined at the bottom by a conventional knot. The medal is suspended by a 
ring from a silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches 
in width composed of a blue band (\11/16\ inch) and a gray band (\11/16\ 
inch).
    (b) Requirements. Service between April 15, 1861, and April 9, 1865, 
or in Texas between April 15, 1861, and August 20, 1866.
[13 FR 6798, Nov. 18, 1948]



Sec. 578.29  Indian Campaign Medal.

    Established by WD General Orders 12, 1907.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a mounted Indian facing sinister, wearing a war 
bonnet, and carrying a spear in his right hand. Above the horseman are 
the words ``Indian Wars,'' and below, on either side of a buffalo skull, 
the circle is completed by arrowheads, conventionally arranged. On the 
reverse is a trophy, composed of an eagle perched on a cannon supported 
by crossed flags, rifles, an Indian shield, spear, and quiver of arrows, 
a Cuban machete, and a Sulu kriss. Below the trophy are the words ``For 
Service.'' The whole is surrounded by a circle composed of the words 
``United States Army'' in the upper half and thirteen stars in the lower 
half. The medal is suspended by a ring from a silk moire ribbon 1\3/8\ 
inches in length and 1\3/8\ inches in width composed of a red stripe 
(\1/4\ inch), black stripe (\3/16\ inch), red band (\1/2\ inch), black 
stripe (\3/16\ inch), and red stripe (\1/4\ inch).
    (b) Requirements. Service in any of the following campaigns:
    (1) Southern Oregon, Idaho, northern California, and Nevada between 
1865 and 1868.
    (2) Against the Comanches and confederate tribes in Kansas, 
Colorado, Texas, New Mexico, and Indian Territory between 1867 and 1875.
    (3) Modoc War between 1872 and 1873.
    (4) Against the Apaches in Arizona in 1873.
    (5) Against the Northern Cheyennes and Sioux between 1876 and 1877.
    (6) Nez Perce War in 1877.
    (7) Bannock War in 1878.
    (8) Against the Northern Cheyennes between 1878 and 1879.
    (9) Against the Sheep-Eaters, Piutes, and Bannocks between June and 
October, 1879.
    (10) Against the Utes in Colorado and Utah between September 1879 
and November 1880.
    (11) Against the Apaches in Arizona and New Mexico between 1885 and 
1886.
    (12) Against the Sioux in South Dakota between November 1890 and 
January 1891.
    (13) Against hostile Indians in any other action in which United 
States troops were killed or wounded between 1865 and 1891.
[13 FR 6798, Nov. 19, 1948]



Sec. 578.30  Spanish Campaign Medal.

    Established by WD General Orders 5, 1905.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a conventional castle with the addition of two round-
corner towers within a circle composed of the words ``War with Spain'' 
in the upper half and in

[[Page 425]]

the lower half the date ``1898'' at the bottom, with a branch of the 
tobacco plant on the left and a stalk of sugarcane on the right. The 
reverse is the same as that of the Indian Campaign Medal. The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
1\3/8\ inches in width composed of a yellow stripe (\1/8\ inch), blue 
band (\3/8\ inch), a yellow band (\3/8\ inch), blue band (\3/8\ inch), 
and yellow stripe (\1/8\ inch).
    (b) Requirements. Service ashore in or on the high seas en route to 
any of the following countries:
    (1) Cuba between May 11, 1898, and July 17, 1898.
    (2) Puerto Rico between July 14, 1898, and August 13, 1898.
    (3) Philippine Islands between June 30, 1898, and August 16, 1898.
[13 FR 6798, Nov. 19, 1948]



Sec. 578.31  Spanish War Service Medal.

    Established by Act of Congress July 9, 1918.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a sheathed Roman sword hanging on a tablet on which is 
inscribed ``For service in the Spanish War.'' The tablet is surrounded 
by a wreath. On the reverse is the coat of arms of the United States 
with a scroll below, all surrounded by a wreath displaying the insignia 
of the Infantry, Artillery, and Cavalry. The medal is suspended by a 
ring from a silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches 
in width composed of a green stripe (\1/8\ inch), yellow stripe (\1/4\ 
inch), green band (\5/8\ inch), yellow stripe (\1/4\ inch), and green 
stripe (\1/8\ inch).
    (b) Requirements. Service between April 20, 1898, and April 11, 
1899, by persons not eligible for the Spanish Campaign Medal.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.32  Army of Cuban Occupation Medal.

    Established by WD General Orders 40, 1915.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the coat of arms of the Cuban Republic, with wreath 
and fasces. Around the circumference are the words ``Army of Occupation, 
Military Government of Cuba,'' and above the shield the dates ``1898'' 
and ``1902.'' The reverse is the same as that of the Indian Campaign 
Medal. The medal is suspended by a ring from a silk moire ribbon 1\3/8\ 
inches in length and 1\3/8\ inches in width composed of a blue stripe 
(\1/16\ inch), red band (\3/8\ inch), yellow stripe (\1/16\ inch), blue 
band (\3/8\ inch), yellow stripe (\1/16\ inch), red band (\3/8\ inch), 
and blue stripe (\1/16\ inch).
    (b) Requirements. Service in Cuba between July 18, 1898, and May 20, 
1902.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.33  Army of Puerto Rican Occupation Medal.

    Established by WD Compilation of Orders, Changes 15, February 4, 
1919.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a conventional castle with the addition of two round-
corner towers within a circle composed of the words ``Army of 
Occupation, Porto Rico'' in the upper half and in the lower half the 
date ``1898'' at the bottom, with a branch of the tobacco plant on the 
left and a stalk of sugarcane on the right. The reverse is the same as 
that of the Indian Campaign Medal. The medal is suspended by a ring from 
a silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches in width 
composed of a red stripe (\1/16\ inch), blue band (\3/8\ inch), yellow 
stripe (\1/16\ inch), red band (\3/8\ inch), yellow stripe (\1/16\ 
inch), blue band (\3/8\ inch), and red stripe (\1/16\ inch).
    (b) Requirements. Service in Puerto Rico between August 14, 1898, 
and December 10, 1898.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.34  Philippine Campaign Medal.

    Established by WD General Orders 5, 1905.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a conventional coconut-palm tree. On the left of it is 
a lamp of knowledge and on the right the scales of justice. The whole is 
in a circle composed of the words ``Philippine Insurrection.'' and the 
date ``1899'' at the bottom. The reverse is the same as that of the 
Indian Campaign Medal. The medal is suspended by a ring from a silk 
moire

[[Page 426]]

ribbon 1\3/8\ inches in length and 1\3/8\ inches in width composed of a 
blue stripe (\1/16\ inch), red band (\5/16\ inch), blue band (\5/8\ 
inch), red band (\5/16\ inch), and blue stripe (\1/16\ inch).
    (b) Requirements. Service in the Philippine Islands under any of the 
following conditions:
    (1) Ashore between February 4, 1899, and July 4, 1902.
    (2) Ashore in the Department of Mindanao between February 4, 1899, 
and December 31, 1904.
    (3) In operations against the Pulajanes on Leyte between July 20, 
1906, and July 30, 1907, or on Samar between August 2, 1904, and June 
30, 1907.
    (4) With any of the following expeditions:
    (i) Against Pala on Jolo between April and May 1905.
    (ii) Against Datu Ali on Mindanao in October 1905.
    (iii) Against hostile Moros on Mount Bud-Dajo, Jolo, March 1906.
    (iv) Against hostile Moros on Mount Bagsac, Jolo, between January 
and July 1913.
    (v) Against hostile Moros on Mindanao or Jolo between 1910 and 1913.
    (5) In any other action against hostile natives in which United 
States troops were killed or wounded between February 4, 1899, and 
December 31, 1913.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.35  Philippine Congressional Medal.

    Established by Act of Congress June 29, 1906.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a group composed of a color bearer holding a flag of 
the United States and supported by two men with rifles on their 
shoulders, the three facing dexter. The flag extends to the rim between 
the words ``Phillipine'' and ``Insurrection.'' Below the group is the 
date ``1899.'' On the reverse are the words ``For patriotism, fortitude, 
and loyalty'' in a wreath composed of a branch of pine on the left and a 
branch of palm on the right, the stems joined by a conventional knot. 
The medal is suspended by a ring from a silk moire ribbon 1\3/8\ inches 
in length and 1\3/8\ inches in width composed of a blue stripe (\1/16\ 
inch), white stripe (\1/16\ inch), red stripe (\1/8\ inch), white stripe 
(\1/8\ inch), blue band (\5/8\ inch), white stripe (\1/8\ inch), red 
stripe (\1/8\ inch), white stripe (\1/16\ inch), and blue stripe (\1/16\ 
inch).
    (b) Requirements. Service, meeting all the following conditions:
    (1) Under a call of the President entered the Army between April 21 
and October 26, 1898.
    (2) Served beyond the date on which entitled to discharge.
    (3) Ashore in the Philippine Islands between February 4, 1899, and 
July 4, 1902.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.36  China Campaign Medal.

    Established by WD General Orders 5, 1905.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the Imperial Chinese five-toed dragon with the head in 
full face in the middle, within a circle composed of the words ``China 
Relief Expedition,'' with the dates ``1900-1901'' at the bottom. The 
reverse is the same as that of the Indian Campaign Medal. The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
1\3/8\ inches in width, composed of a blue stripe (\1/16\ inch), a 
yellow band (1\1/4\ inches), and a blue stripe (\1/16\ inch).
    (b) Requirements. Service ashore in China with the Peking Relief 
expedition between June 20, 1900, and May 27, 1901.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.37  Army of Cuban Pacification Medal.

    Established by WD General Orders 96, 1909.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the coat of arms of the Cuban Republic with wreath and 
fasces, supported by two American soldiers with rifles, at parade rest. 
Above the group are the words ``Cuban Pacification,'' below are the 
dates ``1906-1909.'' The reverse is the same as that of the Indian 
Campaign Medal. The medal is suspended by a ring from a silk moire 
ribbon 1\3/8\ inches in length and 1\3/8\ inches in width composed of a 
red stripe (\1/8\ inch),

[[Page 427]]

white stripe (\1/8\ inch), blue stripe (\1/8\ inch) olive-drab band (\5/
8\ inch), blue stripe (\1/8\ inch), white stripe (\1/8\ inch), and red 
stripe (\1/8\ inch).
    (b) Requirements. Service in Cuba between October 6, 1906, and April 
1, 1909.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.38  Mexican Service Medal.

    Established by WD General Orders 155, 1917.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the Mexican Yucca plant in flower, with mountains in 
the background. Above the yucca plant are the words ``Mexican Service'' 
in the upper half and in the lower half the dates ``1911-1917'' arranged 
in a circle. The reverse is the same as that of the Indian Campaign 
Medal. The medal is suspended by a ring from a silk moire ribbon 1\3/8\ 
inches in length and 1\3/8\ inches in width composed of a green stripe 
(\1/8\ inch), yellow band (\3/8\ inch), blue band (\3/8\ inch), yellow 
band (\3/8\ inch), and green stripe (\1/8\ inch).
    (b) Requirements. Service in any of the following expeditions or 
engagements:
    (1) With the Vera Cruz Expedition in Mexico between April 24, 1914, 
and November 26, 1914.
    (2) With the Punitive Expedition in Mexico between March 14, 1916, 
and February 7, 1917.
    (3) In the following engagements:
    (i) Buena Vista, Mexico, December 1, 1917.
    (ii) San Bernardino Canon, Mexico, December 26, 1917.
    (iii) La Grulla, Texas, January 8 and 9, 1918.
    (iv) Pilares, Mexico, March 28, 1918.
    (v) Nogales, Arizona, August 27, 1918, or November 1 to 5, 1915.
    (vi) El Paso, Texas, and Juarez, Mexico, June 15 and 16, 1919.
    (vii) Any other action against hostile Mexicans in which United 
States troops were killed or wounded between April 12, 1911, and 
February 7, 1917.
[13 FR 6799, Nov. 19, 1948]



Sec. 578.39  Mexican Border Service Medal.

    Established by Act of Congress July 9, 1918.
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a sheathed Roman sword hanging on a tablet on which is 
inscribed ``For service on the Mexican border.'' The tablet is 
surrounded by a wreath. The reverse is the same as that of the Spanish 
War Service Medal. The medal is suspended by a ring from a silk moire 
ribbon 1\3/8\ inches in length and 1\3/8\ inches in width composed of a 
green band (\7/16\ inch), yellow band (\1/2\ inch), and green band (\7/
16\ inch).
    (b) Requirements. Service between May 9, 1916 and March 24, 1917, or 
with the Mexican Border Patrol between January 1, 1916, and April 6, 
1917, by persons not eligible for the Mexican Service Medal.
[13 FR 6800, Nov. 19, 1948]



Sec. 578.40  World War I Victory Medal.

    Established by WD General Orders 48, 1919.
    (a) Description. The medal of bronze is 36 millimeters in diameter. 
On the obverse is a winged Victory standing full length and full face. 
On the reverse is the inscription ``The Great War for Civilization'' and 
the coat of arms for the United States surmounted by a fasces, and on 
either side the names of the Allied and Associated Nations. The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
36 millimeters in width, composed of two rainbows placed in 
juxtaposition and having the red in the middle, with a white thread 
along each edge.
    (b) Requirements. Service between April 6, 1917, and November 11, 
1918, or with either of the following expeditions:
    (1) American Expeditionary Forces in European Russia between 
November 12, 1918, and August 5, 1919.
    (2) American Expeditionary Forces in Siberia between November 12, 
1918, and April 1, 1920.
    (c) Clasps. Two types of clasps are authorized.
    (1) Battle clasps--(i) Requirements. Combat service, one clasp for 
each campaign. The individual must have been actually present for duty 
under competent orders in the combat zone during the period in which the 
organization was engaged in combat. For service in an engagement not 
included

[[Page 428]]

in a named campaign, a defensive sector clasp will be awarded, not more 
than one such clasp being awarded to any individual regardless of the 
number of engagements.
    (ii) Description. The clasp is a bronze bar \1/8\ inch in width and 
1\1/2\ inches in length with the name of the campaign or the words 
``Defensive Sector'' with a star at each end of the inscription.
    (2) Service clasps--(i) Requirements. Service in France, Italy, 
Siberia, European Russia, or England, as a member of a crew of a 
transport sailing between the United States and those countries, and by 
persons not eligible for battle clasps who served with the areas 
outlined above. Only one service clasp will be awarded to any 
individual.
    (ii) Description. The clasp is a bronze bar \1/8\ inch in width and 
1\1/2\ inches in length with the name of the country in which the 
service was performed inscribed thereon.
    (d) Service Stars--(1) Requirements. Possession of a battle clasp 
and/or defensive sector clasp is denoted by a bronze service star worn 
on the service ribbon of the medal, one bronze star for each clasp.
    (2) Description. The service star is a bronze or silver five-pointed 
star \3/16\ inch in diameter. A silver service star is authorized for 
wear in lieu of five bronze service stars.
[13 FR 6800, Nov. 19, 1948, as amended at 17 FR 912, Jan. 31, 1952]



Sec. 578.41  Army of Occupation of Germany Medal.

    Established by Act of November 21, 1941 (55 Stat. 781).
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a profile of General John J. Pershing, facing dexter 
in uniform of World War I. Around the upper edge are four, five-pointed 
stars, on the left the inscription ``General John J. Pershing,'' and on 
the right an unsheathed sword point up within a laurel wreath with the 
years ``1918'' and ``1923.'' On the reverse is an eagle with wings 
displayed and inverted standing on Castle Ehrenbreitstein within a 
circle composed of the words ``U.S. Army of Occupation of Germany'' and 
three, five-pointed stars. The medal is suspended by a ring from a silk 
moire ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, 
composed of a blue stripe (\1/16\ inch), red stripe (\1/16\ inch), white 
stripe (\3/16\ inch), (black band (\3/4\ inch), white stripe (\3/16\ 
inch), red stripe (\1/16\ inch), and blue stripe (\1/16\ inch).
    (b) Requirements. Service in Germany or Austria-Hungary between 
November 12, 1918, and July 11, 1923.
[13 FR 6800, Nov. 19, 1948]



Sec. 578.42  American Defense Service Medal.

    Established by Executive Order 8808 (3 CFR, 1943, Cum. Supp.).
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a female Grecian figure symbolic of defense, holding 
in her sinister hand an ancient war shield in reverse and her dexter 
hand brandishing a sword above her head, and standing upon a 
conventionalized oak branch with four leaves. Around the top is the 
lettering ``American Defense.'' On the reverse is the wording ``For 
service during the limited emergency proclaimed by the President on 
September 8, 1939 or during the unlimited emergency proclaimed by the 
President on May 27, 1941'' above a seven-leaved spray. The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
1\3/8\ inches in width composed of a golden yellow stripe (\3/16\ inch), 
blue stripe (\1/24\ inch), white stripe (\1/24\ inch), red stripe (\1/
24\ inch) golden yellow band (\3/4\ inch), red stripe (\1/24\ inch), 
white stripe (\1/24\ inch), blue stripe (\1/24\ inch), and golden yellow 
stripe (\3/16\ inch).
    (b) Requirements. Service between September 8, 1939, and December 7, 
1941, under orders to active duty for a period of 12 months or longer.
    (c) Foreign service clasp--(1) Requirements. Service outside the 
continental limits of the United States, including service in Alaska, as 
a member of a crew of a vessel sailing ocean waters, as a member of an 
operating crew of an airplane participating in regular and frequent 
flights over ocean waters, or as an assigned member of an organization 
stationed outside the continental limits of the United States.
    (2) Description. The clasp is a bronze bar \1/8\ inch in width and 
1\1/2\ inches in

[[Page 429]]

length with the words ``Foreign Service'' with a star at each end of the 
inscription.
    (d) Service star--(1) Requirements Possession of a foreign service 
clasp is denoted by the wearing of a bronze service star on the service 
ribbon.
    (2) Description. See Sec. 578.40(d)(2).
[13 FR 6800, Nov. 19, 1948, as amended at 17 FR 912, Jan. 31, 1952]



Sec. 578.43  Women's Army Corps Service Medal.

    Established by Executive Order 9365 (3 CFR, 1943 Cum. Supp.)
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is the head of Pallas Athene in profile facing dexter, 
superimposed on a sheathed sword crossed with oak leaves and a palm 
branch within a circle composed of the words ``Women's'' in the upper 
half, and in the lower half ``Army Corps.'' On the reverse, within an 
arrangement of 13 stars, is a scroll bearing the words ``For service in 
the Women's Army Auxiliary Corps'' in front of the letters ``U S'' in 
lower relief at the top and perched on the scroll is an eagle with wings 
elevated and displayed, and at the bottom, the dates ``1942-1943.'' The 
medal is suspended by a ring from a silk moire ribbon 1\3/8\ inches in 
length and 1\3/8\ inches in width composed of an old gold stripe (\1/8\ 
inch), moss-tone green band (1\1/8\ inches), and old gold stripe (\1/8\ 
inch).
    (b) Requirements. Service in both the Women's Army Auxiliary Corps 
between July 20, 1942, and August 31, 1943, and the Women's Army Corps 
between September 1, 1943, and September 2, 1945.
[13 FR 6800, Nov. 19, 1948]



Sec. 578.44  American Campaign Medal.

    Established by Executive Order 9265 (3 CFR, 1943 Cum. Supp.)
    (a) Description. A medal of bronze 1\1/4\ inches in diameter. On the 
obverse a Navy cruiser under full steam with a B-24 airplane flying 
overhead with a sinking enemy submarine in the foreground on three wave 
symbols, in background a few buildings, representing the arsenal of 
democracy, above this scene and words ``American Campaign.'' On the 
reverse an American bald close eagle between the dates ``1941-1945'' and 
the words ``United States of America.'' The medal is suspended by a ring 
from a silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches in 
width composed of a blue stripe (\3/16\ inch), white stripe (\1/16\ 
inch), black stripe (\1/16\ inch), red stripe (\1/16\ inch), white 
stripe (\1/16\ inch), blue stripe (\3/16\ inch), dark blue stripe (\1/
24\ inch), white stripe (\1/24\ inch), red stripe (\1/24\ inch), blue 
stripe (\3/16\ inch), white stripe (\1/16\ inch), red stripe (\1/16\ 
inch), black stripe (\1/16\ inch), white stripe (\1/16\ inch), and blue 
stripe (\3/16\ inch).
    (b) Requirements. Service within the American Theater between 
December 7, 1941, and March 2, 1946, under any of the following 
conditions:
    (1) On permanent assignment outside the continental limits of the 
United States.
    (2) Permanently assigned as a member of a crew of a vessel sailing 
ocean waters for a period of 30 consecutive days, or 60 days not 
consecutive.
    (3) Outside the continental limits of the United States in a 
passenger status or on temporary duty for 30 consecutive days or 60 days 
not consecutive.
    (4) In active combat against the enemy and was awarded a combat 
decoration or furnished a certificate by the commanding general of a 
corps, higher unit, or independent force that he actually participated 
in combat.
    (5) Within the continental limits of the United States for an 
aggregate period of 1 year.
    (c) Boundaries of the American Theater--(1) Eastern boundary. From 
the North Pole, south along the 75th meridian west longitude to the 77th 
parallel north latitude thence southeast through Davis Strait to the 
intersection of the 40th parallel north latitude and the 35th meridian 
west longitude, thence south along the meridian to the 10th parallel 
north latitude, thence southeast to the intersection of the Equator and 
the 20th meridian west longitude, thence south along the 20th meridian 
west longitude to the South Pole.
    (2) Western boundary. From the North Pole, south along the 141st 
meridian west longitude to the east boundary of Alaska, thence south and 
southeast

[[Page 430]]

along the Alaska boundary to the Pacific Ocean, thence south along the 
130th meridian to its intersection with the 30th parallel north 
latitude, thence southeast to the intersection of the Equator and the 
100th meridian west longitude to the South Pole.
    (d) Service star--(1) Requirements. Combat service within the 
American Theater, one bronze service star for the Antisubmarine 
Campaign. The individual must have been assigned, or attached, to and 
present for duty with a unit credited with the Campaign.
    (2) Description. See Sec. 578.40(d)(2).
[13 FR 6800, Nov. 19, 1948, as amended at 17 FR 912, Jan. 31, 1952]



Sec. 578.45  Asiatic-Pacific Campaign Medal.

    Established by Executive Order 9265 (3 CFR, 1943 Cum. Supp.).
    (a) Description. A medal of bronze 1\1/4\ inches in diameter. On the 
obverse a tropical landing scene with a battleship, aircraft carrier, 
submarine and aircraft in the background with landing troops and palm 
trees in the foreground: above this scene the words ``Asiatic-Pacific 
Campaign.'' The reverse is the same as that of the American Campaign 
Medal. The medal is suspended by a ring from a silk moire ribbon 1\3/8\ 
inches in length and 1\3/8\ inches in width composed of an orange stripe 
(\3/16\ inch), white stripe (\1/16\ inch), red stripe (\1/16\ inch), 
white stripe (\1/16\ inch), orange stripe (\1/4\ inch), blue stripe (\1/
24\ inch), white stripe (\1/24\ inch), red stripe (\1/24\ inch), orange 
stripe (\1/4\ inch), white stripe (\1/16\ inch), red stripe (\1/16\ 
inch), white stripe (\1/16\ inch), and orange stripe (\3/16\ inch).
    (b) Requirements. Service within the Asiatic-Pacific Theater between 
December 7, 1941, and March 2, 1946, under any of the following 
conditions:
    (1) On permanent assignment.
    (2) In a passenger status or on temporary duty for 30 consecutive 
days or 60 days not consecutive.
    (3) In active combat against the enemy and was awarded a combat 
decoration or furnished a certificate by the commanding general of a 
corps, higher unit, or independent force that he actually participated 
in combat.
    (c) Boundaries of the Asiatic-Pacific Theater--(1) Eastern boundary. 
Coincident with the western boundary of the American Theater 
(Sec. 578.44(c)(2)).
    (2) Western boundary. From the North Pole, south along the 60th 
meridian east longitude to its intersection with the east boundary of 
Iran, thence south along the Iran boundary to the Gulf of Oman and the 
intersection of the 60th meridian east longitude, thence south along the 
60th meridian east longitude, to the South Pole.
    (d) Service star--(1) Description. See Sec. 578.40(d)(2).
    (2) Requirements. Combat service within the Asiatic-Pacific Theater, 
one bronze service star for each campaign. The individual must meet any 
of the following conditions:
    (i) Assigned, or attached, to and present for duty with a unit 
during the period in which it participated in combat.
    (ii) Under orders in the combat zone and in addition meets any of 
the following requirements:
    (a) Awarded a combat decoration.
    (b) Furnished a certificate by a commanding general of a corps, 
higher unit, or independent force that he actually participated in 
combat.
    (c) Served at a normal post of duty (as contrasted to occupying the 
status of an inspector, observer, or visitor).
    (d) Aboard a vessel other than in a passenger status and furnished a 
certificate by the home port commander of the vessel that he served in 
the combat zone.
    (iii) Was an evadee or escapee in the combat zone or recovered from 
a prisoner of war status in the combat zone during the time limitations 
of the campaign. Prisoners of war will not be accorded credit for the 
time spend in confinement or while otherwise in restraint under enemy 
control.
    (e) Arrowhead--(1) Description. The arrowhead is a bronze replica of 
an Indian arrowhead \1/4\ inch in height and \1/8\ inch in width.
    (2) Requirements. Participated in a combat parachute jump, combat 
glider landing, or amphibious assault landing within the Asiatic-Pacific 
theater while assigned or attached as a member of an organized force 
carrying out an assigned tactical mission.
[13 FR 6801, Nov. 19, 1948, as amended at 17 FR 912, Jan. 31, 1952]

[[Page 431]]



Sec. 578.46  European-African-Middle Eastern Campaign Medal.

    Established by Executive Order 9265 (3 CFR, 1943 Cum. Supp.).
    (a) Description. A medal of bronze 1\1/4\ inches in diameter. On the 
obverse an LST landing craft and troops landing under fire with an 
airplane in background below the words ``European-African-Middle Eastern 
Campaign.'' The reverse is the same as that of the American Campaign 
Medal. The medal is suspended by a ring from a silk moire ribbon 1\3/8\ 
inches in length and 1\3/8\ inches in width composed of a brown stripe 
(\3/16\ inch), green stripe (\1/16\ inch), white stripe (\1/16\ inch), 
red stripe (\1/16\ inch), green stripe (\1/4\ inch), blue stripe (\1/24\ 
inch), white stripe (\1/24\ inch), red stripe (\1/24\ inch), green 
stripe (\1/4\ inch), white stripe (\1/16\ inch), black stripe (\1/16\ 
inch), white stripe (\1/16\ inch), and brown stripe (\3/16\ inch).
    (b) Requirements. Service within the European-African-Middle Eastern 
--heater between December 7, 1941, and November 8, 1945, under any of 
the following conditions:
    (1) On permanent assignment.
    (2) In a passenger status or on temporary duty for 30 consecutive 
days or 60 days not consecutive.
    (3) In active combat against the enemy and was awarded a combat 
decoration or furnished a certificate by the commanding general of a 
corps, higher unit, or independent force that he actually participated 
in combat.
    (c) Boundaries of the European-African-Middle Eastern Theater--(1) 
Eastern boundary. Coincident with the western boundary of the Asiatic-
Pacific Theater (Sec. 578.45(c)(2)).
    (2) Western boundary. Coincident with the eastern boundary of the 
American Theater (Sec. 578.44(c)(1)).
    (d) Service star--(1) Description. See Sec. 578.40(d)(2).
    (2) Requirements. Service within the European-African-Middle Eastern 
Theater, one bronze service star for each campaign (AR 260-15). The 
individual must meet any of the following conditions:
    (i) Assigned, or attached, to and present for duty with a unit 
during the period in which it participated in combat.
    (ii) Under orders in the combat zone and in addition meets any of 
the following requirements:
    (a) Awarded a combat decoration.
    (b) Furnished a certificate by a commanding general of a corps, 
higher unit, or independent force that he actually participated in 
combat.
    (c) Served at a normal post of duty (as contrasted to occupying the 
status of an inspector, observer, or visitor).
    (d) Aboard a vessel other than in a passenger status and furnished a 
certificate by the home port commander of the vessel that he served in 
the combat zone.
    (iii) Was an evadee or escapee in the combat zone or recovered from 
a prisoner of war status in the combat zone during the time limitations 
of the campaign. Prisoners of war will not be accorded credit for the 
time spent in confinement or while otherwise in restraint under enemy 
control.
    (e) Arrowhead--(1) Description. See Sec. 578.45(e)(1).
    (2) Requirements. See Sec. 578.45 (e) (2).
[13 FR 6801, Nov. 19, 1948, as amended at 17 FR 912, Jan. 31, 1952]



Sec. 578.47  World War II Victory Medal.

    Established by Act July 6, 1945 (59 Stat. 461; 10 U.S.C. 1430c).
    (a) Description. The medal of bronze is 36 millimeters in diameter. 
On the obverse is a figure of Liberation standing full length with head 
turned to dexter looking to the dawn of a new day, right foot resting on 
a war god's helmet with the hilt of a broken sword in the right hand and 
the broken blade in the left hand, the inscription ``World War II'' 
horizontally placed immediately below center. On the reverse are the 
inscriptions ``Freedom from fear and want'' and ``Freedom of speech and 
religion'' separated by a palm branch, all within a circle composed of 
the words ``United States of America--1941-1945.'' The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
1\3/8\ inches in width composed of a double rainbow in juxtaposition 
(\3/8\ inch), white stripe (\1/32\ inch), red band (\9/16\ inch), white 
stripe (\1/32\ inch), and double rainbow in juxtaposition (\3/8\ inch).

[[Page 432]]

    (b) Requirements. Service between December 7, 1941, and December 31, 
1946, both dates inclusive.
[13 FR 6802, Nov. 19, 1948]



Sec. 578.48  Army of Occupation Medal.

    Established by section I, WD General Orders 32, 1946:
    (a) Requirements. Service for 30 consecutive days at a normal post 
of duty (as contrasted to inspector, visitor, courier, escort, passenger 
status, temporary duty, or detached service) while assigned to any of 
the following armies of occupation:
    (1) Army of Occupation of Germany (exclusive of Berlin) between May 
9, 1945, and May 5, 1955. (Service between May 9, and November 8, 1945, 
will be counted only if the European-African-Middle Eastern Campaign 
Medal was awarded for service prior to May 8, 1945.)
    (i) Service for the prescribed period with an organization which has 
been designated in Department of the Army general orders as having met 
the requirements for the Berlin airlift device on an individual basis in 
orders issued by appropriate field authority will qualify the individual 
for the award.
    (ii) The orders announcing the award of the Berlin airlift device 
will specifically award the Army of Occupation Medal to persons not 
otherwise eligible therefor.
    (2) Army of Occupation of Austria between May 9, 1945, and July 27, 
1955. (Service between May 9, and November 8, 1945, will be counted only 
if the European-African-Middle Eastern Campaign Medal was awarded for 
service prior to May 9, 1945.)
    (3) Army of Occupation of Berlin between May 9, 1945, and a terminal 
date to be announced later. (Service between May 9, and November 8, 
1945, will be counted only if the European-African-Middle Eastern 
Campaign Medal was awarded for service prior to May 9, 1945.)
    (4) Army of Occupation of Italy between May 9, 1945, and September 
15, 1947, in the compartment of Venezia Giulia E Zara or Province of 
Udine, or with a unit in Italy as designated in DA General Orders 4, 
1947. (Service between May 9, and November 8, 1945, will be counted only 
if the European-African-Middle Eastern Campaign Medal was awarded for 
service prior to May 9, 1945.)
    (5) Army of Occupation of Japan between September 3, 1945, and April 
27, 1952, in the four main islands of Hokkaido, Honshu, Shokoku, and 
Kyushu, the surrounding small islands of the Japanese homeland, the 
Ryukyu Islands, and the Bonin-Volcano Islands. (Service between 
September 3, 1945, and March 2, 1946, will be counted only if the 
Asiatic-Pacific Campaign Medal was awarded for service prior to 
September 3, 1945. In addition, service which meets the requirements for 
the Korean Service Medal as prescribed in Sec. 578.48b will not be 
counted in determining eligibility for this medal.)
    (6) Army Occupation of Korea between September 3, 1945, and June 29, 
1949, inclusive. (Service between September 3, 1945, and March 2, 1946, 
will be counted only if the Asiatic-Pacific Campaign Medal was awarded 
for service prior to September 3, 1945.)
    (b) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse the Remagen Bridge abutments below the words ``Army of 
Occupation.'' On the reverse Fujiyama with a low hanging cloud over two 
Japanese junks above a wave scroll and the date ``1945.'' The medal is 
suspended by a ring from a silk moire ribbon 1\3/8\ inches in length and 
1\3/8\ inches in width composed of a white stripe (\3/16\ inch), black 
band (\1/2\ inch), red band (\1/2\ inch), and white stripe (\3/16\ 
inch).
    (c) Clasps--(1) Requirements. A clasp appropriately inscribed will 
be issued with each award of the Army of Occupation Medal to denote the 
area in which occupation duty was rendered.
    (2) Description. The clasp is a bronze bar \1/8\ inch in width and 
1\1/2\ inches in length with the word ``Germany'' or ``Japan'' inscribed 
thereon.
    (d) Berlin airlift device--(1) Requirements. Service for 90 
consecutive days with a unit credited with participation in the Berlin 
airlift, or awarded the device by competent field authority on an 
individual basis.
    (2) Description. The Berlin airlift device is a gold colored metal 
miniature

[[Page 433]]

of a C-54 type aircraft of \3/8\-inch wing span, other dimensions 
proportionate.
[17 FR 912, Jan. 31, 1952, as amended at 20 FR 8190, Nov. 1, 1955]



Sec. 578.48a  Medal for Humane Action.

    Established by the Act of July 20, 1949 (63 Stat. 447; 10 U.S.C. 
1430d, Supp. III).
    (a) Description. The medal of bronze is 1\1/4\ inches in diameter. 
On the obverse is a facsimile of a C-54 airplane within a wreath of 
wheat centering at the bottom of the coat of arms of the city of Berlin, 
Germany. The reverse bears the eagle, shield, and arrows from the seal 
of the Department of Defense beneath the words ``For Humane Action'' and 
above the quotation ``To Supply Necessities Of Life To The People of 
Berlin, Germany.'' The medal is suspended by a ring from a silk moire 
ribbon 1\3/8\ inches in length and 1\3/8\ inches in width, banded in 
black (\9/32\ inch) on each edge symmetrically inclosing white strips 
(\1/16\ inch) outside blue bands (\9/32\ inch) followed by white stripes 
(\3/64\ inch) centering one stripe of red (\1/32\ inch).
    (b) Requirements--(1) General. Service for at least 120 days during 
the period June 26, 1948, and September 30, 1949, inclusive, within the 
boundaries of the Berlin airlift operations prescribed in paragraph (c) 
of this section, while participating in the Berlin airlift or in direct 
support thereof, by the following individuals:
    (i) Members of the Armed Forces of the United States.
    (ii) Persons other than members of the Armed Forces of the United 
States when recommended for meritorious participation.
    (2) Posthumous. Awards may be made to those persons who lost their 
lives while participating in the Berlin airlift, or as a direct result 
of participating therein, without regard to the length of such service, 
provided all other requirements prescribed in subparagraph (1) of this 
paragraph have been complied with.
    (c) Boundaries of area of Berlin airlift operations--(1) Northern 
Boundary. 54th parallel north latitude.
    (2) Eastern boundary. 14th meridian east longitude.
    (3) Southern boundary. 48th parallel north latitude.
    (4) Western boundary. 5th meridian west longitude.
    (d) Awards. No individual will be awarded more than one Medal for 
Humane Action, regardless of the number of times he may qualify for an 
award.
[15 FR 5993, Sept. 6, 1950, as amended at 16 FR 391, Jan. 16, 1951]



Sec. 578.48b  Korean Service Medal.

    Established by Executive Order 10179, November 9, 1950 (3 CFR, 1950 
Supp.).
    (a) Requirements. Service between June 27, 1950, and July 27, 1954, 
under any of the following conditions:
    (1) Within the territorial limits of Korea or in the waters 
immediately adjacent thereto; or
    (2) With a unit under the operational control of CINCFE, other than 
one within the territorial limits of Korea, which has been designated by 
the Commander in Chief, Far East, as having directly supported the 
military effort in Korea; or
    (3) Was furnished an individual certificate by the Commander in 
Chief, Far East, testifying to material contribution made in direct 
support of the military effort in Korea.
    (4) The service prescribed must have been performed while:
    (i) On permanent assignment; or
    (ii) On temporary duty for 30 consecutive days or 60 days not 
consecutive; or
    (iii) In active combat against the enemy under conditions other than 
those prescribed in paragraphs (a)(4)(i) and (ii) of this section, 
provided a combat decoration has been awarded or an individual 
certificate has been furnished by the commander of an independent force 
or of a division, ship, or air group, or comparable or higher unit, 
testifying to such combat credit.
    (b) Description. The medal of bronze is 1\1/4\ inches in diameter. 
(Design to be announced later.) The medal is suspended by a ring from a 
silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches in width 
composed of a white stripe (\1/32\ inch), United Nations blue band (\19/
32\ inch), white stripe (\1/8\ inch), United Nations blue band (\19/32\ 
inch), and white stripe (\1/32\ inch).

[[Page 434]]

    (c) Service star--(1) Requirements. Combat service within the Korean 
Theater between June 27, 1950, and a terminal date to be announced, one 
bronze service star for each campaign. Under any of the following 
conditions:
    (i) Assigned, or attached, to and present for duty with a unit 
during the period in which it participated in combat.
    (ii) Under order in the combat zone and in addition meets any of the 
following requirements:
    (a) Awarded a combat decoration.
    (b) Furnished a certificate by a commanding general of a corps, 
higher unit, or independent force that he actually participated in 
combat.
    (c) Served at a normal post of duty (as contrasted to occupying the 
status of an inspector, observer, or visitor).
    (d) Aboard a vessel other than in a passenger status and furnished a 
certificate by the home port commander of the vessel that he served in 
the combat zone.
    (iii) Was an evadee or escapee in the combat zone or recovered from 
a prisoner of war status in the combat zone during the time limitations 
of the campaign. Prisoners of war will not be accorded credit for the 
time spent in confinement or while otherwise in restraint under enemy 
control.
    (2) Description. See Sec. 578.40(d)(2).
    (d) Arrowhead--(1) Requirements. See Sec. 578.45(e)(2).
    (2) Description. See Sec. 578.45 (e) (1).
[17 FR 913, Jan. 31, 1952, as amended at 19 FR 9376, Dec. 31, 1954]

    Editorial Note: Executive Order 10179 was amended by Executive Order 
10429, January 17, 1953, 18 FR 408 (3 CFR, 1953 Supp.).



Sec. 578.48c  Armed Forces Reserve Medal.

    Established by Executive Order 10163, as amended by Executive Order 
10439. The reverse of this medal is struck in two designs for award to 
personnel whose Reserve component service has been primarily in the 
Organized Reserve or primarily in the National Guard. The first design 
portrays the Minute Man from the Organized Reserve Crest; the other 
design portrays the National Guard insignia.
    (a) Requirements. Awarded for honorable and satisfactory service as 
a member or former member of one or more of the Reserve components of 
the Armed Forces of the United States, including the Coast Guard Reserve 
and the Marine Corps Reserve, for a period of 10 years under the 
following conditions:
    (1) Such years of service must have been performed within a period 
of 12 consecutive years.
    (2) Each year of active or inactive honorable service prior to July 
1, 1949, in any Reserve component listed in part 563 of this chapter, 
will be credited toward award. For service performed on or after July 1, 
1949, a member must accumulate during each anniversary year a minimum of 
50 retirement points as prescribed in part 563 of this chapter.
    (3) Service in a regular component of the Armed Forces, including 
the Coast Guard, is excluded except that service in a Reserve component 
which is concurrent in whole or in part with service in a regular 
component will be included.
    (4) Any period during which Reserve service is interrupted by one or 
more of the following will be excluded in computing, but will not be 
considered as a break in the period of 12 years:
    (i) Service in a regular component of the Armed Forces; or
    (ii) During tenure of office by any State official chosen by the 
voters of the entire State, territory, or possession; or
    (iii) During tenure of office of member of the legislative body of 
the United States or of any State, territory, or possession; and
    (iv) While serving as judge of a court of record of the United 
States, or of any State, territory, possession, or the District of 
Columbia.
    (b) Ten-year device. One 10-year device is awarded for wear on the 
service ribbon and suspension ribbon of the Medal for each 10-year 
period of service accrued in addition to and under the conditions 
prescribed above for award of the Medal.
[26 FR 6436, July 18, 1961]



Sec. 578.48d  United Nations Service Medal.

    Established by United Nations General Assembly Resolution 483 (V), 
December 12, 1950. Presidential acceptance for the United States Armed

[[Page 435]]

Forces announced by the Department of Defense November 27, 1951 
(directive number 110.23-3).
    (a) Requirements. (1) Personnel to qualify must be:
    (i) Members of the Armed Forces of the United States dispatched to 
Korea or adjacent areas for service on behalf of the United Nations in 
the action in Korea; or
    (ii) Other personnel dispatched to Korea or adjacent areas as 
members of paramilitary and quasimilitary units designated by the United 
States Government for service in support of United Nations action in 
Korea and certified by the United Nations Commander-in-Chief as having 
directly supported military operations there.

    Note: Personnel awarded the Korean Service Medal automatically 
establish eligibility for the United Nations Service Medal.

    (2) Service. (i) Service shall be for periods provided in this 
section between June 27, 1950, inclusive, and a terminal date to be 
announced later by the Secretary General of the United Nations, under 
either of the following conditions:
    (a) Within the territorial limits of Korea or the waters immediately 
adjacent thereto or in the air over Korea or over such waters; or
    (b) With a national contingent designated by the United States 
Government for service in support of the United Nations action in Korea 
and certified by the United Nations Commander-in-Chief as having 
directly supported military operations in Korea.
    (ii) The service prescribed must have been performed while serving 
with any unit as provided in paragraph (a)(1) of this section as 
specified hereunder:
    (a) While on an assignment to such unit for any period between the 
dates specified in paragraph (a)(2)(i) of this section; or
    (b) While attached to such unit for a period of 30 days consecutive 
or nonconsecutive, between the dates specified in paragraph (a)(2)(i) of 
this section; or
    (c) While on active combat against the enemy under conditions other 
than those prescribed in paragraphs (a)(2)(ii) (a) and (b) of this 
section, if a combat decoration has been awarded or an individual 
certificate testifying to such combat service has been furnished by the 
commander of an independent force or a division, ship, or air group, or 
comparable or higher unit.
    (b) Description. The medal is of bronze alloy 1.4 inches in 
diameter. On the obverse is the emblem of the United Nations (a polar 
projection map of the world, taken from the North Pole, embraced in twin 
olive branches). On the reverse, within a rim, is the inscription ``For 
Service in Defense of the Principles of the Charter of the United 
Nations.'' The medal is suspended from a silk ribbon 2 inches in length 
and 1.33 inches in width, consisting of 17 stripes, 9 of United Nations 
blue and 8 of white, alternating, each stripe 0.08 inch in width. A bar 
1.5 inches in length and 0.25 inch in width, bearing the word ``Korea,'' 
constitutes a part of the suspension of the medal from the ribbon.
    (c) Exclusions. No personnel of the United Nations or of its 
specialized agencies or of any national government service other than as 
prescribed above, and no International Red Cross personnel engaged for 
service under the United Nations Commander-in-Chief with any United 
Nations relief team in Korea shall be eligible for the award of the 
medal.
[17 FR 914, Jan. 31, 1952, as amended at 18 FR 3046, May 27, 1953; 18 FR 
4218, July 18, 1953]



Sec. 578.48e  National Defense Service Medal.

    Established by Executive Order 10448 (3 CFR, 1953 Supp.).
    (a) Requirements. Honorable active service for any period between 
June 27, 1950, and a terminal date to be announced, both dates 
inclusive.
    (b) Exclusions. For the purpose of this award, the following persons 
shall not be considered as performing active service:
    (1) Reserve component personnel on short tours of active duty to 
fulfill training obligations under an inactive training program.
    (2) Reserve component personnel on temporary active duty to serve on 
boards, courts, commissions, etc.
    (3) Any person on active duty for the sole purpose of undergoing a 
physical examination.

[[Page 436]]

    (4) Any person on active duty for purposes other than for extended 
active duty.
    (c) Description. The medal of bronze 1\1/4\ inches in diameter. 
(Design to be announced later.) The medal is suspended by a ring from a 
silk moire ribbon 1\3/8\ inches in length and 1\3/8\ inches in width 
composed of a red band (\7/16\ inch), white stripe (\1/32\ inch), blue 
stripe (\1/32\ inch), white stripe (\1/32\ inch), red stripe (\1/32\ 
inch), yellow band (\1/4\ inch), red stripe (\1/32\ inch), white stripe 
(\1/32\ inch), blue stripe (\1/32\ inch), white stripe (\1/32\ inch), 
red band (\7/16\ inch).
    (d) Appurtenances. No appurtenances other than the service ribbon 
are authorized for use with the National Defense Service Medal.
[18 FR 5449, Sept. 10, 1953]



Sec. 578.48f  Antarctica Service Medal.

    Established by Public Law 86-600, as promulgated in DOD Instruction 
1348.9, November 22, 1960.
    (a) Requirements. Awarded to any person who after January 1, 1946, 
meets any of the following qualifications:
    (1) Any member of the Armed Forces of the United States or civilian 
citizen, or resident alien of the United States who, as a member of a 
U.S. expedition, participates in scientific, direct support, or 
exploratory operations on the Antarctic continent.
    (2) Any member of the Armed Forces of the United States or civilian 
citizen, or resident alien of the United States who, under the 
sponsorship and approval of competent U.S. Government authority 
participates in a foreign Antarctic expedition on that continent in 
coordination with a U.S. Antarctic expedition.
    (3) Any member of the U.S. Armed Forces who serves as a crew member 
of an aircraft flying to or from the Antarctic or within Antarctica in 
support of operations on that continent.
    (4) Any member of the U.S. Armed Forces who serves on a United 
States ship operating south of latitude 60 deg. south in support of U.S. 
operations in Antarctica.
    (5) Any person, including citizens of foreign nations, not 
fulfilling any above qualification, who participates in a U.S. Antarctic 
expedition on that continent at the invitation of a participating U.S. 
agency. In such case, award will be made by the Secretary of the 
Department under whose cognizance the expedition falls, provided the 
commander of the military support force as senior U.S. representative in 
Antarctica considers that he has performed outstanding and exceptional 
service and shared the hardship and hazards of the expedition.
    (b) Clasps and discs. Wintering over on the Antarctic continent is 
recognized by the award of the following:
    (1) A clasp bearing the words ``Wintered over'' for wear on the 
suspension ribbon of the medal; and
    (2) A disc bearing an inscribed outline of the Antarctic continent 
for wear on the service ribbon.

These appurtenances are awarded in bronze for the first winter, in gold 
for the second winter and in silver for the third winter.
    (c) Miscellaneous provisions. (1) No person may receive more than 
one award of the Antarctic Service Medal.
    (2) Not more than one clasp or disc will be worn on the ribbon.
    (3) No minimum time limits for participation are prescribed.
    (4) The Antarctic Service Medal takes precedence immediately after 
the Korean Service Medal.
[26 FR 6437, July 18, 1961]



Sec. 578.48g  Armed Forces Expeditionary Medal.

    Established by Executive Order 10977, dated 4 December 1961. This 
medal is authorized for:

    U.S. Military Operations.
    U.S. Operations in Direct Support of the United Nations.
    U.S. Operations of Assistance for Friendly Foreign Nations.

    (a) Definitions--(1) Operation. A military action, or the carrying 
out of a strategic, tactical, service, training, or administrative 
military mission; the process of carrying on combat including movement, 
supply, attack, defense, and maneuvers needed to gain the objectives of 
any battle or campaign.
    (2) Area of operations. (i) The foreign territory upon which troops 
have actually landed or are present and specifically deployed for the 
direct support of the designated military operation.

[[Page 437]]

    (ii) Adjacent water areas in which ships are operating, patrolling, 
or providing direct support of operations.
    (iii) The airspace above and adjacent to the area in which 
operations are being conducted.
    (3) Direct support. Services being supplied the combat forces in the 
area of operations by ground units, ships, and aircraft providing 
supplies and equipment to the forces concerned, provided it involves 
actually entering the designated area; and ships and aircraft providing 
fire, patrol, guard, reconnaissance, or other military support.
    (b) Requirements. Awarded for services after 1 July 1958, meeting 
the qualifications set forth below:
    (1) General. Personnel must be a bona fide member of a unit engaged 
in the operation, or meet one or more of the following criteria:
    (i) Shall serve not less than 30 consecutive days in the area of 
operations.
    (ii) Be engaged in direct support of the operation for 30 
consecutive days or 60 nonconsecutive days, provided this support 
involves entering the area of operations.
    (iii) Serve for the full period where an operation is of less than 
30 days' duration.
    (iv) Be engaged in actual combat, or duty which is equally as 
hazardous as combat duty, during the operation with armed opposition, 
regardless of time in the area.
    (v) Participate as a regularly assigned crewmember of an aircraft 
flying into, out of, within, or over the area in support of the military 
operation.
    (vi) Be recommended, or attached to a unit recommended, by the chief 
of a service or the commander of a unified or specified command for 
award of the medal, although the criteria above have not been fulfilled. 
Such recommendations may be made to the Joint Chiefs of Staff for duty 
of such value to the operation as to warrant particular recognition.
    (c) Designated areas and dates--(1) U.S. military operation dates. 
(i) Berlin--from 14 August 1961 to 1 June 1963.
    (ii) Lebanon--from 1 July 1958 to 1 November 1958.
    (iii) Quemoy and Matsu Islands-- from 23 August 1958 to 1 June 1963. 
Taiwan Straits--from 23 August 1958 to 1 January 1959.
    (iv) Cuba--from 24 October 1962 to 1 June 1963.
    (2) U.S. operations in direct support of the United Nations. Congo--
from 14 July 1960 to 1 September 1962.
    (3) U.S. operations of assistance for a friendly foreign nation. (i) 
Laos--from 19 April 1961 to 7 October 1962.
    (ii) Vietnam--From 1 July 1958 to a date to be announced.

Future area of operations will be announced as required.
[29 FR 582, Jan. 22, 1964]



Sec. 578.49  Service ribbons.

    A ribbon identical in color with the suspension ribbon of the 
service medal it represents, attached to a bar 1\3/8\ inches in width 
and \3/8\ inch in length, equipped with a suitable attaching device. A 
service ribbon is issued with each service medal.
[17 FR 914, Jan. 31, 1952]



Sec. 578.49a  Philippine service ribbons.

    (a) Philippine Defense Ribbon. Established by General Orders 8, Army 
Headquarters, Commonwealth of the Philippines, 1944.
    (1) Description. A silk moire ribbon \3/8\ inch in length and 1\3/8\ 
inches in width composed of a red stripe (\7/32\ inch), a white stripe 
(\3/16\ inch), red band (\9/16\ inch), a white stripe (\3/16\ inch), and 
a red stripe (\7/32\ inch); in the center of the red band, three white 
stars \1/8\-inch circumscribed diameter, centers placed on extremities 
of an imaginary equilateral triangle \1/4\-inch on each side with one 
point of each star outward and centered in radiated center lines.
    (2) Requirements. Service in the defense of the Philippines from 
December 8, 1941, to June 15, 1942, under either of the following 
conditions:
    (i) Participated in any engagement against the enemy in Philippine 
territory, in Philippine waters, or in the air over the Philippines or 
over Philippine waters. An individual will be considered as having 
participated in an engagement if he:
    (a) Was a member of the defense garrison of the Bataan Peninsula or 
of the fortified islands at the entrance to Manila Bay; or

[[Page 438]]

    (b) Was a member of and present with a unit actually under enemy 
fire or air attack; or
    (c) Served on a ship which was under enemy fire or air attack: or
    (d) Was a crew member or passenger in an airplane which was under 
enemy aerial or ground fire.
    (ii) Assigned or stationed in Philippine territory or in Philippine 
waters for not less than 30 days during the period.
    (3) Bronze service star--(i) Description. See Sec. 578.40(d)(2).
    (ii) Requirements. Individuals who meet both of the conditions set 
forth in paragraph (a)(2) of this section, are authorized to wear a 
bronze service star on the ribbon.
    (b) Philippine Liberation Ribbon. Established by General Orders 8, 
Army Headquarters, Commonwealth of the Philippines, 1944.
    (1) Description. A silk moire ribbon \3/8\ inch in length and 1\3/8\ 
inches in width composed of a red band (\7/32\ inch), blue stripe (\1/8\ 
inch), white stripe (\1/8\ inch), and a red band (\9/16\ inch).
    (2) Requirements. Service in the liberation of the Philippines from 
October 17, 1944, to September 3, 1945, under any of the following 
conditions:
    (i) Participated in the initial landing operations on Leyte or 
adjoining islands from October 17, 1944, to October 20, 1944. An 
individual will be considered as having participated in such operations 
if he landed on Leyte or adjoining islands, was on a ship in Philippine 
waters, or was a crew member of an airplane which flew over Philippine 
territory during the period.
    (ii) Participated in any engagement against the enemy during the 
campaign on Leyte and adjoining islands. An individual will be 
considered as having participated in combat if he meets any of the 
conditions set forth in paragraphs (a)(2)(i) (b), (c), and (d) of this 
section.
    (iii) Participated in any engagement against the enemy on islands 
other than those included in paragraphs (b)(2)(i) of this section. An 
individual will be considered as having participated in combat if he 
meets any of the conditions set forth in paragraphs (a)(2)(i) (b), (c), 
and (d) of this section.
    (iv) Served in the Philippine Islands or on ships in Philippine 
waters for not less than 30 days during the period.
    (3) Bronze service star--(i) Description. See Sec. 578.40(d)(2).
    (ii) Requirements. Individuals who meet more than one of the 
conditions set forth above are authorized to wear a bronze service star 
on the ribbon for each additional condition under which they qualify 
other than that under which they are eligible for the initial award of 
the ribbon.
    (c) Philippine Independence Ribbon. Established by General Orders 
383, Army Headquarters, Commonwealth of the Philippines, 1946.
    (1) Description. A silk moire ribbon \3/8\ inch in length and 1\3/8\ 
inches in width composed of a yellow stripe (\1/8\ inch), blue stripe 
(\3/8\ inch), red stripe (\3/32\ inch), white stripe (\3/16\ inch), red 
stripe (\3/32\ inch), blue stripe (\3/8\ inch), and yellow stripe (\1/8\ 
inch).
    (2) Requirements. Army personnel who are recipients of the 
Philippine Defense and/or Philippine Liberation Ribbons are eligible for 
the award of the Philippine Independence Ribbon.
[14 FR 6265, Oct. 14, 1949, as amended at 17 FR 914, Jan. 31, 1952; 18 
FR 4218, July 18, 1953]



Sec. 578.49b  United Nations Medal.

    Established by the United Nations Secretary-General, July 30, 1959. 
Presidential acceptance for the United States Armed Forces announced by 
Department of Defense Instruction 1348.10, December 6, 1960.
    (a) Eligibility. Personnel to qualify for award must be or have been 
in the service of the United Nations, for a period not less than 6 
months, with one of the following:
    (1) United Nations Observation Group in Lebanon (UNOGIL)
    (2) United Nations Truce Supervision Organization in Palestine 
(UNTSOP),
    (3) United Nations Military Observer Group in India and Pakistan 
(UNMOGIP).
    (b) Awards. Awards are made by the United Nations Secretary-General, 
or in his name by officials to whom he delegates awarding authority.
    (c) Presentation. Presentation normally will be made in the field by 
the Senior Representative of the Secretary-General who makes the award.

[[Page 439]]

When presentation is not so accomplished, any person who believes 
himself eligible for award may submit to The Adjutant General, ATTN: 
AGPS-AD a request for such award with copy of any substantiating 
documents. The Adjutant General will forward each such request through 
the Office of Internal Administration, Office of the Assistant Secretary 
of State for International Organization Affairs, to the United Nations 
for consideration.
[26 FR 6437, July 18, 1961]



Sec. 578.52  Miniature service medals and appurtenances.

    (a) Description. Miniature service medals and appurtenances are 
replicas of the corresponding service medals and appurtenances, on a 
scale of \1/2\.
    (b) Wearing. Miniature service medals with miniature appurtenances 
are worn attached to a bar on the left lapel of military and civilian 
evening clothes only.
[13 FR 6802, Nov. 19, 1948]



Sec. 578.53  Miniature service ribbons.

    (a) Description. Miniature service ribbons are replicas of 
corresponding service ribbons, on a scale of \1/2\.
    (b) Wearing. Miniature service ribbons with miniature appurtenances 
are worn attached to a bar on civilian clothes only.
[13 FR 6802, Nov. 19, 1948]



Sec. 578.54  Lapel buttons.

    (a) Enameled reproductions of the service ribbons of all service 
medals, except the World War I and World War II Victory Medal, are 
authorized.
    (1) Eligibility requirements. Same as for the service medals listed 
in Secs. 578.27 through 578.39, 578.41 through 578.46, 578.48 through 
578.48c, and 578.48e.
    (2) Description. The lapel button is \21/32\-inch in width and \1/
8\-inch in length in colored enamel, being a reproduction of the service 
ribbon.
    (b) World War I Victory button (World War I Victory Medal lapel 
button).
    (1) Eligibility requirements. Honorable service during the period 
April 6, 1917, to November 11, 1918, or service with the--
    (i) American Expeditionary Forces in European Russia between 
November 12, 1918, and August 5, 1919; or
    (ii) American Expeditionary Forcesin Siberia between November 12, 
1918, and April 1, 1920.
    (2) Description. A five-pointed star \5/8\-inch in diameter on a 
wreath with the letters ``US'' in the center. For persons wounded in 
action, the lapel button is of silver; for all others, of bronze.
    (c) Honorable service lapel button (World War II Victory Medal lapel 
button).
    (1) Eligibility requirements. Honorable Federal military service 
between September 8, 1939, and December 31, 1946.
    (2) Description. A button of gold-color metal and consists of an 
eagle perched within a ring composed of a chief and 13 vertical stripes. 
The button is \7/16\-inch in height and \5/8\-inch in width.
    (d) Lapel button for service rendered prior to 8 September 1939 
(World War II Victory Medal lapel button).
    (1) Eligibility requirements. (i) The following persons are entitled 
to wear this lapel button:
    (a) Those who have served honorably as enlisted men, field clerks, 
warrant officers, nurses, or commissioned members of the military forces 
in time of war.
    (b) Those who have served honorably in the Army of the United States 
and have been trained and qualified in the grade of private or in a 
higher grade, including contract surgeons and veterinarians, warrant 
officers, nurses, and commissioned officers.
    (c) Those who have served honorably in a military unit conducted 
under the War Department, or have been trained and qualified as a 
private or in a higher grade.
    (ii) Except where other regulations govern, the length of service 
and training required for qualification for the lapel button for service 
rendered prior to September 8, 1939, will be as follows, such service 
and training to have been considered honorable and satisfactory by the 
commanding officer:
    (a) Two months' service in the Regular Army.
    (b) One year's service in the National Guard.

[[Page 440]]

    (c) One year's service in the Enlisted Reserve Corps, including 15 
days' training on active or inactive duty, or equivalent training during 
another year.
    (d) One year's service in the basic course of a senior Reserve 
Officers' Training Corps unit or in a junior Reserve Officers' Training 
Corps unit in an essentially military school.
    (e) Two years' service in other junior Reserve Officers' Training 
Corps units and units given Government aid (section 55c, National 
Defense Act, and R. S. 1225).
    (f) Two months' service in a citizens' military training camp or its 
equivalent.
    (iii) Next of kin are not authorized to wear the lapel button for 
service.
    (2) Description. A button of gold-color metal and consists of an 
eagle perched within a ring which displays 7 white and 6 red vertical 
stripes with a blue chief bearing the words ``National Defense.'' The 
button is \7/16\-inch in height and \5/8\-inch in width.
    (e) Army lapel button--(1) Eligibility requirements. Honorable 
active Federal service in the Army of the United States for at least 1 
year subsequent to December 31, 1946.
    (2) Description. The minute man in gold-color metal on a red enamel 
disk surrounded by 16 pointed gold rays, outside diameter \9/16\-inch.
[19 FR 9377, Dec. 31, 1954]



Sec. 578.56  Manufacture, sale, and illegal possession.

    Sections 507.1 to 507.8 of this chapter prescribe:
    (a) Restrictions on manufacture and sale of service medals and 
appurtenances by civilians.
    (b) Penalties for illegal possession and wearing of service medals 
and appurtenances.
[13 FR 6802, Nov. 19, 1948]

                                 Badges

    Source: Sections 578.60 through 578.62 appear at 26 FR 6437, July 
18, 1961, unless otherwise noted.



Sec. 578.60  Badges and tabs; general.

    (a) Purpose. The purpose of awarding badges is to provide for public 
recognition by tangible evidence of the attainment of a high degree of 
skill, proficiency, and excellence in tests and competition, as well as 
in the performance of duties. Awards of badges promote esprit de corps, 
and provide an incentive to greater effort, thus becoming instrumental 
in building and maintaining morale. Types of badges authorized to be 
awarded as hereinafter prescribed, are combat and special skill badges, 
qualification badges and identification badges.
    (b) Recommendations. Recommendations for awards of badges will be 
forwarded through channels to the commander authorized herein to make 
the respective awards of to The Adjutant General, ATTN: AGPS-AD, as 
promptly as practicable following the individual's qualification.
    (c) Awards of badges--(1) General. Badges may be awarded in the 
field only by designated commanders. Commanders other than those to whom 
authority is delegated herein will forward recommendations for such 
awards through command channels to The Adjutant General, ATTN: AGPS-AD.
    (2) Posthumous awards. When an individual who has qualified for a 
badge dies before the award is made, the award nevertheless may be made 
and the badge forwarded to the next of kin as indicated by the records 
of the Department of the Army, in the following precedence: Widow, or 
widower, eldest son, eldest daughter, father, mother, eldest brother, 
eldest sister, or eldest grandchild. Posthumous awards made by 
commanders outside the continental United States will be forwarded to 
The Adjutant General, ATTN: AGPS-AD.
    (3) Retroactive awards. Retroactive awards of the Combat Infantryman 
Badge and Medical Badge will not be made. Exceptions are awards of 
Combat Infantryman Badge or Medical Badge made by The Adjutant General 
upon written request by individuals otherwise fully qualified who are 
recipients of decorations for heroism in combat.
    (d) Announcement of awards. Except for identification badges, each 
award of a badge will be announced in special orders of commanders 
authorized herein to make the award or in letter orders of the 
Department of the Army.

[[Page 441]]

    (e) Presentation of awards. Whenever practicable, badges will be 
presented to military personnel with formal and impressive ceremony. 
Presentations should be made as promptly as possible following 
announcement of awards and, when practicable, in the presence of the 
troops with whom the recipients were serving at the time of 
qualification.
    (f) Supply of badges and appurtenances--(1) Items issued by the 
Department of the Army:
    (i) Combat and Special Skill badges.
    (ii) Qualification badges.
    (iii) Qualification badge bars.
    (iv) The Guard, Tomb of the Unknown Soldier identification badge (an 
item of organizational equipment).
    (2) Items not issued or sold by Department of the Army: 
Identification badges, except as provided in paragraph (a) of this 
section.
    (i) Lapel buttons for badges.
    (ii) Certificates for badges.
    (iii) Foreign badges.
    (iv) Miniature combat infantryman and expert infantryman badges.
    (3) Requisition. Initial issue or replacement for badge lost, 
destroyed, or rendered unfit for use without fault or neglect on the 
part of the person whom it was awarded, will be made upon application, 
without charge to military personnel on active duty and at stock fund 
standard price to all others.
    (g) Character of service. No badge will be awarded to any person 
who, subsequent to qualification therefor, has been dismissed, 
dishonorably discharged, or convicted of desertion by court-martial, 
except as provided in Sec. 578.61(c).



Sec. 578.61  Combat and special skill badges and tabs.

    (a) Purpose. Combat and special skill badges are awarded to denote 
proficiency in performance of duties under hazardous conditions and 
circumstances of extraordinary hardship as well as special 
qualifications and successful completion of prescribed courses of 
training.
    (b) To whom awarded. (1) The Combat Infantryman Badge may be awarded 
only to members of the United States Army or Navy.
    (2) The Medical Badge may be awarded only to members of the United 
States Army or Navy.
    (3) All other combat and special skill badges may be earned by 
honorable active or inactive service, in or while formally assigned or 
attached to, the United States Army. Awards of United States Army combat 
and special skill badges to a foreigner will be made only with the prior 
consent of his parent government and upon completion of the full 
requirements established for each badge listed below.
    (c) Reinstatement of awards. An award once revoked will not be 
reinstated automatically when, for any reason of conviction by court-
martial for desertion in time of war is voided by competent authority.
    (d) Combat Infantryman Badge.-- (1) Eligibility requirements. (i) An 
individual must be an infantry officer in the grade of colonel or below, 
or an enlisted man, or a warrant officer with infantry MOS, who 
subsequent to December 6, 1941, has satisfactorily performed duty while 
assigned or attached as a member of an infantry unit of regimental or 
smaller size during any period such unit was engaged in active ground 
combat. Battle participating credit alone is not sufficient; the unit 
must have been in active ground combat with the enemy during the period. 
Awards may be made to assigned members of ranger infantry companies 
assigned or attached to tactical infantry organizations.
    (ii) Awards will not be made to general officers nor to members of 
headquarters companies of units larger in size than battle groups.
    (iii) Any officer whose basic branch is other than infantry who, 
under appropriate orders, has commanded an infantry unit of regimental 
or smaller size for at least 30 consecutive days is deemed to have been 
detailed in infantry and is eligible for the award of the Combat 
Infantryman Badge notwithstanding absence of written orders detailing 
him in the infantry provided all other requirements for such award have 
been met. Orders directing the individual to assume command will be 
confirmed in writing at the earliest practicable date.

[[Page 442]]

    (iv) One award of the Combat Infantryman Badge is authorized to each 
individual for each separate war in which the requirements prescribed 
have been met. Second, third, and fourth awards are indicated by 
superposing 1, 2, and 3 stars respectively, centered at the top of the 
badge between the points of the oak wreath.
    (2) Who may award. Commanding generals of infantry divisions and 
commanding officers of infantry battle groups, separate infantry 
battalions, and separate infantry companies.
    (e) Medical Badge--(1) Eligibility requirements. (i) A member of the 
Army Medical Service or of the Naval Medical Service assigned or 
attached to the Army, must have satisfactorily performed medical duties 
subsequent to December 6, 1941, while assigned or attached in a 
permanent status as a member of the medical detachment of an infantry 
unit of regimental or smaller size, or as a member of the medical 
platoon of an infantry or airborne battle group headquarters company, 
during any period the unit was engaged in active ground combat. Battle 
participation credit is not sufficient; the infantry unit must have been 
in contact with the enemy.
    (ii) Awards of this badge will not be made to members of medical 
battalions, except when attached to an infantry unit as indicated above.
    (iii) One award of the medical badge is authorized to each 
individual for each war in which the above requirements are met. 
Successive awards are indicated by superimposing stars on the badge as 
follows: Second award, one star at the top center above the cross; third 
award, two stars, one at the top center above the cross and one at the 
bottom center of the wreath; fourth award, three stars, one at the top 
center above the cross, and one at each side of the wreath at the ends 
of the stretcher.
    (2) Who may award. Same as for Combat Infantryman Badge.
    (f) Expert Infantryman Badge--(1) Eligibility requirement. An 
individual must be an infantry officer or enlisted man, or a warrant 
officer with an infantry MOS who has satisfactorily completed the 
proficiency tests prescribed by Army Regulations while assigned to an 
infantry unit of regimental or smaller size; or when assigned to, or 
attending a course of instruction at, the United States Army Infantry 
School.
    (2) Who may award. Commanding officers of infantry regiments, battle 
groups and separate infantry units or their next superior, commanders of 
United States Army Training Centers, and the Commandant, United States 
Army Infantry School. Commanders at training installations may award the 
badge to qualified personnel undergoing 6 months' active duty for 
training under the Reserve Forces Act of 1955 provided such personnel 
are assigned to infantry units of battle group or smaller size in the 
Reserve components.
    (g) Parachutist badges. (1) Three degrees of badges are authorized 
for award: the Master Parachutist Badge, the Senior Parachutist Badge, 
and the Parachutist Badge. Eligibility requirements for each badge are 
set forth in succeeding paragraphs. Awarding authorities for all three 
are the following: Commanding generals of the United States Continental 
Army Command; ZI armies and overseas commands: Military District of 
Washington, U.S. Army; airborne corps; airborne divisions; infantry 
divisions containing organic airborne elements, and the Quartermaster 
Research and Engineering Command; the Commandants of the Infantry School 
and of the Quartermaster School; commanding officers of separate 
airborne regiments, separate airborne battle groups, or separate 
airborne battalions. Special Forces Groups (Airborne), and the Special 
Warfare Center; and President, U.S. Army Airborne and Electronics Board.
    (2) Eligibility for awards will be determined from the Individual 
Jump Record (DA Form 1307) contained in the field 201 file section of 
the personnel records jacket. Each entry on this form will include pay 
period covered and initials of the personnel officer; the entry will be 
made only from a Certificate of Jump and Loading Manifest (DA Form 1306) 
completed by an officer or jumpmaster.
    (h) Master Parachutist Badge. An individual must have been rated 
excellent in character and efficiency and have met the following 
requirements:

[[Page 443]]

    (1) Participated in a minimum of 65 jumps to include:
    (i) Twenty-five jumps with combat equipment to consist of normal TOE 
equipment, individual weapon carried by the individual in combat whether 
the jump was in actual or simulated combat. In cases of simulated combat 
the equipment will include water, rations (actual or dummy), ammunition 
(actual or dummy), and other essential items necessary to sustain an 
individual in combat;
    (ii) Four night jumps made during the hours of darkness (regardless 
of the time of day with respect to sunset) one of which will be as 
jumpmaster of a stick;
    (iii) Five mass tactical jumps which culminate in an airborne 
assault problem with a unit equivalent to a battalion or larger; a 
separate company/battery; or an organic staff of regimental size or 
larger. The individual must fill a position commensurate with his rank 
or grade during the problem.
    (2) Either graduated from the Jumpmaster Course of the Airborne 
Department of the Infantry School or the jumpmaster school of a separate 
airborne battalion or larger airborne unit, or served as jumpmaster on 
one or more combat jumps or as jumpmaster on 33 noncombat jumps.
    (3) Have served on jump status with an airborne unit or other 
organization authorized parachutists for a total of at least 36 months.
    (i) Senior Parachutist Badge. An individual must have been rated 
excellent in character and efficiency and have met the following 
requirements:
    (1) Participated in a minimum of 30 jumps to include:
    (i) Fifteen jumps with combat equipment to consist of normal TOE 
equipment including individual weapon carried in combat whether the jump 
was in actual or simulated combat. In cases of simulated combat the 
equipment will include water, rations (actual or dummy), ammunition 
(actual or dummy), and other essential items necessary to sustain an 
individual in combat; and
    (ii) Two night jumps made during the hours of darkness (regardless 
of time of day with respect to sunset) one of which will be as 
jumpmaster of a stick;
    (iii) Two mass tactical jumps which culminate in an airborne assault 
problem with either a unit equivalent to a battalion or larger; a 
separate company/battery; or an organic staff of regimental size or 
larger. The individual must fill a position commensurate with his rank 
or grade during the problem.
    (2) Either graduated from the Jumpmaster Course of the Airborne 
Department of the Infantry School or the jumpmaster school of a separate 
airborne battalion or larger airborne unit, or served as jumpmaster on 
one or more combat jumps or as a jumpmaster on 15 noncombat jumps.
    (3) Have served on jump status with an airborne unit or other 
organizations authorized parachutists for a total of at least 24 months.
    (j) Parachutists Badge. An individual must have satisfactorily 
completed the prescribed proficiency tests while assigned or attached to 
an airborne unit or the Airborne Department of The Infantry School; or 
have participated in at least one combat parachute jump into enemy-held 
territory as a member of an organized force carrying out an assigned 
tactical mission for which the unit was credited with an airborne 
assault landing by the theater commander.
    (k) Army aviator badges--(1) Badges authorized. (i) Master Army 
Aviator Badge.
    (ii) Senior Army Aviator Badge.
    (iii) Army Aviator Badge.
    (2) Eligibility requirements. An individual must have satisfactorily 
completed prescribed training and proficiency tests as outlined in AR 
600-106, and must have been designated as an aviator in orders issued by 
headquarters indicated below:
    (3) Who may award. (i) The Commandant, Army Aviation School, may 
designate an individual as an Army Aviator.
    (ii) The Adjutant General may designate an individual as an Army 
Aviator, as a Senior Army Aviator, and as a Master Army Aviator.
    (l) Army Aviation Medical Officer Badge. The Surgeon General may 
award this badge to any Army Medical Corps officer to whom he has 
awarded MOS 3160 (either primary or secondary)

[[Page 444]]

upon successful completion of a course in aviation medicine.
    (m) Diver badges--(1) Badges authorized. Diver proficiency is 
recognized by the following badges:
    (i) Master Diver Badge.
    (ii) First-Class Diver Badge.
    (iii) Salvage Diver Badge.
    (iv) Second-Class Diver Badge.
    (2) Eligibility requirements. An individual must have satisfactorily 
completed prescribed proficiency tests in accordance with AR 611-75 
while assigned or attached to an authorized diving and salvage school or 
to a unit for which the TOE or TD includes diving personnel.
    (3) Who may award. The commandant of an authorized diving and 
salvage school and commanding officer of a regiment, group, or separate 
battalion for which the TOE or TD includes diving personnel.
    (n) Explosive Ordnance Disposal Supervisor Badge--(1) Eligibility 
requirements. Any commissioned officer, warrant officer, or 
noncommissioned officer in grade E-6 or higher may be awarded the badge 
if he meets, or has met, all the following requirements;
    (i) Successful completion of basic and special weapons disposal 
courses of instruction.
    (ii) Eighteen months cumulative service in a supervisory position in 
a TOE or TD which the above explosive ordnance disposal courses are a 
prerequisite.
    (iii) Noncommissioned officers must have been rated excellent in 
character and efficiency at the time of recommendation for the award.
    (2) Who may award. Commanding generals of divisions and higher 
commands, and commanding officers of separate groups or equivalent 
headquarters exercising operational control of EOD personnel or units.
    (o) Explosive Ordnance Disposal Specialist Badge--(1) Eligibility 
requirements. Any commissioned officer, warrant officer, or enlisted man 
may be awarded the badge if he meets, or has met, all the following 
requirements:
    (i) Successful completion of the prescribed basic EOD course of 
instruction.
    (ii) Assigned in a TOE or TD position for which the basic EOD course 
is a prerequisite.
    (2) Who may award. Same as in paragraph (n) of this section.
    (p) Glider Badge. The Glider Badge is no longer awarded. An 
individual who was awarded the badge upon satisfying then current 
eligibility requirements may continue to wear the badge. Eligibility for 
award could be established by satisfactory completion of prescribed 
proficiency tests while assigned or attached to an airborne unit or to 
the Airborne Department of the Infantry School, or by participation in 
at least one combat glider landing into enemy-held territory as a member 
of an organized force carrying out an assigned tactical mission for 
which the unit was credited with an airborne assault landing by the 
theater commander.
    (q) Ranger Tab. (1) The Commandant of the U.S. Army Infantry School 
may award the Ranger Tab to any person who successfully completed a 
Ranger Course conducted by that school.
    (2) The Adjutant General may award the Ranger Tab to any person who 
was awarded the Combat Infantryman Badge while serving as a member of a 
Ranger Battalion (1st-6th, inclusive) or in the 5307th Composite Unit, 
Provisional (Merrill's Marauders) or to any person who successfully 
completed a Ranger course conducted by the Ranger Training Command.



Sec. 578.62  Qualification badges and tabs.

    (a) Driver and Mechanic Badge--(1) Purpose. This badge is awarded to 
denote the attainment of a high degree of skill in the operation and 
maintenance of motor vehicles. Component bars are authorized only for 
the following types of vehicles and/or qualifications:
    (i) Driver--W (for wheeled vehicles).
    (ii) Driver--T (for tracked vehicles).
    (iii) Driver--M (for motorcycles).
    (iv) Driver--A (for amphibious vehicles).
    (v) Mechanic (for automotive or allied trade vehicles).
    (vi) Operator--S (for special mechanical equipment).
    (2) Eligibility requirements for drivers. The individual must have:

[[Page 445]]

    (i) Qualified for and possess a current U.S. Government Motor 
Vehicle Operator's Identification Card (SF 46), issued as prescribed by 
AR 600-55; and
    (ii) Performed assigned duty as a driver or assistant driver of Army 
vehicles for a minimum of 12 consecutive months, or during at least 
8,000 miles and has no Army motor vehicle accident or traffic violation 
recorded on his Driver Qualification Record (DA Form 348); or
    (iii) Performed satisfactorily for a minimum period of 1 year as an 
active qualified driver instructor, or motor vehicle driver examiner.
    (3) Eligibility requirements for mechanics. The individual must 
have:
    (i) Passed aptitude tests and have completed the standard mechanics; 
course with a ``skilled'' rating or have demonstrated possession of 
sufficient previous experience as an automotive mechanic to justify such 
a rating; and
    (ii) Been assigned to primary duty as an automotive mechanic, second 
echelon or higher, or as an active automotive mechanic instructor; and
    (iii) If required to drive an Army motor vehicle in connection with 
automotive mechanic or automotive mechanic instructor duties, qualified 
for motor vehicle operators permit as prescribed above, and performed 
duty which included driving motor vehicles for a minimum of 6 
consecutive months, and had no Army motor vehicle accident or traffic 
violation recorded on his Driver Qualification Record (DA Form 348).
    (4) Eligibility requirements for operators of special mechanical 
equipment. A soldier or civilian whose primary duty involves operation 
of Army materials handling or other mechanical equipment must have 
completed 12 consecutive months or 500 hours of operation, whichever 
comes later, without accident or written reprimand as the result of his 
operation, and his operating performance must have been adequate in all 
respects.
    (5) Who may award. Commanding officers of regiments, battle groups, 
separate battalions, and any commanding officer in the grade of 
lieutenant colonel or higher.
    (b) Basic qualification badges. A basic qualification badge is 
awarded to indicate the degree in which an individual, military or 
civilian, has qualified in a prescribed record course and an appropriate 
bar is furnished to denote each weapon with which he qualified. Each bar 
will be attached to the basic badge which indicates the qualification 
last attained with the respective weapon. Basic qualification badges are 
of three classes: Expert, sharpshooter, and marksman. The only weapons 
for which component bars are authorized are:

                                                                        
------------------------------------------------------------------------
                  Weapon                             Inscription        
------------------------------------------------------------------------
Rifle.....................................  Rifle.                      
Pistol....................................  Pistol.                     
Antiaircraft artillery....................  AA Artillery.               
Automatic rifle...........................  Auto rifle.                 
Machine gun...............................  Machine gun.                
Field Artillery...........................  Field Arty.                 
Tank Weapons..............................  Tank Weapons.               
Flamethrower..............................  Flamethrower.               
Submachine gun............................  Submachine gun.             
Rocket Launcher...........................  Rocket Launcher.            
Grenade...................................  Grenade.                    
Carbine...................................  Carbine.                    
Recoilless rifle..........................  Recoilless Rifle.           
Mortar....................................  Mortar.                     
Bayonet...................................  Bayonet.                    
Rifle, small bore.........................  Small bore rifle.           
Pistol, small bore........................  Small bore pistol.          
Missile...................................  Missile.                    
------------------------------------------------------------------------

    (c) Who may award--(1) To military personnel. Any commander in the 
grade or position of lieutenant colonel or higher may make awards to 
members of the Armed Forces of the United States. ROTC camp commanders 
and professors of military science of ROTC may make awards to members of 
the ROTC.
    (2) To civilian personnel. Except to uniformed civilian guards, 
awards to civilians will be made only by the Director of Civilian 
Marksmanship, Headquarters, Department of the Army. The authorization 
for civilian guards to wear marksmanship badges may be made by 
installation commanders. Civilian guards will procure badges at their 
own expense.
    (d) Revocation of awards--(1) Basic qualification badges. An award 
for previous qualification is revoked automatically whenever an 
individual, upon completion of firing a record course for which the 
previous award was made,

[[Page 446]]

has not attained the same qualification. If the bar which is revoked 
automatically is the only one authorized to be worn on the respective 
basic qualification badge, the award of the basic badge likewise is 
revoked automatically. An award once revoked will not be reinstated.
    (2) Driver and Mechanic Badge. An award of this badge will be 
revoked only by a commander authorized to award the badge and only for 
any of the following reasons:
    (i) Motor vehicle driver and operator of special mechanical 
equipment. (a) In the event of a moving traffic violation in which life 
or property was endangered, or an accident which involved either 
property damage or personal injury wherein the awardee was at fault.
    (b) If the event of damage to the vehicle for which the awardee is 
responsible due to lack of preventive maintenance.
    (c) In the event of an unsatisfactory rating of the awardee as a 
driver.
    (ii) Motor Mechanic. (a) In the event of failure of awardee to 
perform his assigned duties as a mechanic in an excellent manner.
    (b) In the event of damage to vehicle or shop equipment as a result 
of careless or inefficient performance of duty by the awardee.
    (c) In the event of unsatisfactory shop performance by the awardee.
    (3) Miscellaneous. An award of a distinguished designation badge or 
the Excellence in Competition Badge will be revoked only by the 
Commanding General, United States Continental Army Command, or by The 
Adjutant General and only when an award has been made through error or 
as the result of fraud.
    (e) Distinguished designation badges--(1) Purpose. A Distinguished 
Rifleman Badge or a Distinguished Pistol Shot Badge is awarded to a 
member of the Army or to a civilian in recognition of a preeminent 
degree of achievement in target practice firing with the standard 
military service rifle or pistol. Winners of distinguished designation 
badges will not part with them without authority of the Secretary of the 
Army and will hold them subject to inspection at any time.
    (2) Types of badges. Each badge consists of a bar and pendant. There 
are two designs of bars: One with inscription ``US Army'' for award to 
Army members; and the other with inscription ``US,'' for award to 
civilians.
    (3) Eligibility requirements. (i) A member of the Army will be 
designated as a Distinguished Rifleman or Distinguished Pistol Shot when 
he has earned three credits toward the distinguished designation, 
provided that at least one credit was earned by having been awarded the 
Excellence in Competition Badge for achievement in the National matches 
or in the All-Army Championships.
    (ii) A civilian will be designated by the Army as a Distinguished 
Rifleman or Distinguished Pistol Shot when for the third time he has 
qualified for award of the Excellence in Competition Badge, provided 
that at least one of these awards was won in the National matches or for 
having placed among the upper 50 percent of individuals determined to be 
entitled to such awards in either a major command competition or 
National Rifle Association Regional Championship match. Badges awarded 
prior to 1948 will be considered toward achievement of the distinguished 
designation under the rules of the match in which won. A credit granted 
by the National Board for the Promotion of Rifle Practice under rules in 
effect for matches prior to 1948 will be considered toward the award of 
this badge the same as though an Excellence in Competition had been 
awarded.
    (iii) The year in which a person first became eligible for 
designation by the Army as a Distinguished Rifleman or Distinguished 
Pistol Shot is the year in which he is regarded as having attained the 
distinguished designation and for which he will be so designated.
    (iv) In computing credits toward distinguished designation only one 
credit per calendar year in any one individual or team match will be 
allowed.
    (4) Who may award--(i) To Army personnel. Commanding General, United 
States Continental Army Command Copies of letters of authorization will 
be forwarded to The Adjutant General ATTN: AGPF, for record purposes.
    (ii) To all others. The Adjutant General.

[[Page 447]]

    (5) Engraving. The name of the recipient and the year of attainment 
will be engraved on the reverse of the metal pendant.
    (f) Excellence in Competition Badge--(1) Purpose. Excellence in 
Competition Badges are awarded to individuals in recognition of an 
eminent degree of achievement in target practice firing with the 
standard military service rifle or pistol.
    (2) Types of badges. Types of badges and criteria for award are 
under revision. When finalized, they will be published in a change to 
this section.
    (3) Eligibility requirements. The number of badges which will be 
awarded in recognition of achievement in the National Matches, the All-
Army Championships, Major Command Competitions, or in National Rifle 
Association Regional Championships will depend primarily upon the number 
of ``nondistinguished'' participants in the match. In all competitions 
except those included in the National Matches the badge will be awarded 
only for excellence in individual competition. In the National Matches 
the badge may be awarded for achievement in both individual and team 
competition. The conditions governing eligibility for award of the badge 
in the National Matches are prescribed by the National Board for the 
Promotion of Rifle Practice in joint regulations entitled ``Rules and 
Regulations for National Matches''. Comparable badges will be awarded to 
civilians by the Director of Civilian Marksmanship in accordance with 
regulations prescribed by the National Board for the Promotion of Rifle 
Practice. A badge for excellence in competition in a match conducted 
subsequent to 1947 will be awarded only to a person whose score in 
authorized competition constitutes a credit toward a distinguished 
designation badge. The determination as to whether a badge for 
excellence in competition which has been awarded for achievement in a 
match conducted prior to 1948 may be considered toward the award of a 
distinguished designation badge will be in accordance with Army 
Regulations in effect at the time such match was conducted.
    (4) Limit on award. (i) In no case will an individual be awarded 
more than one badge of each type. Credits will be given in lieu of 
additional awards of the same badge.
    (ii) Individuals who have either qualified for or attained the 
distinguished designation are ineligible for further awards of this 
badge. Any such individual who fraudulently accepts an additional award 
of the Excellence in Competition Badge when he is aware of his 
eligibility for distinguished designation, or has been designated as a 
Distinguished Rifleman or Distinguished Pistol Shot will be subject to 
revocation of the award.
    (5) Who may award--(i) To Army personnel in active service. 
Commanding General, United States Continental Army Command. Copies of 
letters of authorization will be forwarded to The Adjutant General, 
ATTN: AGPF, for record purposes.
    (ii) To all others. The Adjutant General, upon recommendation of the 
Commanding General, United States Continental Army Command, or the 
National Board for the Promotion of Rifle Practice, as appropriate.
    (g) President's Hundred Tab. A President's Hundred Tab is awarded to 
each person who qualified among the top 100 successful contestants in 
the President's Match held annually at the National Rifle Matches.



PART 581--PERSONNEL REVIEW BOARD--Table of Contents




Sec.
581.1  Army Disability Review Board.
581.2  Army Discharge Review Board.
581.3  Army Board for Correction of Military Records.

    Authority: 10 U.S.C. 1552, 1553, 1554, 3012; 38 U.S.C. 3103a.



Sec. 581.1  Army Disability Review Board.

    (a) General provisions--(1) Constitution, purpose, and jurisdiction 
of review board. (i) The Army Disability Review Board (called the review 
board in this section) is an administrative agency created within the 
Department of the Army under authority of section 302, title I, Act of 
June 22, 1944 (58 Stat. 284), as amended by section 4, Act of December 
28, 1945 (59 Stat. 623), to review, at the request of any officer 
retired or released from active service,

[[Page 448]]

without pay, for physical disability pursuant to the decision of a 
retiring board or disposition board, the findings and decisions of such 
board. The review board is charged with the duty, in cases within its 
jurisdiction, of ascertaining whether an applicant for review who was 
separated from the service or released to inactive service, without pay, 
for physical disability, incurred such physical disability in line of 
duty or as an incident of the service. When the review board determines 
in an individual case within its jurisdiction that physical disability 
was so incurred, it is authorized in the manner prescribed by this 
memorandum, to reverse prior findings in such regard and to make such 
findings in lieu thereof as are warranted by the evidence or pertinent 
regulations. Such remedial action is intended primarily to insure that 
no officer separated from the service or returned to an inactive status 
without pay, for disability, shall be deprived unjustly of retirement 
pay benefits, or retired status and retired pay, as the case may be, by 
reason of erroneous findings.
    (ii) The class of officers whose cases are reviewable shall include 
officers of the Army of the United States, other than officers of the 
Regular Army, who were discharged or released to inactive service under 
the conditions prescribed in paragraph (a)(1)(i) of this section; and 
former officers of the Regular Army who were wholly retired under 
section 1252, Revised Statutes.
    (iii) The review board is authorized, upon timely application 
therefor, to review the proceedings and findings of boards referred to 
in paragraph (a)(1)(i) of this section; and to receive additional 
evidence bearing on the causes and service-connection of disabilities in 
the cases of officers referred to in paragraph (a)(1)(ii) of this 
section, whose cases were the subject of findings by a retiring or 
disposition board, and who were separated from the service or released 
to inactive service, without pay, by reason of physical disability, 
whether denial of retirement or retirement pay benefits, as the case may 
be, was pursuant to the adverse findings of a board, or was pursuant to 
administrative action in a case where there was favorable action by a 
board.
    (iv) In carrying out its duties under this memorandum such review 
board shall have the same powers as exercised by, or vested in, the 
board whose findings and decisions are being reviewed.
    (2) Application for review. (i) Any officer desiring a review of his 
case will make a written application therefor on WD AGO Form 0258 
(Application for Review of Army Retiring Board Proceedings) which may be 
obtained from The Adjutant General, Washington, DC 20310, Attention: 
AGPO-S-D.
    (ii) No application for review will be granted unless received by 
the Department of the Army within 15 years after the date on which such 
officer was separated from the service or released to inactive service, 
without pay, for physical disability, or within 15 years after June 22, 
1944, whichever date is the later.
    (iii) The Adjutant General, upon receipt of an application for 
review, will note thereon the time of receipt thereof and will, in cases 
where the jurisdiction for review by the review board is established, 
assemble the originals or certified copies of all available Department 
of the Army and/or other record pertaining to the health and physical 
condition of the applicant, including the record of the proceedings and 
findings of all retiring and disposition boards in question and the 
records of all administration and/or executive action taken thereon. 
Such records, together with the application and any supporting documents 
submitted therewith, will be transmitted to the president of the review 
board.
    (3) Changes in procedure of review board. The review board may 
initiate recommendation for such changes in procedures as established 
herein as may be deemed necessary for the proper functioning of the 
review board. Such changes will be subject to the approval of the 
Secretary of the Army.
    (b) Proceedings of review board--(1) Convening of review board. (i) 
The review board will be convened at the call of its president and will 
recess or adjourn at his order. In the event of the absence or 
incapacity of the president, the next senior member will serve as acting 
president for all purposes.

[[Page 449]]

    (ii) Unless otherwise directed by its president, the review board 
will convene in Washington, DC, at the time and place indicated by him.
    (iii) The review board will assemble in open session for the 
consideration and determination of cases presented to it. After the 
conclusion of such hearing, the review board will as soon as practicable 
thereafter convene in closed session for determination.
    (2) Hearings. (i) An applicant for review, upon request, is entitled 
by law to appear before the review board in open session either in 
person or by counsel of his own selection. Witnesses shall be permitted 
to present testimony either in person or by affidavit. As used in the 
regulations in this part the term ``counsel'' shall be construed to 
include members of the Federal bar, the bar of any state, accredited 
representatives of veterans' organizations recognized by the Veterans' 
Administration under section 200 of the Act of June 29, 1936 (49 Stat. 
2031), and such other persons who, in the opinion of the review board, 
are considered to be competent to present equitably and comprehensively 
the claim of the applicant for review. In no case will the expenses or 
compensation of counsel for the applicant be paid by the Government.
    (ii) In every case in which a hearing is authorized, the secretary 
will transmit to the applicant and to designated counsel for the 
applicant, if any, a written notice by registered mail stating the time 
and place of hearing. Such notice shall be mailed at least 30 days in 
advance of the date on which the case is set for hearing except in cases 
in which the applicant waives the right of personal appearance and/or 
representation by counsel. Such notice shall constitute compliance with 
the requirement of notice to applicant and his counsel. The record shall 
contain the certificate of the secretary that written notice was given 
applicant and his counsel, if any, and the time and manner thereof.
    (iii) An applicant who requests a hearing and who, after being duly 
notified of the time and place of hearing, fails to appear at the 
appointed time, either in person or by counsel, or, in writing, waives 
his right to appear, thereby waives such right.
    (iv) In the conduct of its inquiries, the review board shall not be 
limited by the restrictions of common law rules of evidence.
    (v) In the case wherein it is advisable and practicable, the review 
board may, at the request of the examiner, or upon its own motion, 
request The Surgeon General to detail one or more medical officers to 
make physical examination of the applicant, if available, and report 
their findings resulting from such examination with respect to the 
matters at issue, either in person or by affidavit. When testifying in 
person at a hearing, such medical witnesses will be subject to cross-
examination. Similarly the medical members of the board may examine the 
applicant, if available, and testify as witnesses concerning the results 
of such examination.
    (vi) Expenses incurred by the applicant, his witnesses, or in the 
procurement of their testimony, whether in person, by affidavit or by 
deposition will not be paid by the Government.
    (3) Continuances. The review board may continue a hearing on its own 
motion. A request for continuance by the examiner or by or on behalf of 
the applicant may be granted, if in the board's discretion, a 
continuance appears necessary to insure a full and fair hearing.
    (c) Findings, conclusions, and directions--(1) Findings, 
conclusions, and directions of review board. (i) The review board will 
make written findings in closed session in each case. Such findings will 
include:
    (a) Statement of complete findings of the retiring or disposition 
board and of administrative action subsequent thereto in the proceedings 
under review;
    (b) A finding affirming or reversing the findings of such retiring 
or disposition board or such administrative action, specifying which of 
the findings or administrative actions are affirmed and which are 
reversed.
    (ii) In the event the review board reverses any of such original 
findings or administrative actions, the review board will then make 
complete findings which shall include the affirmed

[[Page 450]]

findings of the original board or of administrative action subsequent 
thereto. Such complete findings shall include the following:
    (a) Whether the applicant was permanently incapacitated for active 
service at the time of his separation from the service or release to 
inactive service.
    (b) The cause or causes of the incapacity.
    (c) The approximate date of origin of each incapacitating defect.
    (d) The date officer became incapacitated for active service.
    (e) Whether the cause or causes of the incapacity was or was not an 
incident of service.
    (f) Whether the cause or causes of the incapacity had been 
permanently aggravated by military service.
    (g) Whether such incapacity for active service was or was not the 
result of an incident of service.
    (h) Whether the officer's incapacity was or was not incurred in 
combat with an enemy of the United States or whether it did or did not 
result from an explosion of an instrumentality of war in line of duty.
    (iii) In the event the review board finds the officer permanently 
incapacitated for active service and that the incapacity was an incident 
of service, it will make an additional finding specifying the grade in 
which the officer is entitled to be retired or to be certified for 
retirement pay benefits.
    (iv) The findings, conclusions, and directions of a majority of the 
review board shall constitute the findings, conclusions, and directions 
of the review board, and when made, will be signed by each member of the 
review board who concurs therein, filed, and authenticated by the 
secretary.
    (d) Disposition of and action upon proceedings--(1) Record of 
proceedings. (i) When the review board has concluded its proceedings in 
any case, the secretary will prepare a complete record thereof. Such 
record shall include the application for review; a transcript of the 
hearing if any; affidavits, papers and documents considered by the 
review board; all briefs and written arguments filed in the case; the 
report of the examiner; the findings, conclusions, and directions of the 
review board; any minority report prepared by dissenting members of the 
review board; and all other papers and documents necessary to reflect a 
true and complete history of the proceedings. The record so prepared 
will be signed by the president of the review board and authenticated by 
its secretary as being true and complete. In the event of the absence or 
incapacity of the secretary, the record may be authenticated by a second 
participating member of the review board.
    (ii) All records of proceedings of the review board shall be 
confidential, except that upon written request from the applicant, his 
guardian or legal representative, The Adjutant General will furnish a 
copy of the proceedings of the review board, less any exhibits which it 
may be found impracticable to reproduce out which will include:
    (a) A copy of the order appointing the board.
    (b) The findings of the Army retiring board affirmed.
    (c) The findings of the Army retiring board reversed.
    (d) The findings of the review board.
    (e) The conclusions which were made by the review board.
    (f) The directions of the Secretary of the Army.

If it should appear that furnishing such information would prove 
injurious to the physical or mental health of the applicant, such 
information will be furnished only to the guardian or legal 
representative of the applicant. The Adjutant General, subject to the 
foregoing restrictions, will make available for inspection, upon request 
of the applicant, his guardian or legal representative, a record of the 
proceedings of any case reviewed by the review board, but copies of the 
proceedings of any case heard prior to January 4, 1946, will not be 
furnished if such copies are not readily available.
    (2) Final action by review board. When the review board has 
completed the proceedings and has arrived at its decision, the 
proceedings, together with the review board's decision, will be 
transmitted to The Adjutant General for appropriate Department of the 
Army action. The Adjutant General, in the name of the President of the 
United States, will indicate on the record of such proceedings and 
decision

[[Page 451]]

the President's approval or disapproval of the action of the review 
board, and will perform such administerial acts as may be necessary and 
thereafter will notify the applicant and/or his counsel of the action 
taken. Written notice, specifying the action taken and the date thereof, 
will be transmitted by The Adjutant General to the president of the 
review board to be filed by the secretary as a part of the records of 
the board pertaining to each case.
    (e) Rehearings--(1) Policy on the granting of rehearings. After the 
review board has reviewed a case and its findings and decision have been 
approved, the case will normally not be reconsidered except on the basis 
of new, pertinent, and material evidence, which if previously considered 
could reasonably be expected to have caused findings and a decision 
other than those rendered as the result of the original review. An 
application for rehearing must be made within a reasonable time after 
the discovery of the new evidence, mentioned in this subparagraph, and 
the request for rehearing must be accompanied by such new evidence and 
by a showing that the applicant was duly diligent in attempting to 
secure all available evidence for presentation to the review board when 
his case was previously reviewed and that the reason for the delay in 
discovering such new evidence was not due to fault or neglect on the 
part of the applicant.
    (2) Application for rehearing. Any officer desiring a rehearing of 
his case will make a written application therefor on WD AGO Form 0413 
(Application for Review of Findings of the Army Disability Review Board) 
which may be obtained from The Adjutant General, Washington, DC 20310, 
Attention: AGPO-S-D.
[13 FR 6805, Nov. 19, 1948, as amended at 19 FR 6706, Oct. 19, 1954]



Sec. 581.2  Army Discharge Review Board.

    (a) Purpose. This regulation implements 10 U.S.C. 1553, Pub. L. 95-
126, and DOD Directive 1332.28 (app. A).
    (b) Explanation of terms--(1) Legal consultant of the Army Discharge 
Review Board (ADRB). An officer of The Judge Advocate General's Corps 
assigned to the ADRB to provide opinions and guidance on legal matters 
relating to ADRB functions.
    (2) Medical consultant of the ADRB. An officer of the Army Medical 
Corps assigned to the ADRB to provide opinions and guidance on medical 
matters relating to ADRB functions.
    (3) Video tape hearing. A hearing conducted by an ADRB hearing 
examiner at which an applicant is given the opportuntiy to present his/
her appeal to the hearing examiner, with the entire presentation, 
including cross-examination by the hearing examiner, recorded on video 
tape. This video tape presentation is later displayed to a full ADRB 
panel. Video tape hearings will be conducted only with the consent of 
the applicant and with the concurrence of the President of the ADRB.
    (c) Composition and responsibilities--(1) Authority. The ADRB is 
established under Pub. L. 95-126 and 10 U.S.C. 1553 and is responsible 
for the implementation of the Discharge Review Board (DRB) procedures 
and standards within DA.
    (2) The ADRB president. The president is designated by the Secretary 
of the Army (SA). The President--
    (i) Is responsible for the operation of the ADRB.
    (ii) Prescribes the operating procedures of the ADRB.
    (iii) Designates officers to sit on panels.
    (iv) Schedules panels to hear discharge review appeals.
    (v) Monitors the DOD directed responsibilities of the SA on service 
discharge review matters for the DOD.
    (3) ADRB panels and members. The ADRB will have one or more panels. 
Each panel, when in deliberation, will consist of five officers. The 
senior officer (or as designated by the president ADRB) will act as the 
presiding officer.
    (4) Secretary Recorder (SR) Branch. The Chief, SR--
    (i) Ensures the efficient overall operation and support of the ADRB 
panels.
    (ii) Authenticates the case report and directives of cases heard.
    (5) Secretary Recorder. The SR is an officer assigned to the SR 
Branch whose duties are to--
    (i) Schedule, coordinate, and arrange for panel hearings at a 
designated site.

[[Page 452]]

    (ii) Administer oaths to applicants and witnesses under Article 136 
UCMJ.
    (iii) Ensure that the proceedings of the cases heard and recorded 
into the case report and directive of cases.
    (6) Administrative Specialist. An Administrative Specialist is an 
enlisted member assigned to the SR Branch whose duties are to--
    (i) Assist the SR in arranging panel hearings.
    (ii) Operate and maintain video and voice recording equipment.
    (iii) Aid the SR in the administrative operations of the panels.
    (7) Administrative personnel. Such administrative personnel as are 
required for the proper functions of the ADRB and its panels will be 
furnished by the SA.
    (d) Special standards. (1) Under the November 27, 1979, order of the 
United States District Court for the District of Columbia in ``Giles v. 
Secretary of the Army'' (Civil Action No. 77-0904), a former Army 
service member is entitled to an honorable discharge if a less than 
honorable discharge was issued to the service member who was discharged 
before 1 January 1975 as a result of an administrative proceeding in 
which the Army introduced evidence developed by or as a direct or 
indirect result of compelled urinalysis testing administered for the 
purpose of identifying drug abusers (either for the purpose of entry 
into a treatment program or to monitor progress through rehabilitation 
or follow up).
    (2) Applicants who believe they fall within the scope of paragraph 
(d)(1) of this section should place the work CATEGORY ``G'' in block 7, 
DD Form 293, (Application for Review of Discharge or Dismissal from the 
Armed Forces of the United States). Such applications will be reviewed 
expeditiously by a designated official who will either send the 
individual an honorable discharge certificate if the individual falls 
within the scope of paragraph (d)(1) of this section or forward the 
application to the ADRB if the individual does not fall within the scope 
of paragraph (d)(1) of this section. The action of the designated 
official will not constitute an action or decision by the ADRB.
[50 FR 33035, Aug. 16, 1985]



Sec. 581.3  Army Board for Correction of Military Records.

    (a) Purpose. This section establishes procedures for making 
application, and the consideration of applications, for the corrections 
of military records by the Secretary of the Army acting through the Army 
Board for Correction of Military Records (hereinafter referred to as the 
Board).
    (b) Establishment, functions, and jurisdiction of the Board--(1) 
Establishment and composition. (i) Pursuant to 10 U.S.C. 1552, the Army 
Board for Correction of Military Records is established in the Office of 
the Secretary of the Army.
    (ii) The Board will consist of civilian officers or employees of the 
Department of the Army in such number, not less than three, as may be 
appointed by the Secretary of the Army. Three members present will 
constitute a quorum of the Board. The Secretary of the Army will 
designate one member as the Chairman. In the event of absence or 
incapacity of the Chairman, an Acting Chairman chosen by the Board will 
act as Chairman for all purposes.
    (2) Function. The function of the Board is to consider all 
applications properly before it for the purpose of determining the 
existence of an error or an injustice.
    (3) Jurisdiction. The Board will have jurisdiction to review and 
determine all matters properly brought before it consistent with 
existing law.
    (c) Application for correction--(1) General requirements. (i) The 
application for correction should be submitted on DD Form 149 
(Application for Correction of Military or Naval Record) and should be 
addressed to Army Board for Correction of Military Records, Department 
of the Army, Washington, DC 20310. Forms and explanatory matter may be 
obtained from The Adjutant General, Washington, DC 20310. For those 
applicants in the military service, these forms may be obtained through 
normal AG publications supply channels.
    (ii) Except as provided in paragraph (c)(1)(iii) of this section, 
the application shall be signed by the person requesting corrective 
action with respect to his record and will either be sworn to or will 
contain a provision to the effect that the statements submitted in

[[Page 453]]

the application are made with full knowledge of the penalty provided by 
law for making a false statement or claim (18 U.S.C. 287, 1001).
    (iii) When the record in question is that of a person who is 
incapable of making application himself, or whose whereabouts are 
unknown, or when such person is deceased, for the purpose of bringing 
the matter before the Board the application may be made by a spouse, 
parent, heir, or legal representative. Proof of proper interest shall be 
submitted as may be required by the Board.
    (2) Time limit for filing application. A claimant, his heir, or 
legal representative must file the application for correction of a 
record within 3 years after discovery of the alleged error or injustice. 
Failure to file within the time prescribed may be excused by the Board 
if it finds it would be in the interest of justice to do so. If the 
claimant, his heir, or legal representative files an application more 
than 3 years after he discovers the error or injustice, he must include 
in his application his reasons why the Board should find it is in the 
interest of justice to excuse the failure to file application within the 
time prescribed in this subparagraph.
    (3) Exhaustion of other remedies. No application will be considered 
until the applicant has exhausted all effective administrative remedies 
afforded him by existing law or regulations, and such legal remedies as 
the Board shall determine are practical and appropriately available to 
the applicant.
    (4) Other proceedings not stayed. The application to the Board for 
correction of a record will not operate as a stay of any proceedings 
being taken with respect to the person involved.
    (5) Consideration of application. (i) Each application and the 
available military or naval records pertinent to the corrective action 
requested will be reviewed to determine whether to authorize a hearing, 
recommend that the records be corrected without a hearing, or to deny 
the application without a hearing. The Board will make this 
determination in all cases except those in which the application has 
been denied administratively for reason that the applicant has not 
exhausted all other effective administrative remedies available to him, 
or for the reason the applicant did not file the application within 3 
years after he discovered the alleged error or injustice and did not 
submit any reason why the Board should find it to be in the interest of 
justice to excuse the failure to file the application within the 
prescribed 3 years.
    (ii) The Board may deny an application if it determines that 
insufficient relevant evidence has been presented to demonstrate the 
existence of probable material error or injustice. The Board will not 
deny an application on the sole ground that the record was made by or at 
the direction of the President or the Secretary in connection with 
proceedings other than proceedings of a Board for the correction of 
military or naval records. Denial of an application on the grounds of 
insufficient relevant evidence to demonstrate the existence of probable 
material error or injustice is without prejudice to further 
consideration in the event new relevant evidence is submitted. The 
applicant will be informed of his privilege to submit newly discovered 
relevant evidence for consideration.
    (iii) All requests for further consideration may be initially 
screened by the staff of the Board to determine whether any evidence or 
other matter (including, but not limited to, any factual allegations or 
any arguments why the relief should be granted) has been submitted by 
the applicant that was not in the record at the time of any prior Board 
consideration. If such evidence or other matter has been submitted, the 
request will be forwarded to the Board for a determination in accordance 
with this paragraph. If no such evidence or other matter has been 
submitted, the applicant will be informed that his/her request was not 
considered by the Board because it did not contain any evidence or other 
matter that was not in the record at the time of any previous Board 
consideration.
    (iv) When an original application or a request for further 
consideration of a previously denied application is denied without a 
hearing, the Board's determination shall be made in writing and include 
a brief statement of the grounds for denial.

[[Page 454]]

    (v) The brief statement of the grounds for denial shall include the 
reasons for the determination that relief should not be granted, 
including the applicant's claims of constitutional, statutory and/or 
regulatory violations rejected, together with all essential facts upon 
which the denial is based, including, if applicable, factors required by 
regulation to be considered for determination of the character of and 
reasons for a discharge. Attached to the statement shall be any advisory 
staff opinions considered by the Board not fully set forth in the 
statement and any minority opinions. Counsel and applicant will be 
informed that the name and final vote of Board members will be furnished 
or made available upon request.
    (vi) The brief statement of the grounds for denial, together with 
all attachments, shall be furnished promptly to applicant and counsel. 
Classified or privileged material contained in or attached to the 
statement of grounds for denial may be deleted only if a written 
statement of the basis for the deletion is provided the applicant and 
counsel.
    (d) Entitlement to hearing--(1) General. In each case in which the 
Board determines that a hearing is warranted, the applicant will be 
entitled to appear before the Board either in person or by counsel of 
his own selection or in person with counsel.
    (2) Notice. (i) In each case in which a hearing is authorized, the 
Board will transmit to the applicant and counsel, if any, a written 
notice stating the time and place of hearing. The notice will be mailed 
to the applicant and counsel, if any, at least 30 days prior to the date 
of hearing, except that an earlier date may be set where the applicant 
waives his right to such notice in writing.
    (ii) Upon receipt of notice of hearing, the applicant will notify 
the Board in writing at least 15 days prior to the date set for hearing 
as to whether he will be present at the hearing and will indicate to the 
Board the name of counsel, if represented by counsel, and the names of 
such witnesses as he may intend to call in his behalf. Cases in which 
the applicant notifies the Board that he does not desire to be present 
at the hearing, will be considered in accordance with paragraph 
(e)(2)(ii) of this section.
    (3) Counsel. As used in this section, the term ``counsel'' will be 
construed to include members in good standing of the Federal bar or the 
bar of any State, accredited representatives of veterans' organizations 
recognized by the Administrator of Veterans' Affairs under section 3402 
of title 38, United States Code, and such other persons who, in the 
opinion of the Board, are considered to be competent to present 
equitably and comprehensively the request of the applicant for 
correction, unless barred by law.
    (4) Witnesses. The applicant will be permitted to present witnesses 
in his behalf at hearings before the Board. It will be the 
responsibility of the applicant to notify his witnesses and to arrange 
for their appearance at the time and place set for hearing.
    (5) Access to records. (i) The applicant will be assured access to 
all official records that are necessary to an adequate presentation of 
his case consistent with regulations governing privileged or classified 
material. It is the responsibility of the applicant to procure such 
evidence not contained in the official records of the Department of the 
Army as he desires to present in support of his case.
    (ii) The Board shall not release classified material to the 
applicant or to his counsel or personal representative. In such cases 
the Board shall take steps in accordance with established regulations to 
obtain a review of the material to determine whether declassification is 
possible so that the evidence can be released to the applicant; or if 
declassification is not possible, prepare or cause to be prepared a 
summary of the content of such material in sufficient detail, consistent 
with the interests of national security, to enable the applicant to 
prepare a response.
    (iii) This section does not authorize the furnishing of copies of 
official records by the Board. Requests for copies of official records 
should be processed in accordance with AR 345-20.
    (e) Hearing--(1) Convening of Board. The Board will be convened at 
the call

[[Page 455]]

of the Chairman and will recess or adjourn at his order.
    (2) Conduct of hearing. (i) The hearing will be conducted by the 
Chairman, and will be subject to his rulings so as to insure a full and 
fair hearing. The Board will not be limited by legal rules of evidence 
but will maintain reasonable bounds of competency, relevancy, and 
materiality.
    (ii) If the applicant, after being duly notified, has indicated to 
the Board that he does not desire to be present or to be represented by 
counsel at the hearing, the Board will consider the case on the basis of 
all the material before it, including, but not limited to, the 
application for correction filed by the applicant, any documentary 
evidence filed in support of such application, any brief submitted by or 
in behalf of the applicant, and all available pertinent records.
    (iii) If the applicant, after being duly notified has indicated to 
the Board that he will be present or be represented by counsel at the 
hearing, and without good cause and timely notice to the Board, he or 
his representative fails to appear at the time and place set for the 
hearing, the Board may consider the case in accordance with paragraph 
(e)(2)(ii) of this section, or will make such other disposition of the 
case as is indicated under the circumstances.
    (iv) All testimony before the Board will be given under oath or 
affirmation. The proceedings of the Board and the testimony given before 
it will be recorded verbatim.
    (3) Continuance. The Board may continue a hearing on its own motion. 
A request for continuance by or in behalf of the applicant may be 
granted by the Board if a continuance appears necessary to insure a full 
and fair hearing.
    (f) Action on applications--(1) Action by the Board--(i) 
Deliberations, findings, conclusions, and recommendations. (a) Only 
members of the Board and its staff will be present during the 
deliberations of the Board.
    (b) Whenever, during the course of its review of the case, it 
appears to the Board's satisfaction that the facts have not been fully 
and fairly disclosed by the records or by the testimony and other 
evidence before the Board, the Board may require the applicant to 
obtain, or the Board may obtain, such further information as it may 
consider essential to a complete and impartial determination of the 
facts and issues.
    (c) Following a hearing, the Board will make written findings, 
conclusions, and recommendations. The name and final vote of each Board 
member will be recorded. A majority vote of the members present on any 
matter before the Board will constitute the action of the Board and will 
be so recorded.
    (d) Where the Board deems it necessary to submit comments or 
recommendations to the Secretary of the Army as to matters arising from 
but not directly related to, the issues of any case, such comments or 
recommendations will be the subject of separate communication.
    (ii) Minority report. In case of a disagreement between members of 
the Board a minority report may be submitted, either as to the findings, 
conclusions, or the recommendations or to all, including the reasons 
therefor.
    (iii) Record of proceedings. When the Board has completed its 
proceedings, a record thereof will be prepared. Such record will 
indicate whether or not a quorum was present at the hearing and at the 
Board's deliberations. The record will include the application for 
relief, a transcript of any testimony, affidavits, papers, and documents 
considered by the Board, briefs and written arguments filed in the case, 
the findings, conclusions and recommendations of the Board, and all 
other papers, documents, and reports necessary to reflect a true and 
complete history of the proceedings. The record so prepared will be 
certified by the Chairman or his designee as being true and complete.
    (iv) Withdrawal. The Board may permit an applicant to withdraw his 
application without prejudice at any time before its proceedings are 
forwarded to the Secretary of the Army.
    (2) Action by Secretary of Army. The record of proceedings of the 
Board, except in cases finalized by the Board under authority delegated 
in paragraph (f)(1)(v) of this section or those denied the Board without 
a hearing, will be forwarded to the Secretary of the Army who will 
direct such action in

[[Page 456]]

each case as he determines to be appropriate, which may include the 
return of the record to the Board for further consideration when deemed 
necessary. If the Secretary's decision is to deny relief, such decision 
shall be in writing and, unless he expressly adopts in whole or in part 
the findings, conclusions and recommendation of the Board, shall include 
a brief statement of the grounds for denial. See paragraph (c)(5)(v) of 
this section.
    (3) Staff action. (i) Upon final action by the Secretary of the Army 
the complete record in each case will be returned to the Board. The 
Board will transmit the decision of the Secretary of the Army to The 
Adjutant General for appropriate action.
    (ii) Upon receipt of the record of proceedings after final action by 
the Secretary of the Army, or by the Board acting under the authority 
contained in paragraph (f)(1)(v) of this section, the Board will 
communicate the decision to the applicant and counsel.
    (a) If the recommendation of the Board was to deny relief or if the 
final decision of the Secretary or the Board was to deny relief, the 
following material will be made available to the applicant and counsel:
    (1) A statement of the findings, conclusions and recommendations 
made by the Board;
    (2) Any advisory staff opinions considered by the Board or the 
reviewing authority;
    (3) The name and final vote of each Board member;
    (4) Any minority reports; and
    (5) Any material prepared by the Secretary of the Army as required 
in paragraph (f)(2) of this section. To the extent that any of the above 
material consists of classified or otherwise privileged matters, 
deletions may be made only if a written statement of the basis therefore 
is provided the applicant and counsel.
    (b) If the final decision was other than to deny relief, the 
applicant and counsel are entitled, upon request, to receive a copy of 
the Board's findings, conclusions and recommendations.
    (iii) When all necessary administrative action has been completed 
the applicant will be informed of such action by The Adjutant General.
    (iv) Written notice specifying the action taken and the date thereof 
will be transmitted to the Chairman of the Board.
    (v) The record of the decision of the Secretary of the Army will not 
be filed in the military records of the subject of the application where 
the effect of such action would be to nullify the relief granted.
    (vi) After action by the Secretary of the Army on the record, the 
applicant or his counsel is entitled, upon request, to inspect the 
record of proceedings and to receive a copy of the Board's findings, 
conclusions, and recommendations, unless the Chairman considers that 
granting the request would be detrimental to the public interest.
    (4) Reconsideration. After final adjudication, further consideration 
will be granted only upon presentation by the applicant of newly 
discovered relevant evidence not previously considered by the Board and 
then only upon recommendation of the Board and approval by the Secretary 
of the Army.
    (g) Settlement of claims--(1) Authority. (i) The Department of the 
Army is authorized to pay claims in accordance with section 1552, title 
10, United States Code.
    (ii) The Department of the Army is not authorized to pay any claim 
theretofore compensated by Congress through enactment of a private law, 
or to pay any amount as compensation for any benefit to which the 
claimant might subsequently become entitled under the laws and 
regulations administered by the Administrator of Veterans Affairs.
    (2) Application for settlement. (i) Settlement and payment of claims 
will be made only upon a claim of the person whose record has been 
corrected or of his legal representative, his heirs at law or his 
beneficiaries. Such claim for settlement and payment may be filed as a 
separate part of the application for correction of the record.
    (ii) In case the person whose record has been corrected is deceased, 
and where no demand is presented by a duly appointed legal 
representative of the estate, payments otherwise due shall be made to 
the surviving spouse,

[[Page 457]]

heir, or beneficiaries, in the order prescribed by the law applicable to 
that kind of payment; or if there is no such law covering order of 
payment, in the order set forth in section 2771 of title 10, United 
States Code; or as otherwise prescribed by the law applicable to that 
kind of payment.
    (iii) Upon request, the applicant or applicants will be required to 
furnish requisite information to determine their status as proper 
parties to the claim for purposes of payment under applicable provisions 
of law.
    (3) Settlement. (i) Settlement of claims shall be based on the 
decision of the Secretary of the Army. Computation of the amounts due 
shall be made by the Finance Center, U.S. Army, Indianapolis, Ind. 
46249. In no case will the amount found due exceed the amount which 
would otherwise have been paid or have become due under applicable laws 
had no error or injustice occurred. Earnings received from civilian 
employment during any period for which active duty pay and allowances 
are payable will be deducted from the settlement. To the extent 
authorized by law and regulations, amounts found due may be reduced by 
the amount of any existing indebtedness to the Government, arising from 
military service.
    (ii) Prior to or at the time of payment, the person or persons to 
whom payments are to be made shall be advised by the Finance Center, 
U.S. Army, as to the nature and amount of the various benefits 
represented by the total settlement, and shall be advised further that 
acceptance of such settlement shall constitute a complete release by the 
claimants involved of any claim against the United States on account of 
the correction of the record.
    (4) Report of settlement. In every case where payment is made, the 
amount of such payment and the names of the payee or payees will be 
reported to the Chairman of the Board.
    (h) Miscellaneous--(1) Staff assistance. (i) At the request of the 
Board, The Adjutant General will assemble the original or certified 
copies of all available military records pertinent to the relief 
requested. Such records and all supporting papers will be transmitted to 
the Board.
    (ii) The Board is authorized to call upon the Office of the 
Secretary of the Army and the Department of the Army General and Special 
Staffs for investigative and advisory services and upon any other 
Department of the Army agency for assistance, within the specialized 
jurisdiction of that agency.
    (2) Expenses. No expenses of any nature whatsoever, voluntarily 
incurred by the applicant, his counsel, his witnesses, or by any other 
person in his behalf will be paid by the Government.
    (3) Changes in procedures. The Board may initiate recommendations 
for such changes in procedures as established herein as may be 
considered necessary for the proper functioning of the Board. Such 
changes will be subject to the approval of the Secretary of the Army and 
of the Secretary of Defense.
    (4) Index of Cases. Documents sent to each applicant and counsel in 
accordance with paragraphs (c)(5)(v) and (f)(3) of this section, 
together with the record of the votes of board members and all other 
statements of findings, conclusions and recommendations made on final 
determination of an application by the Board or the Secretary of the 
Army will be indexed and promptly made available for public inspection 
and copying at a reading room within the Washington, DC metropolitan 
area.
    (i) The index prepared shall be in a usable and concise form so as 
to indicate the grounds for which the Board and/or Secretary granted or 
denied relief. This index shall be published quarterly and shall be 
distributed by sale or otherwise. In addition, it shall be available for 
inspection and distribution at the reading room in the Washington, DC 
area.
    (ii) Deletions. To the extent necessary to prevent a clearly 
unwarranted invasion of personal privacy, identifying details of the 
applicant and other persons will be deleted from the documents made 
available for public inspection and copying. Names, addresses, social 
security numbers and military service numbers must be deleted. Deletions 
of other information which may result in a clearly unwarranted invasion 
of personal privacy or which is privileged or classified may be made 
only if a written statement of the

[[Page 458]]

basis for such deletion is made available for public inspection.
    (5) Special Standards. (i) Pursuant to the November 27, 1979 order 
of the United States District Court for the District of Columbia in 
Giles v. Secretary of the Army (Civil Action No. 77-0904), a former Army 
servicemember is entitled to an honorable discharge if a less than 
honorable discharge was issued to the servicemember in an administrative 
proceeding in which the Army introduced evidence developed by or as a 
direct or indirect result of compelled urinalysis testing administered 
for the purpose of identifying drug abusers (either for the purposes of 
entry into a treatment program or to monitor progress through 
rehabilitation or follow-up).
    (ii) Applicants who believe that they fall within the scope of 
paragraph (h)(5)(i) of this section, should place the word Category 
``G'' in block (11), DD Form 149, Application for Correction of Military 
or Naval Record. Such applications shall be reviewed expeditiously by a 
designated official who will either send the individual an honorable 
discharge certificate if the individual falls within the scope of 
paragraph (h)(5)(i) of this section, or forward the application to the 
Discharge Review Board if the individual does not fall within the scope 
of paragraph (h)(5)(i) of this section. The action of the designated 
official shall not constitute an action or decision by the Board for the 
Correction of Military Records.
[35 FR 15992, Oct. 10, 1970, as amended at 42 FR 17442, Apr. 1, 1977; 45 
FR 17990, Mar. 20, 1980; 46 FR 33518, June 30, 1981]



PART 583--FORMER PERSONNEL [RESERVED]






PART 584--FAMILY SUPPORT, CHILD CUSTODY, AND PATERNITY--Table of Contents




Sec.
584.1  General.
584.2  Family support and child custody.
584.3  Paternity claims.
584.4  Adoption proceedings.
584.5  U.S. citizenship determinations on children born out of wedlock 
          in a foreign country.
584.6  Procedures governing nonactive duty or discharged personnel.
584.7  Basic allowance for quarters.
584.8  Garnishment.
584.9  Involuntary allotments.


Appendix A to Part 584--Reference

    Authority: 10 U.S.C. 3012.

    Source: 50 FR 52447, Dec. 24, 1985, unless otherwise noted.



Sec. 584.1  General.

    (a) Purpose. This regulation sets forth the Department of the Army 
(DA) policy, responsibilities, and procedures on--
    (1) Support and nonsupport of family members.
    (2) Child custody.
    (3) Paternity claims.
    (4) Adoption proceedings involving the children of soldiers.
    (b) References. Required and related publications and prescribed and 
referenced forms are listed in appendix A.
    (c) Explanation of abbreviations and terms. Abbreviations and 
special terms used in this regulation are explained in the glossary.
    (d) Responsibilities. (1) The Deputy Chief of Staff for Personnel 
will set policy for processing--
    (i) Nonsupport complaints.
    (ii) Child custody complaints.
    (iii) Paternity claims.
    (iv) Requests on adoption proceedings of children of soldiers.
    (2) The Commanding General (CG), U.S. Army Community and Family 
Support Center (USACFSC) will--
    (i) Set procedures for processing the following:
    (A) Nonsupport complaints.
    (B) Child custody complaints.
    (C) Paternity claims.
    (D) Requests regarding adoption proceedings of children of soldiers.
    (ii) Process nonsupport complaints, child custody complaints, and 
paternity claims received at USACFSC regarding Army soldiers.
    (iii) Carry out the objectives of this regulation to protect the 
rights of the soldier, the family, and the interests of the Army.
    (iv) Advise and assist the heads of Headquarters, Department of the 
Army (HQDA) agencies, commanders of the major Army commands, and other

[[Page 459]]

commanders on matters pertaining to--
    (A) Nonsupport.
    (B) Child custody.
    (C) Paternity.
    (D) Adoption proceedings of children of soldiers.
    (3) Officers having general court-martial jurisdiction will give 
special emphasis to the support of family members in command information 
programs. This includes informing soldiers of Army policy and of their 
responsibility to provide adequate support for all family members and to 
comply with all court orders.
    (4) First level field grade commanders will monitor all instances of 
soldiers' repeated failure to meet the requirements of this regulation 
that are brought to their attention. They will take action, when proper.
    (5) Immediate commanders will--
    (i) Ensure that soldiers are informed of the DA policy on support of 
family members and that they comply with court orders. They will also 
inform soldiers of the possible consequences of failing to fulfill 
financial obligations. This information will be included during 
inprocessing and outprocessing briefings, particularly during processing 
for mobilization and oversea movement.
    (ii) Process nonsupport complaints, child custody complaints, and 
paternity claims per this regulation.
    (iii) Counsel soldiers when complaints and claim are received. If 
the soldier is suspected of criminal conduct, self-incrimination 
protections (article 31, Uniform Code of Military Justice (UCMJ) and 
rights advisement) must be provided. (See Sec. 584.2(g)(4).)
    (iv) Answer all correspondence received from CG, USACFSC and other 
DA officials. In answering this correspondence, the commander will--
    (A) Furnish complete details regarding nonsupport complaints, child 
custody complaints, and paternity claims.
    (B) Reveal whether or not the soldier authorized the release outside 
the Department of Defense (DOD) of information obtained from a system of 
records. His or her decision should be recorded on DA Form 5459-R 
(Authorization to Release Information from Army Records on Nonsupport/
Child Custody/Paternity Complaints).
    (v) Answer all correspondence received directly from family members, 
legal assistance attorneys, and others. Normally, replies will not 
include information obtained from a system of records without the 
soldier's written consent. (See Sec. 584.1(f).) Commanders may 
coordinate responses with the Staff Judge Advocate (SJA). Also, the 
commander will ask the SJA for guidance in unusual or difficult 
situations.
    (vi) Inform the first level field grade commander of all instances 
of the soldier's repeated failure to meet the requirements of this 
regulation or to comply with court orders. Also, point out actions taken 
or contemplated to correct instances of nonsupport of family members or 
continuing violations of court orders.
    (vii) Refer correspondence or queries received from news media 
organizations to the unit, installation, or command public affairs 
officer for response.
    (viii) Take appropriate action against soldiers who fail to comply 
with this regulation. These actions include, but are not limited to, the 
actions in Sec. 584.1(d)(5)(viii) (A) through (E). Failure to comply 
with the minimum support requirements (Sec. 584.2(d)) or the child 
custody provisions (Sec. 584.2(e)) of this regulation may be charged as 
violations of article 92, UCMJ. Article 132, UCMJ, prohibits the making 
of false claims. Article 133, UCMJ, covers conduct unbecoming an 
officer. Article 134, UCMJ, concerns dishonorable failure to pay debts 
and conduct of a nature to bring discredit upon the Armed Forces. Also, 
the criminal laws of some States prohibit the abduction of children by a 
parent or the nonsupport of family members in violation of existing 
court orders. These laws may also apply against soldiers under article 
134, UCMJ, and Assimilative Crimes Act, section 13, title 18, United 
States Code (18 U.S.C. 13).
    (A) Denial of reenlistment for enlisted members (AR 601-280).
    (B) Letter of reprimand for filing in a soldier's Military Personnel 
Records Jacket or Official Military Personnel File (AR 600-37).

[[Page 460]]

    (C) Administrative separation from the service (AR 635-100 or AR 
635-200).
    (D) Nonjudicial punishment under article 15, UCMJ.
    (E) Court-martial.
    (ix) Urge soldiers to provide additional financial support beyond 
the required minimum whether the needs of the family so require.
    (x) After coordination with the SJA and appropriate command 
representatives, and under applicable State, Federal, and host country 
laws, take remedial steps to assist in the following:
    (A) Elimination of continuing violations of court orders and this 
regulation on child custody.
    (B) Return of such children to the parent or guardian entitled to 
custody.
    (6) The unit, installation, or command public affairs officer will--
    (i) Answer correspondence and queries received from news media 
organizations.
    (ii) Coordinate with the SJA before making any response.
    (e) Policy. (1) Soldiers of the Army are required to manage their 
personal affairs statisfactorily. This responsibility includes--
    (i) Providing adequate and continuous support to or for family 
members. (See Sec. 584.2.)
    (ii) Complying with all court orders.
    (2) The Army has an interest in the welfare of both soldiers and 
their families. This is recognized by numerous laws and programs 
authorizing the following:
    (i) Family housing.
    (ii) Living and travel allowances.
    (iii) Medical care.
    (iv) Child care and development.
    (v) Community support services.
    (3) Because of military duty, soldiers and their families often live 
in States in which they have not established domicile. Frequently, they 
reside in foreign nations. This often places soldiers beyond the 
judicial process of State courts.
    (4) The Army recognizes the transient nature of military duty. This 
regulation prohibits the use of a soldier's military status or 
assignment to deny financial support to family members or to evade court 
orders on child support or custody. Commanders have a responsibility to 
ensure that soldiers provide for the welfare of their families. Before 
recommending approval of requests for, or extensions of, oversea 
assignments, commanders should consider whether the soldier's oversea 
assignment will adversely affect the legal rights of family members in 
pending court actions against the soldier.
    (5) The policy in this regulation regarding the financial support of 
family members is solely intended as an interim measure until the 
parties--
    (i) Arrive at a mutually satisfactory agreement, or
    (ii) Resolve their differences in court.
    (6) Soldiers are entitled to the same legal rights and privileges in 
State courts as civilians. This includes determining the extent and 
amount of their support obligations to family members. This regulation 
is not intended to be used as a guide by courts in determining the 
following:
    (i) The existence of support obligations.
    (ii) The amount of past, present, or future support obligations.
    (f) Release of information. (1) Soldiers will be provided the 
opportunity of completing DA Form 5459-R before being questioned about 
compliants or claims under this regulation. Information voluntarily 
provided by soldiers may be used by commanders to answer inquiries. 
Replies normally will not include information obtained from a system of 
records without the soldier's written consent.
    (2) Some information may be released outside DOD from a system of 
records even without the soldier's written consent. Under the Privacy 
Act (5 U.S.C. 552a(b)(2) and AR 340-21, para 3-3), information may be 
released, if required, under the Freedom of Information Act. Under 5 
U.S.C. 552(b)(6) and AR 340-17, chapter III, information from personnel 
and other similar files may be released if it does not constitute a 
``clearly unwarranted invasion of privacy.'' The information released 
must be in the public interest.
    (3) The type of information that may be released from a system of 
records without the soldier's consent will vary from case to case. In 
each case, the

[[Page 461]]

public interest of having soldiers support their families and obey court 
orders must be balanced against the sensitivity of the privacy interests 
involved. Army policy favors permanent resolution of support and custody 
matters in court. The denial of information that hinders such resolution 
is not in the public interest.
    (4) Before releasing information from a system of records without 
the soldier's consent, commanders may consult the SJA. Generally, the 
types of information shown below may be released to the complaining 
family member entitled to support or those authorized by the family 
member to act in his or her behalf (for example, legal assistance 
attorneys, Member of Congress, courts, Government welfare agencies).
    (i) Present unit of assignment, including port calls and future duty 
assignments, permanent or temporary, if known.
    (ii) Scheduled separation and retirement dates from the Service.
    (iii) Rank and authorized pay and allowances for that grade.
    (iv) Allotments authorized or being authorized for or in behalf of 
the family member entitled to support.
    (v) The soldier's stated intentions, if any, regarding resolution of 
the complaint.
    (vi) The general whereabouts of the soldier's children, if known.
    (5) The SJA should be consulted for legal advice before the 
residential address of a soldier or family member is released.
    (6) Any information released should be pertinent to the inquiry. The 
soldier's relationship, if any, to the person making the inquiry, should 
be considered. Consistent with the purpose of this regulation, 
information that unduly invades the privacy of the soldier or his or her 
family should not be released.
    (g) Penalties. Compliance with the minimum support requirements 
Sec. 584.2(d)) and child custody provisions (Sec. 584.2(e)) of this 
regulation will be enforced by administrative and criminal remedies as 
appropriate.
    (h) Basic allowance for quarters. A summary of the rules regarding 
entitlements to basic allowance for quarters (BAQ) is in Sec. 584.7. The 
minimum support requirements of this regulation are stated in amounts 
equal to a soldier's BAQ at the ``with dependents'' rate. However, a 
soldier's entitlement or lack of entitlement to such allowances has no 
relationship to the obligation under this regulation to support family 
members. Except for Sec. 584.2(f)(2)(ii)(B), the actual receipt or 
nonreceipt of BAQ also has no relationship to that obligation.
    (i) Entitlement of variable housing allowance. Soldiers entitled to 
BAQ at the ``with'' or ``without dependents'' rate may be entitled to 
variable housing allowance (VHA). Terms for receiving VHA are set forth 
in the Joint Travel Regulations, M4550 through M4557. Soldiers may use 
VHA to defray housing costs for family members.
    (j) Garnishment. A summary of the rules regarding garnishment of 
Federal wages is in Sec. 584.8.
    (k) Involuntary allotments. A summary of the rules regarding 
involuntary allotments from pay and allowances is in Sec. 584.9.



Sec. 584.2  Family support and child custody.

    (a) General. (1) This chapter requires soldiers to provide financial 
support to family members and to obey court orders on child custody. It 
also provides guidance and policy to commanders to follow when resolving 
nonsupport and child custody issues. Consistent with specific provisions 
below, a soldier will--
    (i) Furnish financial support to family members that meets at least 
the minimum support requirements of this regulation (Sec. 584.2(d)).
    (ii) Provide such additional support within his or her financial 
ability to meet the financial needs of family members (Sec. 584.2(j)).
    (iii) Comply with all court-imposed obligations (Sec. 584.2(c)(3)).
    (iv) Obey court orders and this regulation on child custody and 
visitation rights (Sec. 584.2(e)).
    (2) It is the responsibility of soldiers to resolve nonsupport 
issues with family members by one of the methods shown in 
Sec. 584.2(a)(2)(i) through (iii). In all cases, Army support policy for 
family members should be considered temporary until either an agreement 
has

[[Page 462]]

been reached between the parties (including those acting on behalf of 
minor children) or court action has been taken.
    (i) Oral agreements.
    (ii) Written support agreements.
    (iii) Court orders.
    (3) Each complaint of nonsupport will be considered individually by 
the soldier's immediate commander. Alleged desertion or other marital 
misconduct on the part of a spouse has no effect on a soldier's 
obligation to provide financial support as required by Sec. 584.2(d).
    (b) Separation from family due to military service. Military service 
often requires soldiers to live separately from their families during 
oversea service or extended temporary duty. Soldiers must plan carefully 
for the support of their families during these periods. Commanders will 
educate soldiers and their families on the advantages of joint bank 
accounts. Such arrangements usually minimize the hardship and financial 
burden on family members that may occur during periods of such 
separation. If proper, commanders will urge soliders to start an 
allotment to or for their family to ensure continuous financial support. 
The amount of such a support allotment should be set up by agreement 
between the soldier and his or her family. In the absence of such an 
agreement or a court order, the provisions of Sec. 584.2(d)(2) apply. 
Each soldier is expected to keep reasonable contact with family members 
to minimize inquiries, claims, and compliants sent to Army officials.
    (c) Support by oral agreement, written support agreement, or court 
order--(1) Oral agreement. It is not the Army's policy to involve itself 
in disputes over the terms or enforcement of oral support agreements. 
Where an oral agreement exists and is being followed, the Army need not 
and will not interfere. When a dispute arises, the Army will require 
compliance only with the provisions of this regulation. Thus, if a 
family member complains that a soldier is not sending an agreed upon 
amount that is less or more than the minimum required by Sec. 584.2(d), 
the commander will advise the soldier to either send the agreed upon 
amount or the minimum amount required by Sec. 584.2(d). Section 584.2(d) 
applies when the parties cannot reach an oral agreement or the amount 
agreed upon is in dispute. In appropriate cases, the commander can order 
additional support beyond the minimum amount required by Sec. 584.2(d). 
(See Sec. 584.2(j).)
    (2) Written support agreement. If the parties are separated and have 
a signed written agreement, the amount of support specified in such an 
agreement controls. A signed written agreement includes a separation 
agreement or a property settlement agreement. A written agreement on 
support also may be shown by letters exchanged between the parties in 
which the amount of support has been agreed to by the parties. If the 
agreement is silent on an amount of spousal and/or child support, the 
interim minimum financial support requirements of Sec. 584.2(d)(2) 
apply. The amount specified in the written agreement will be deemed 
adequate until modified by--
    (i) Another agreement reduced to writing and signed by both parties.
    (ii) Court order.
    (3) Court order. (i) Court orders often contain other financial 
obligations, such as provisions for property division, marital property 
awards, and payment of medical and other expenses. Commanders have a 
responsibility to ensure that soldiers comply with these provisions. 
Soldiers will comply with all court-imposed obligations. Failure to do 
so may result in costly and time-consuming litigation or court contempt 
proceedings. These actions often are to the detriment of the soldier and 
the unit's readiness mission. Section 584.2 (d)(1)(i), however, only 
applies to court orders directing the soldier to provide financial 
support to family members on a periodic basis.
    (ii) Court orders under this regulation include those orders issued 
by the courts of the Federal Republic of Germany (FRG). The courts must 
have acquired valid jurisdiction consistent with the provisions of 
articles 32 through 37 of the Supplementary Agreement concerning foreign 
forces stationed in the FRG. This agreement supplements the North 
Atlantic Treaty Organization Status of Forces Agreement. A soldier will 
comply with all

[[Page 463]]

other foreign nation court and administrative orders that are recognized 
by treaty or international agreement.
    (iii) Commanders should be aware that conditions may have changed 
greatly from when a court order was issued. For example, a soldier may 
have gained other family responsibilies. Many outstanding and 
uncontested support orders against soldiers cause severe hardship. Such 
orders can only be modified by a court. If a soldier's income appears 
inadequate to satisfy an outstanding order and still maintain the 
soldier, the commander should urge the individual to consult a legal 
assistance attorney. However, the soldier will comply with the terms of 
a court order until relieved of this obligation by modification of the 
order by a court.
    (d) Minimum support requirements. (1) Soldiers will not violate the 
following:
    (i) Financial support provisions of a court order.
    (ii) Financial support provisions of a written support agreement in 
the absence of a court order.
    (iii) Interim minimum financial support requirements of 
Sec. 584.2(d)(2) in the absence of a court order or written support 
agreement.
    (2) In the absence of a court order or written support agreement, 
and until such an order or agreement is obtained, the following interim 
minimum financial support requirements apply:
    (i) Single family units. (A) Family not living in Government family 
quarters. The soldier will provide support in an amount equal to the 
soldier's BAQ at the with-dependents rate. This amount of financial 
support will be provided for this family unit regardless of whether or 
not the soldier is--
    (1) Receiving BAQ.
    (2) Occupying Government family quarters.
    (B) Family living in Government family quarters. While the supported 
family is occupying Government family quarters, the soldier will provide 
an amount equal to the difference between BAQ at the with- and without-
dependents rate. When the supported family members move out of 
Government family quarters, support will be provided in an amount equal 
to BAQ at the with-dependents rate for the soldier's rank.
    (ii) Multiple-family units. In multi-family unit support situations, 
each supported family member will receive a pro-rata share of the BAQ at 
the with-dependents rate. This share will be determined by dividing an 
amount equal to BAQ at the with-dependents rate for the soldier's rank 
by the total number of supported family members (excluding former 
spouses). The following modifications apply: First, any court ordered 
support will be paid as stated. Secondly, supported families living in 
Government family quarters will receive an amount equal to the 
difference between BAQ at the with- and without-dependents rate for the 
soldier's rank. Lastly, any remaining family members (excluding former 
spouses) will receive a pro-rata share of the BAQ amount. This will be 
provided regardless of the amount of support paid to other family 
members. Following are examples:

     (A) Example 1. A soldier is divorced and has three children from 
that marriage. The soldier is required by a court order to pay $300 per 
month for the children and $100 per month for the former spouse. The 
soldier has remarried and has two more family members (spouse and child) 
living in private housing. The soldier now has a total of five family 
members that he or she must support under Army policy. (A former spouse 
does not qualify as a family member in pro-rata determinations.) The 
children by the previous marriage must receive $300 and the former 
spouse must receive $100 per the court order. The present spouse and 
child should receive support equal to two-fifths of BAQ at the with-
dependents rate for the soldier's rank.
     (B) Example 2. A soldier has one child by a previous marriage. 
There is no court order for child support. The soldier is unable to show 
that the court granting the divorce had personal jurisdiction over the 
soldier so as to be able to order child support. The soldier has 
remarried and has a spouse and two children living in private housing. 
The soldier now has a total of four family members that he or she must 
support under Army policy. (These family members are the child by a 
previous marriage and the present spouse and two children.) Each family 
member should receive support equal to one-fourth of BAQ at the with-
dependents rate for the soldier's rank.
     (C) Example 3. A soldier has two children by a previous marriage. 
The soldier is required by court order to pay $200 per month for these 
children. Also, the soldier is required to pay $75 per month for support 
of a

[[Page 464]]

child per a court order that has declared him to be the father. He has 
remarried and has a spouse and three children living in Government 
family quarters. The soldier now has a total of seven family members 
that he must support under Army policy. The children by his previous 
marriage must receive $200 per the court order. His other child must 
receive $75 per the court order. The spouse and children of his present 
marriage should receive an amount equal to the difference between BAQ at 
the with- and without-dependents rate for the soldier's rank.

    (iii) Military members married to one another. In the absence of a 
court order or written support agreement, an Army soldier is not 
required to provide support to a spouse on active duty in the Armed 
Forces.
    (iv) Children of military member parents.
    (A) Single family units. In the absence of a court order or written 
support agreement, the following interim support requirements apply:
    (1) Single family units when the Army soldier does not have custody 
of any children of the marriage. The Army soldier will pay an amount 
equal to the difference between his or her own BAQ at the with- and 
without-dependents rate to the military member having custody of the 
child or children of the marriage. This amount of financial support will 
be provided regardless of which military member, if any, is receving BAQ 
or occupying Government family quarters.
    (2) Single family units when the Army soldier has custody of the 
child or children of the marriage (for example, Army soldier has custody 
of one child and spouse has custody of two children). In this situation, 
the Army soldier is not required to provide a minimum amount of 
financial support for the children in the other military member's 
custody.
    (B) Multiple-family units. The provisions of Sec. 584.2(d)(2)(ii) 
apply. However, the amount in Sec. 584.2(d)(2)(iv)(A) will not be 
diminished by proration because of the Army soldier's financial support 
obligations to other family members. For example: An Army soldier has an 
adopted child from a previous marriage. The soldier is required by court 
order to pay $150 per month for this child. The soldier presently is 
married to a spouse on active duty with the Air Force. They have two 
children from this marriage. The Air Force member and children reside in 
private housing. The Army soldier has a total of three family members 
that he or she must support. The Army soldier will pay $150 a month to 
the adopted child per the court order. The children from the present 
marriage will receive an amount equal to the difference between his or 
her BAQ at the with- and without-dependents rates for the Army soldier's 
rank.
    (3) A commander has no authority to excuse a soldier from complying 
with the interim minimum support requirements of Sec. 584.2(d)(2) when 
they are applicable.
    (4) In the absence of a contrary provision in a written support 
agreement or court order, monthly financial support to family members 
will be sent before the last calendar day of the month for which the 
support is due. If the family members are not residing together, the 
soldier will ensure each family member receives his or her pro-rata 
share. (For example, spouse lives along and the children live with their 
grandparents.)
    (e) Child custody. (1) A soldier relative, who is aware that another 
person is a lawful custodian of an unmarried child under the age of 14 
years, will not--
    (i) Abduct, taken, entice, or carry away the child from the lawful 
custodian.
    (ii) Withhold, detain, or conceal the child away from the lawful 
custodian.
    (2) A ``lawful custodian'' is a person authorized, either along or 
together with another person or persons, to have custody and exercise 
control over a child less than 14 years of age by order of a court. The 
fact that joint custody has been awarded to both parents by a court does 
not preclude a violation of this paragraph by the soldier parent. 
However, in the absence of a court order to the contrary, the mother of 
a child born out of wedlock who is not then, nor has ever been, married 
to the father of the child is deemed the ``lawful custodian'' of that 
child for the purpose of this regulation.
    (3) A soldier relative is a soldier who is the parent, grandparent, 
brother, sister, uncle, aunt, or one who has at

[[Page 465]]

some time been the lawful custodian of the child.
    (4) It is a defense to a violation of this paragraph that the 
soldier--
    (i) At the time of the offense had custody of the child to the 
exclusion of others pursuant to a valid order of a court having 
jurisdiction over the child; or
    (ii) Voluntarily returned the child to the lawful custodian within 
96 hours after return was demanded by the lawful custodian.
    (f) Relief from the minimum support requirement. (1) Court orders 
with financial support provisions.
    (i) Court ordered financial support will be by the terms of the 
court order. Relief from a court order can only be obtained under the 
law. Nothing in this regulation affects or lessens a soldier's legal 
obligation to comply strictly with the terms of a court order.
    (ii) A soldier who disobeys a court order may be held in contempt of 
the court that issued the order. Also, a soldier may be punished for 
violating this regulation. It is, however, a defense to any violation of 
Sec. 584.2(d)(1)(i) that--
    (A) The court issuing the order was without jurisdiction to do so, 
and
    (B) The soldier at all times has been complying with any of the 
following:
    (1) The financial support provisions of another court order.
    (2) The financial support provisions of a written support agreement.
    (3) The interim minimum financial support requirements of 
Sec. 584.2(d)(2).
    (4) Court orders without financial support provisions.
    (iii) A soldier will provide financial support to family members 
unless expressly relieved of this obligation by--
    (A) Court order.
    (B) Written support agreement.
    (iv) A soldier will provide financial support under Sec. 584.2(f)(2) 
to family members, which meets at least the minimum support requirements 
of this regulation. The financial support will be provided even when a 
court order contains no provision as to support except as follows:
    (A) A soldier has no obligation to provide financial support to a 
former spouse except by order of court.
    (B) A soldier has no obligation to provide financial support to 
minor children of the marriage if he or she can show the following:
    (1) The court issuing the final order of divorce had personal 
jurisdiction over the soldier to order child support.
    (2) The soldier is not receiving BAQ at the ``with dependents'' rate 
based solely on the support of the minor children in question.
    (3) Written support agreements. If a financial support obligation is 
evidenced by a written agreement between the parties, the soldier can 
only be relieved of this obligation by another written agreement or by 
court order.
    (4) Greater spousal income. In the absence of a written support 
agreement or court order, a soldier has no obligation to support a 
civilian spouse who is receiving an annual income equal to or greater 
than the annual gross pay of the soldier. The income of the spouse does 
not affect the soldier's obligation to provide financial support to the 
children of that marriage in the physical custody of the spouse on a 
pro-rata basis. Example: A soldier is living in Government family 
quarters with one of their children. The soldier's spouse deserted the 
soldier and lives in private housing with their other child. The 
soldier's spouse earns $5,000 more in annual income from a civilian job 
than the soldier earns in annual gross pay. There is no court order or 
written support agreement. The soldier has a total of three family 
members. However, under Army support policy, the soldier does not have 
to provide a pro-rata share of financial support to the spouse because 
the spouse's income exceeds that of the soldier. (Note that under 
Sec. 584.2(a)(3) marital misconduct is not a relevant consideration.) 
The soldier must support the child in Government family quarters. In 
addition, the soldier must provide an amount equal to one-third of BAQ 
(pro-rata share) at the ``with dependents'' rate to the spouse on behalf 
of the child living with the spouse.
    (2) [Reserved]
    (g) Commander's inquiries. (1) If a soldier denies he or she has a 
financial obligation to support a spouse or children for any reason, the 
soldier's commander will--
    (i) Inquire into the matter.

[[Page 466]]

    (ii) Consult with the SJA prior to determining whether or not there 
is a support obligation. If there is no support obligation, BAQ at the 
``with dependents'' rate should be stopped.
    (2) If a soldier claims he or she has made support payments as 
required by this regulation, the soldier's commander will--
    (i) Request the soldier to provide proof of payment in one of the 
following forms:
    (A) Canceled personal checks.
    (B) Leave and earnings statements showing allotments.
    (C) Postal or money order receipts accompanied by a sworn statement 
from the soldier that the order was sent to the family member. If 
possible, evidence that the postal or money order was cashed by the 
complaining party should be provided.
    (D) Other acceptable evidence of payment.
    (ii) Consult with the SJA, if necessary, to determine whether the 
soldier has provided enough proof of payment.
    (3) If a soldier is suspected of violating a child custody or 
visitation rights in a court order, the soldier's commander will--
    (i) Inquire into the matter.
    (ii) Consult with the SJA prior to taking action.
    (4) In any case in which the soldier is suspected of violating this 
regulation (Sec. 584.2(d) or (e)), or of having committed other 
offenses, the commander, prior to questioning the soldier, will advise 
him or her of--
    (i) The suspected offense.
    (ii) The right to remain silent under article 31, UCMJ.
    (iii) The right to counsel under the Fifth Amendment.
    (h) Form of support payment. (1) Unless otherwise provided in the 
court order or by agreement, a financial support payment will be made in 
one of the following ways:
    (i) In cash.
    (ii) By check or money order.
    (iii) By allotment.
    (2) A soldier will receive credit for payments made to others on 
behalf of, and with the agreement of, the supported family members. 
Examples of support provided in kind include--
    (i) Rent.
    (ii) Utility services.
    (iii) Interest and principal due on loans, mortgages, or charge 
accounts.
    (iv) Insurance payments.
    (i) Arrearages.
    (1) General. A soldier who falls into arrears without legal 
justification or excuse is in violation of Sec. 584.2(d).
    (2) Court orders and written support agreements.
    (i) Amounts in arrears based on a past failure to comply with a 
court order or written support agreement will be paid at once in a lump 
sum amount. If an immediate lump sum payment is impractical, soldiers 
are expected to work out arrangements with the court or the affected 
family members to pay arrearages on a scheduled basis. If arrangements 
can not be worked out, commanders will intervene and order payment of 
arrearages on a scheduled basis based on the soldier's ability to pay.
    (ii) When arrearages arise from noncompliance with court orders and 
written support agreements, this may result in--
    (A) Garnishment of the soldier's pay account (Sec. 584.8).
    (B) Initiation of an involuntary allotment against the soldier's pay 
account (Sec. 584.9).
    (C) Contempt of court proceedings.
    (D) Recoupment of BAQ received by the soldier.
    (iii) Administrative or punitive action may be taken on a violation 
of this regulation for any month in which the soldier failed to provide 
the required financial support even if the amount in arrears eventually 
is paid.
    (3) Interim minimum financial support requirements. A soldier should 
be encouraged to pay the amount in arrears based on past noncompliance 
with the interim minimum financial support requirements (Sec. 584.2(d) 
(1)(iii) and (2)). However, a soldier cannot be ordered to pay such an 
amount. Nevertheless, administrative or punitive action may be taken on 
a violation of this regulation for any month in which the soldier failed 
to provide the required financial support even if the amount in arrears 
eventually is paid.

[[Page 467]]

Also, failure to provide required financial support in the past may be 
considered, together with other factors, in a commander's determination 
of the amount of additional support that may be ordered. (See 
Sec. 584.2(j).)
    (j) Additional support where there is no support agreement or court 
order.
    (1) Ordinarily, a soldier should not be required to provide 
financial support beyond that required by Sec. 584.2(d)(1)(iii). 
However, a soldier should provide additional support within his or her 
ability to meet the basic financial needs of family members when the 
interim support requirements of this regulation are shown to be 
inadequate.
    (2) If there is a demonstrated need for immediate and temporary 
additional support because of unexpected and unforeseen circumstances 
and the parties are unable to agree on such additional support, a 
commander may order temporary additional support.
    (3) Commanders will consider the following factors in determining 
the amount of additional support, if any, that a soldier should provide 
when a request for additional support is received:
    (i) The pay, allowances, separate income, and other financial 
resources of both the soldier and the family member for whom additional 
support is requested.
    (ii) The earning capacity of the family member on whose behalf 
support is requested.
    (iii) The financial savings of the soldier and family member.
    (iv) The separate and joint debts of the soldier and family member, 
by whom those debts were incurred, and the reasons behind them.
    (v) The soldier's duty to provide financial support to other family 
members, including former spouses.
    (vi) The financial needs of the soldier and the family member and 
whether these needs are temporary or permanent in nature.
    (vii) The standard of living of the soldier and family member and 
whether such standard of living is reasonable under the circumstances.
    (viii) With regard to spousal support, the duration of the marriage 
and the circumstances under which the parties separated.
    (ix) The extent of the soldier's or family member's compliance with 
existing court orders and written support agreements. This includes 
those provisions dealing with child custody, visitation rights, property 
division, and marital property awards.
    (x) The amount in arrears owed by the soldier based on past 
noncompliance with the minimum support requirements. (See Sec. 584.2 (d) 
and (i).)
    (xi) Any other fact which, in the judgment of the commander, has a 
logical bearing upon the amount of additional support the soldier 
reasonably should be expected to provide.
    (k) Procedure for making complaints. (1) Complaints about nonsupport 
of family members and noncompliance with court orders on financial 
support and child custody should be sent through command channels. The 
complainant should be referred to the immediate commander of the soldier 
concerned.
    (2) The Inspector General (IG) may assist in properly routing the 
complaint. The IG also may assist if the responsible commander has 
failed to respond in a satisfactory manner or as required by this 
regulation. (See AR 20-1, para 4-9.)
    (3) The USACFSC (DACF-IS-PA) has set up an office to assist in these 
cases. USACFSC will provide policy interpretations and guidance on 
unresolved or complex cases, as needed. USACFSC normally will go through 
command channels to the immediate commander of the soldier concerned 
requesting that action be taken under this regulation.
    (4) Family members who present complaints against a military member 
of another Service (Air Force, Marine Corps, Navy, or Coast Guard) 
should be referred to the appropriate Service.
    (l) Commander's actions. (1) Upon receipt of a complaint of 
nonsupport or noncompliance with court orders, including provisions on 
child custody or visitation rights, the commander will review the 
complaint. He or she will do the following if the information is 
incomplete:
    (i) Acknowledge receipt of the complaint.

[[Page 468]]

    (ii) Explain that the information or documentation sent is not 
enough to give proper help.
    (iii) If appropriate, send the complainant DA Form 5460-R (Request 
for Help in Receiving Support and/or Identification Cards for Family 
Members).
    (iv) Advise that help will be given with the complaint upon return 
of the completed form and other requested information and documents.
    (v) If appropriate, advise that DA Form 5460-R alone is not enough 
documentation for issuance of a dependent identification card (ID card) 
(AR 640-3). Documentation (that is, court orders, birth certificates, 
marriage certificates, etc.) must be provided to support eligibility for 
benefits.
    (vi) Answer any policy or procedural questions that have been asked.
    (2) Upon receipt of DA Form 5460-R or a complaint that has enough 
information to properly respond, the commander will--
    (i) Review soldier's legal financial obligations in light of the 
complaint and the facts presented by all parties concerned.
    (ii) If necessary, ask the SJA if the complaint is valid, if the 
soldier must provide financial support or give up custody of children, 
and any other related questions.
    (iii) Notify the soldier of the complaint of nonsupport or of a 
violation of a child custody court order.
    (iv) Require the soldier to complete and sign DA Form 5459-R. 
Information obtained from a system of records ordinarily will not be 
released outside DOD without the soldier's consent. (See Sec. 584.1(f).)
    (v) If the soldier is suspected of violating this regulation or of 
having committed other offenses, the commander, prior to questioning the 
soldier, will also advise him or her of--
    (A) The suspected offense.
    (B) The right to remain silent under article 31, UCMJ.
    (C) The right to counsel under the Fifth Amendment.
    (vi) Explain the following to the soldier:
    (A) The Army's policies regarding support of family members and 
compliance with court orders.
    (B) That refusal to give required support per this regulation may 
result in administrative or punitive action.
    (C) That a soldier is not entitled to BAQ at the ``with dependents'' 
rate when no part of the allowance is given to family members. 
Therefore, collection action may be initiated by the Army.
    (vii) Explain what garnishment is (Sec. 584.8) and how it might 
affect the soldier's pay, allowances, and allotments. For example, 
explain that the amount garnisheed monthly might significantly exceed 
monthly support obligations previously agreed upon.
    (viii) Tell the soldier of any court order for attachment or 
garnishment that has been received. Immediately send the court documents 
to the Commander, U.S. Army Finance and Accounting Center (USAFAC), 
ATTN: FINCL-G, Indianapolis, IN 46249-0260 for action. (See 
Sec. 584.8(b).) Also, inform the soldier that if the document is in 
proper legal form, a portion of the soldier's pay and allowances will be 
garnisheed.
    (ix) Explain involuntary allotments (Sec. 584.9) if appropriate.
    (x) Coordinate with the soldier's servicing finance and accounting 
office (FAO) for problems of pay, allowances, and allotments.
    (xi) Urge soldiers to provide continuous support to family members 
by allotment. The allotment should be for the mutually agreed amount, 
court order, or as computed under this regulation. An account may be set 
up in a financial institution by the recipient to receive the allotment. 
This action may preclude delays in receipt and other related problems in 
the future.
    (xii) Help the soldier start an allotment to make the required 
support payments. Also, advise the soldier to let the commander know if 
there is a change or stoppage to the support allotment.
    (xiii) Give the soldier a chance to consult with a legal assistance 
attorney if he or she desires. However, the commander should ensure that 
this is not used as a delaying tactic. Where appropriate, a support 
payment plan should be initiated without delay.
    (xiv) Urge soldiers thinking about divorce to seek legal advice from 
a legal

[[Page 469]]

assistance attorney. Also, advise the soldier to ensure an amount of 
support is included in the court order for their children. This action 
may help to prevent future disputes.
    (xv) Ensure that the soldier is not receiving BAQ at the ``with 
dependents'' rate when not entitled to it. (See Sec. 584.7.)
    (xvi) Ask the soldier about his or her intentions. Give the soldier 
the chance to furnish a voluntarily signed statement admitting or 
denying the complaint and stating his or her intentions.
    (xvii) Send complaints received to the soldier's new duty station if 
he or she has been reassigned. Advise the complainant of the soldier's 
reporting date and the unit address to which correspondence should be 
sent. If proper, give the complainant a copy of DA Form 5460-R.
    (3) Advise the complainant courteously and promptly--
    (i) Of the Army policy in suitable areas of concern.
    (ii) Of the soldier's intentions, if the soldier allows release of 
the information.
    (iii) That personal problems outside the requirements of this 
regulation must be resolved in court if the parties cannot agree.
    (4) If proper to the situation, remind complainant of other helping 
agencies on post, such as the chaplain and Army Community Service. These 
agencies can give timely, interim help to meet immediate needs pending a 
more permanent resolution of the problem.
    (5) Retain the statements allowing or forbidding release of 
information to the complainant and the soldier's intentions with the 
case file for future reference. Documents/records will be filed per AR 
600-37 and the Army Functional Files System (AR 340-2 and AR 340-18).
    (6) Monitor actions closely to ensure promises of support or other 
actions by soldiers to complainants are being met.
    (7) Consider administrative or punitive action if proper.
    (8) Inform the first level field grade commander of the soldier's 
repeated failure to meet the requirements of this regulation. Also, 
point out actions taken or contemplated to correct instances of 
nonsupport of family members or violations of child custody court 
orders.



Sec. 584.3  Paternity claims.

    (a) General. (1) This chapter sets policy and procedures to process 
paternity claims against male Army soldiers. These procedures apply to 
claims made in the continental United States and in foreign countries. 
They apply to claims made by the claimant or on behalf of the claimant 
by attorneys, court officials, and others.
    (2) Soldiers will be informed of paternity claims against them. 
Commanders will ensure that soldiers are advised of their legal rights 
and will advise soldiers of their moral and legal obligations in the 
matter. Soldiers admitting paternity will be urged to provide the 
necessary financial support to the child. Also, they will take any other 
action proper under the circumstances.
    (b) Procedures for questioning soldiers about paternity claims upon 
receipt of a claim of paternity against a soldier, the commander will 
take the following actions:
    (1) If there is evidence that an offense (for example, rape, 
indecent acts with a minor) may have been committed--
    (i) Inform law enforcement officials.
    (ii) Inform the soldier of the suspected offense. Before 
questioning, advise the soldier of his right to remain silent under 
article, 31, UCMJ, and his right to counsel under the Fifth Amendment.
    (iii) Coordinate further action under this regulation with the SJA 
and law enforcement officials if appropriate.
    (2) If there is no evidence that an offense was committed--
    (i) Allow the soldier a chance to talk with a legal assistance 
attorney about his legal rights and obligations.
    (ii) Require the soldier to complete and sign DA Form 5459-R. 
Information obtained from a system of records normally will not be 
released outside DOD without the soldier's consent. (See Sec. 584.1(f).)
    (iii) Inform the soldier of Army policy on the support of family 
members contained in this regulation.
    (iv) Advise the soldier that a court order against him on the 
paternity claim, followed by a refusal to support

[[Page 470]]

a child born out of wedlock, could result in--
    (A) Administrative or punitive action for violating this regulation.
    (B) Garnishment of the soldier's pay account (Sec. 584.8).
    (C) Initiation of an involuntary allotment against the soldier's pay 
account (Sec. 584.9).
    (D) Contempt of court proceedings.
    (v) Ask the soldier about his intentions. Give the soldier the 
chance to furnish a voluntarily signed statement admitting or denying 
the claim and stating his intentions.
    (c) Procedures for processing paternity claims. (1) When one of the 
conditions in Sec. 584.3(c)(1)(i) applies, a claimant will be advised of 
the statement in Sec. 584.3(c)(1)(ii).
    (i) A soldier--
    (A) Refuses to answer questions about the paternity claim.
    (B) Denies paternity.
    (C) Admits paternity, but refuses to provide financial support.
    (ii) No action can be taken on the claim of paternity in the absence 
of a court order. The court order must identify the soldier in question 
as the father of the child. Also, the court order must direct that the 
soldier provide financial support to the child.
    (2) The commander will reply directly to the claimant or the 
attorney or court official she has authorized to act in her behalf. 
Information obtained from a system of records ordinarily will not be 
released outside DOD without the soldier's consent. (See Sec. 584.1(f).)
    (3) If the soldier admits paternity and agrees to provide financial 
support, then the commander will--
    (i) Ask the claimant to provide a copy of the birth certificate.
    (ii) Help the soldier in filing for an allotment or providing other 
financial aid.
    (iii) Advise the claimant of the amount, effective date, and means 
of payment.
    (iv) Help the soldier apply for BAQ at the ``with dependents'' rate, 
if applicable. (A birth certificate may be required.)
    (v) Ensure an ID card is issued for the child after the relationship 
is documented, if proper. (A birth certificate may be required.) (See AR 
640-3, para 3-3, for dependency criteria for ID cards.)
    (vi) Allow the soldier to take ordinary leave in order to marry the 
claimant, if leave is requested for this purpose. However, the leave may 
be delayed if it will interfere with military requirements. Travel in 
connection with leave (including travel to and from overseas commands) 
is the responsibility of the soldier. Travel will be at no expense to 
the Government. If the marriage is to take place overseas, the soldier 
must comply with AR 600-240 and AR 608-61 in applying for authorization 
to marry (DA Form 2029-R) (Application for Authorization to Marry 
Outside of the United States).
    (d) Court orders. If a court order of paternity and support has been 
issued, the commander will--
    (1) Advise the soldier of the policy regarding support of family 
members.
    (2) Advise the soldier that refusal to support his child born out of 
wedlock could result in--
    (i) Garnishment of the soldier's pay account (Sec. 584.8).
    (ii) Initiation of an involuntary allotment against the soldier's 
pay account (Sec. 584.9).
    (iii) Contempt of court proceedings.
    (iv) Administrative or punitive action for violating this 
regulation.
    (3) Refer the soldier to a legal assistance attorney for advice on 
his legal rights and obligations.
    (4) Help the soldier file an attotment or give other financial aid.
    (5) Advise the claimant of the amount, effective date, and means of 
payment.
    (6) Help the soldier apply for BAQ at the ``with dependents'' rate, 
if applicable.
    (7) Ensure an ID card is issued for the child.
    (8) Consider administrative or punitive action if the soldier fails 
to obey the court order. (See Sec. 584.1(d)(5)(viii.)
    (9) Inform the first level field grade commander of the soldier's 
repeated failure to meet the requirements of this regulation. Also, 
point out actions taken or contemplated to correct instances of 
nonsupport of family members.

[[Page 471]]



Sec. 584.4  Adoption proceedings.

    (a) General. This chapter does not apply to those situations were a 
soldier is trying to adopt a child. It applies to those situations where 
another person is trying to adopt a legitimate or illegitimate child of 
a soldier. A child born in or out of wedlock normally may not be put up 
for adoption without the consent of the parents. Therefore, 
communications from a judge or court asking that a soldier appear at an 
adoption hearing must be answered.
    (b) Commander's actions. The commander will--
    (1) Inform the soldier or the inquiry.
    (2) Urge the soldier to see a legal assistance attorney.
    (3) Advise the court or judge, as appropriate, that--
    (i) A request by the soldier for leave to attend an adoption hearing 
on (date) has been granted.
    (ii) A request by the soldier for leave to attend an adoption 
hearing on (date), if made, would be approved..
    (iii) Due to military requirements, the soldier cannot be granted 
leave to attend any court hearing until (date).
    (iv) The soldier has stated that he or she is not the natural parent 
of the child.
    (v) Since the soldier is not present because (give specific 
reasons), (for example, temporary duty or leave), a complete response 
cannot be made until (date).
    (vi) The soldier is no longer in this command. The commander will 
provide the soldier's new military address to the court or judge. The 
commander then will send a copy of the inquiry to the soldier's new 
commander and advise the court or judge of this action.
    (4) Furnish the soldier with a copy of the communication and the 
reply.



Sec. 584.5  U.S. citizenship determinations on children born out of wedlock in a foreign country.

    (a) General. (1) A child born out of wedlock in a foreign country of 
an American citizen father and an alien mother does not automatically 
gain U.S. citizenship. The child must first be legally acknowledged by 
the father. Marriage to the mother may be required in order for the 
child to acquire U.S. citizenship. The father also must establish that 
he had at least 10 years of physical presence in the United States prior 
to the child's birth. Five of those years must have been spent in the 
United States after the father's 14th birthday. United States military 
service counts as physical presence in the United States. (See 8 U.S.C. 
1101(c)(1), 1401(g), and 1409(c).) Whether the child gains the 
citizenship of its mother depends entirely upon the laws of the nation 
in which she is a citizen.
    (2) A child born out of wedlock in a foreign country to an American 
citizen mother and an alien father or U.S. Citizen father gains U.S. 
citizenship at birth if the mother had been physically present in the 
United States for a continous period of 1 year prior to the child's 
birth. (See 8 U.S.C. 1409(c).) The child will gain the citizenship of 
the father only if the laws of the nation of which the father is a 
citizen so provide.
    (b) Procedures for claiming U.S. citizenship rights. (1) A father 
desiring rights of U.S. citizenship for a foreign-born child must 
legally acknowledge the child as his own and prepare a case file. Each 
case is decided on its own merits. The Department of State, if the child 
is in a foreign nation, or the Immigration and Naturalization Service 
(INS), if the child is in the United States, will make the decision. 
Documents that may be important in supporting a citizenship 
determination are listed below:
    (i) Proof of father's citizenship. This may consist of any of the 
following:
    (A) A certified copy of his birth certificate (with a raised seal of 
the registrar of births).
    (B) A report of birth abroad (FS Form 240 (Report of Birth Abroad of 
a Citizen of the United States)).
    (C) A certificate of citizenship.
    (D) A certificate of naturalization.
    (E) A valid U.S. Passport.
    (F) A certified copy of an approved U.S. passport application.
    (G) Any secondary evidence acceptable by the State Department or 
INS.
    (ii) Affidavit of paternity.
    (iii) Proof of presence in the foreign country at time of 
conception. (This information can be extracted from the passport, DA 
Form 2-1 (Personnel Qualification Record--Part II), etc.).
    (iv) Child's birth certificate.

[[Page 472]]

    (v) Proof of the father's physical presence in the United States for 
10 years (5 after age 14).
    (vi) Blood type tests of the mother, the father, and the child. (At 
the request of the examining officer.)
    (vii) Two sworn affidavits (at the request of the examining officer) 
from individuals who personally knew the mother, father, and child at 
the time of birth and can identify the child.
    (viii) A copy of a certified English translation of all needed legal 
documents that are in a foreign language.
    (ix) An executed passport application with three signed pictures of 
the child.
    (2) The soldier may consult a legal assistance attorney for help in 
preparing the case file. The case file should be taken to the nearest 
American Embassy, Consulate General, or Consulate in the country where 
he and his child live. If the father is not present in the country where 
the child lives, he will do one of the following--
    (i) Take the necessary documents to the nearest American Embassy, 
Consulate General, or Consulate.
    (ii) Mail the documents to the Department of State, ATTN: Office of 
Citizens Consular Service, WASH DC 20520. That office, in conjunction 
with the American Consul abroad, will decide if the child is a U.S. 
citizen.
    (3) If both father and child are within the United States, a 
decision of citizenship status can be obtained from the INS. The soldier 
should file Form N-600 (Application for Certificate of Citizenship) at 
the nearest INS office. This form can be obtained from the INS. The 
appendix of AR 608-3 lists the location of INS offices.
    (4) Any soldier who claims to be a U.S. citizen has the burden of 
proving that claim to the Department of State or INS, as applicable.



Sec. 584.6  Procedures governing nonactive duty or discharged personnel.

    (a) Procedures governing nonactive duty personnel. (1) Nonsupport 
complaints and paternity claims against former soldiers or other not on 
active duty will be sent to the Commander, U.S. Army Reserve Components 
Personnel and Administration Center (RCPAC), ATTN: DARC-PSE-VS, 9700 
Page Boulevard, St. Louis, MO 63132-5200.
    (2) After RCPAC verifies the status, the following officials will 
act as prescribed below:
    (i) Chief, National Guard Bureau, WASH DC 20310-2500, for members of 
the Army National Guard.
    (ii) The area commander concerned for Ready Reservists assigned to 
troop program units under his or her control. (See AR 140-1, para 1-6.)
    (iii) Commander, RCPAC for nonunit members assigned to Control 
Groups of the Ready Reserve, Standby Reserve, and Retired Reserve.
    (3) The officials cited above will ensure that correspondence 
claiming nonsupport or paternity is delvered to the person concerned, 
using military channels. When the correspondence cannot be delviered 
through military channels, it will be sent to the last known mailing 
address of the person by certified mail (PS Form 3811 (Return Receipt, 
Registered, Insured and Certified Mail)). It should be marked ``Return 
Receipt Requested--Deliver to Addressee Only.'' This form is available 
at U.S. post offices.
    (4) After delivery of correspondence, the responsible official will 
advise the complainant or claimant--
    (i) Of the date and method of delivery.
    (ii) That the military department does not control the personal 
affairs of nonactive duty personnel. These personnel usually are in a 
civilian status and are not subject to military discipline. Therefore, 
the matter has been left to the person's discretion.
    (iii) Of the person's mailing address only if the conditions in 
Sec. 584.6(c) are met.
    (b) Procedures governing discharged personnel. Nonsupport complaints 
or paternity claims against persons who have been discharged from the 
Service will be sent to RCPAC. These persons do not hold any military 
status whatsoever. Commander, RCPAC will return the correspondence and 
all accompanying documentation and advise the complainant or claimant--
    (1) That the person is no longer a member of the Army or the Reserve 
Components.
    (2) Of the date of discharge.

[[Page 473]]

    (3) That the Army no longer has control or authorty over the 
discharged member. Therefore, the Army can take no further action in the 
matter.
    (4) Of the person's mailing address only if the conditions in 
Sec. 584.6(c) are met.
    (c) Conditions for disclosing mailing address. Nonactive duty and 
discharged personnel's mailing addresses will not be disclosed except 
for one of the following reasons:
    (1) The person consents in writing to the release of his or her 
address.
    (2) The complainant or claimant sends a court order directing the 
release of the address.
    (3) Any other reason that does not constitute a violation of the 
Privacy Act of 1974.
    (d) Retired personnel. (1) Court orders for garnishment or 
attachment of pay of retired persons will be sent to USAFAC.
    (2) The complainant or claimant will be advised that correspondence 
may be sent to the retired member as follows:
    (i) Place correspondence in a stamped envelope with retired member's 
name typed or printed on the envelope.
    (ii) Place stamped envelope in a second envelope and send to the 
Commander, RCPAC, ATTN: DARC-PSE-VS, 9700 Page Boulevard, St. Louis, MO 
63132-5200.
    (3) Commander, RCPAC will send the correspondence to the retired 
member but cannot release the address under the provisions of the 
Privacy Act of 1974.



Sec. 584.7  Basic allowance for quarters.

    (a) Eligibility. (1) Soldiers entitled to basic pay, who have family 
members, are entitled to BAQ at the rates prescribed for soldiers ``with 
dependents'' under certain conditions. The Department of Defense 
Military Pay and Allowances Entitlements Manual (DODPM) governs 
entitlements. (See DODPM, part 3, chap 2.)
    (2) Soldiers may receive BAQ at the ``with dependents'' rate as long 
as they pay at least the difference between BAQ at the with- and 
without-dependents rate each month in support of their families. (See 
DODPM, part 3.) This is so even if a divorce decree or court order is 
silent on support or releases the soldier from the responsibility of 
supporting the family. (See Sec. 584.2(f)(2).) Normally, a soldier is 
not entitled to BAQ on behalf of a former spouse or stepchildren after 
the divorce. BAQ at the ``with dependents'' rate is not authorized when 
the soldier or the supported family is residing in Government family 
quarters. Also, if two soldier member-parents are supporting the same 
child, only one soldier member is entitled to BAQ at the ``with 
dependents'' rate.
    (b) False claims. BAQ at the ``with dependents'' rate is not payable 
to soldier who are not supporting their families. Cases involving 
alleged failure or refusal of soldiers to pay at least the difference 
between BAQ at the with- and without-dependents rate for the support of 
family members will be referred to the proper FAO after investigation. 
Nonsupport of family members for whom BAQ is claimed may result in--
    (1) Collection of BAQ received but not given to the family members.
    (2) Stoppage of BAQ at the ``with dependents'' rate.
    (3) Punitive or administrative action against a soldier for--
    (i) Violating the minimum support requirements of this regulation.
    (ii) Submitting a fraudulent claim for BAQ based on false 
information.
    (c) Forfeiture of BAQ. Forfeiture of the ``with dependents'' portion 
of BAQ does not relieve the soldier of the obligation to support family 
members as set up in this regulation.
    (d) BAQ entitlements versus Army minimum support requirements Terms 
for entitlements to BAQ are set forth in DODPM, part 3, chapter 2. 
Except as provided in this regulation, BAQ entitlements have no 
relationship to Army minimum support requirements.



Sec. 584.8  Garnishment.

    (a) General. (1) Pub. L. 93-647 (42 U.S.C. 659) permits garnishment, 
attachment, or assignment of Federal wages and retirement payments to 
enforce court-ordered child support and alimony obligations that are in 
arrears. It includes foreign court orders when--
    (i) Required by treaty or international agreement. (A soldier is 
subject to garnishment for child support

[[Page 474]]

issued by the FRG only while physically stationed in Germany.)
    (ii) Recognized by a court of competent jurisdiction. Applicable 
State laws govern legal procedures to be used by complainants. 
Jurisdictional or procedural challenges to garnishment actions remain 
the responsibility of individual members.
    (2) In the absence of State law more favorable to the soldier, 15 
U.S.C. 1673 limits the amount of pay that can be garnisheed as follows:
    (i) Fifty percent of disposable pay when a soldier is supporting a 
spouse or dependent child who is not the subject of the support order. 
(See Sec. 584.8(a)(3) for an explanation of disposable pay.)
    (ii) Sixty percent of disposable pay when a soldier is not 
supporting such spouse or dependent child.
    (iii) An additional 5 percent in each of the above cases if payments 
are more than 12 weeks overdue.
    (3) The items of pay listed in Sec. 584.8(a)(3)(i) are subject to 
garnishment except for amounts deducted for the items listed in 
Sec. 584.8(a)(3)(ii).
    (i) Items of pay and bonus subject to garnishment.
    (A) Basic pay.
    (B) Special pay (including enlistment and reenlistment bonuses).
    (C) Incentive pay.
    (D) Inactive duty training pay.
    (E) Academy officials pay (except personal money allowances).
    (F) Accrued leave payments (basic pay portion only).
    (G) Retired and retainer pay.
    (H) Lump-sum Reserve bonus.
    (I) Separation payments (readjustment pay and severance pay).
    (ii) Deductions not subject to garnishment.
    (A) Federal income tax withholding.
    (B) State income tax withholding.
    (C) Servicemen's Group Life Insurance.
    (D) Social Security taxes (Federal Insurance Contributions Act).
    (E) United States Soldier's and Airmen's Home.
    (F) Survivor Benefit Plan.
    (G) Retired Servicemen's Family Protection Plan.
    (H) Indebtedness to the United States and delinquent Federal taxes.
    (I) Fines and forfeitures ordered by a court-martial or commander.
    (b) USAFAC procedures. The USAFAC will process most garnishment 
orders. Unless the order is contrary to Federal law or the laws of the 
jurisdiction from which it was issued, the soldier's pay will be 
garnished per the court order. Garnishment orders will be sent by 
certified or registered mail to the Commander, USAFAC, ATTN: FINCL-G, 
Indianapolis, IN 46249-0160. However, all legal process issued by German 
courts will be processed under DODPM, section 70710, when the soldier is 
stationed in the FRG. The documents must expressly state they pertain to 
child support or alimony. Also, the name and social security number 
(SSN) of the soldier must be included. The submission of a divorce 
decree or support order alone is not enough, as a garnishment order is 
required.



Sec. 584.9  Involuntary allotments.

    (a) General. Pub. L. 97-248 (42 U.S.C. 665) permits involuntary 
allotments from pay and allowances of soldiers on active duty as child, 
or child and spousal, support payments when--
    (1) The soldier has failed to make payments under a court order for 
2 months or in a total amount equal to or in excess of the support 
obligations for 2 months.
    (2) Failure to make such payments is established by notice from an 
authorized person to the Commander, USAFAC, ATTN: FINCL-G, Indianapolis, 
IN 46249-0160. An authorized person is--
    (i) Any agent or attorney of any State having in effect a plan 
approved under part D of title IV of the Social Security Act (42 U.S.C. 
651-664), who has the duty or authority under the plan to seek recovery 
of any amounts owed as child or child and spousal support (including, 
when authorized under a State plan, any official of a political 
subdivision).
    (ii) A court or agent of the court that has authority to issue an 
order against the soldier for the support and maintenance of a child.
    (3) Such notice must give the soldier's full name and SSN. Also, it 
must list the name and address of the person to whom the allotment is 
payable. The

[[Page 475]]

amount of the allotment will be the amount needed to comply with the 
support order. The allotment may include arrearages as well as amounts 
for current support if provided for in the support order. A copy of this 
must be included with the notice. If proper, a statement must be 
included that the support allotment qualifies for the additional 5 
percent in excess of the maximum percentage limitations. These 
limitations are prescribed in 15 U.S.C. 1673. Also, a copy of the 
underlying support order must be included with the notice. An allotment 
under this provision will be adjusted or discontinued only upon notice 
from an authorized person.
    (b) Procedures. No action will be taken to set up an allotment until 
the soldier has the chance to consult a legal assistance attorney. The 
purpose of the meeting is to discuss the legal and other factors 
involved with respect to the soldier's support obligation and failure to 
make payments. If the soldier has not consulted with legal counsel, the 
allotment will start the first end-of-month payday after 30 days have 
elapsed since notice was given to the affected soldier.

                    Appendix A to Part 584--Reference

                    Section I--Required Publications

AR 340-17
    Release of Information and Records from Army Files. (Cited in 
Sec. 584.1(f)(2).)
AR 340-21
    The Army Privacy Program. (Cited in Sec. 584.1(f)(2).)
AR 600-37
    Unfavorable Information. (Cited in Secs. 584.1(d)(5)(viii)(B) and 
584.2(l)(5).)
AR 640-3
    Identification Cards, Tags, and Badges. (Cited in 
Secs. 584.2(l)(1)(v) and 584.3(c)(3)(v).)
Misc Pub 13-1
    DOD Military Pay and Allowances Entitlements Manual. (Cited In 
Secs. 584.7a, 584.7(d) and 584.8(b).)
Uniform Code of Military Justice
    (Cited In Secs. 584.1(d)(5), 584.2(g)(4)(ii), 584.2(l)(2)(v)(B), and 
584.3(b)(1)(ii).)

                    Section II--Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand this regulation.

AR 11-2
    Internal Control Systems
AR 20-1
    Inspector General Activities and Procedures
AR 140-1
    Mission, Organization, and Training
AR 340-2
    Maintenance and Disposition of Records for TOE Units and Certain 
Other Units of the Army.
AR 340-18
    The Army Functional Files System
AR 600-240
    Marriage in Oversea Commands
AR 601-280
    Army Reenlistment Program
AR 608-3
    Naturalization and Citizenship of Military Personnel and Dependents
AR 608-61
    Application for Authorization to Marry Outside of the United States
AR 635-100
    Officer Personnel (Separations)
AR 635-200
    Enlisted Personnel (Separations)
Misc Pub 8-1
    Joint Travel Regulations, Volume 1: Members of the Uniformed 
Services

                      Section III--Prescribed Forms

DA Form 5459-R
    Authorization to Release Information from Army Records on 
Nonsupport/Child Custody/Paternity Complaints. (Cited in 
Secs. 584.1(d)(5)(iv)(B), 584.1(f)(1), 584.2(1)(2)(iv), and 
584.3(b)(2)(ii).)
DA Form 5460-R
    Request for Help in Receiving Support and/or Identification Cards 
for Family Members. (Cited in Sec. 584.2(1).)

                      Section IV--Referenced Forms

DA Form 2-1
    Personnel Qualification Record-Part II
DA Form 2029-R
    Application for Authorization to Marry Outside of the United States
FS Form 240
    Report of Birth Abroad of a Citizen of the United States
Form N-600
    Application for Certificate of Citizenship
PS Form 3811
    Return Receipt, Registered, Insured, and Certified Mail

                                Glossary

                        Section I--Abbreviations

ARNGUS
    Army National Guard of the United States
BAQ
    Basic allowance for quarters
DA
    Department of the Army
DOD

[[Page 476]]

    Department of Defense
DODPM
    Department of Defense Military Pay and Allowances Entitlements 
Manual
FAO
    Finance and accounting office
FRG
    Federal Repubic of Germany
HQDA
    Headquarters, Department of the Army
ID cards
    Identification cards
IG
    Inspector general
INS
    Immigration and Naturalization Service
RCPAC
    U.S. Army Reserve Components Personnel and Administration Center
SJA
    Staff Judge Advocate
SSN
    Social Security Number
UCMJ
    Uniform Code of Military Justice
USACFSC
    U.S. Army Community and Family Support Center
USAFAC
    U.S. Army Finance and Accounting Center
USAR
    U.S. Army Reserve
VHA
    Variable Housing Allowance

                            Section II--Terms

                                Arrearage

    The total amount of money a soldier owes a family member for prior 
months in which the soldier failed to comply with the minimum support 
requirements of this regulation.

                      Basic Allowance for Quarters

    An amount of money prescribed and limited by law that a soldier 
receives to pay for quarters not provided by the Government.

                         Child Custody Complaint

    A written or oral complaint by a family member, or a third party 
acting on behalf of a family member, that alleges that the soldier is 
violating a court order granting custody of minor children to someone 
other than the soldier. It also includes a complaint by a mother of a 
child born out of wedlock against a soldier father who has abducted or 
detained the child.

                               Court Order

    As used in this regulation, court order includes all judicial and 
administrative orders and decrees, permanent and temporary, granting 
child custody, directing financial support, and executing paternity 
findings. It also includes any foreign nation court or administrative 
order recognized by treaty or international agreement. Court orders are 
presumed valid in the absence of evidence to the contrary.

                              Family Member

    For the purpose of this regulation only, a family member includes--
    a. A soldier's present spouse. (A former spouse is not a family 
member. However, except as otherwise indicated, the term ``family 
member'' includes any former spouse for whom the soldier is required by 
any court order to provide financial support.)
    b. A soldier's minor children from present and former marriages, 
including children legally adopted by the soldier. (A family member does 
not include the child of a soldier who has been legally adopted by 
another person.)
    c. Minor children born out of wedlock to--
    (1) A woman soldier.
    (2) A male soldier if evidenced by a decree of paternity identifying 
the soldier as the father and ordering the soldier to provide support.
    d. Any other person (for example, parent, stepchild, etc.) for whom 
the soldier has an obligation to provide financial support under the law 
of the domicile of either the soldier or the supported person.

                       Financial Support Provision

    The provision in a court order or separation agreement directing the 
soldier to provide financial support to a family member on a periodic 
basis.

                       Government Family Quarters

    Any sleeping accommodations or family-type housing owned or leased 
by the U.S. Government.

                                Gross Pay

    For support purposes, gross pay includes basic pay and allowances to 
include special, incentive, and other pay when received on a monthly 
basis. Gross pay does not include funds not received on a monthly basis 
(that is, enlistment and reenlistment bonuses and accrued leave 
payments). Gross pay does not include wages from off-duty employment.

                        Legal Assistance Attorney

    Army lawyers designated to advise and assist soldiers and their 
families on family law matters. Such matters include marriage, divorce, 
adoption, paternity, child custody problems, and support obligations. In 
the context of this regulation, a legal assistance attorney also 
includes a lawyer retained by a soldier at his or her own expense.

[[Page 477]]

                             Minor Children

    Unmarried children under 18 years of age who are not on active duty 
with the Armed Forces.

                          Nonsupport Complaint

    A written or oral complaint by a family member, or a third party 
acting on behalf of a family member, that alleges one of the following:
    a. Soldier is providing no financial support.
    b. Soldier is providing insufficient financial support.
    c. Soldier is failing to comply with--
    (1) An oral agreement,
    (2) A written support agreement, or
    (3) A court order that sets up a financial support requirement.

                                 Soldier

    As used in this regulation, the term soldier includes commissioned 
officers, warrant officers, and enlisted personnel.

                          Staff Judge Advocate

    The chief legal officer and his or her staff who advise commanders 
on laws and regulations affecting the command. Includes command judge 
advocates and post judge advocates, but not legal assistance attorneys 
or attorneys assigned to the Trial Defense Service.

                            System of Records

    Any record under DA control from which information is retrieved by 
the name of the individual or by his or her SSN.

                       Variable Housing Allowance

    An amount of money prescribed by law that a soldier receives to 
defray high housing costs in the continental United States.

                        Written Support Agreement

    Any written agreement between husband and wife in which the amount 
of periodic financial support to be provided by the soldier spouse has 
been agreed to by the parties. A written support agreement may be 
contained in a separation agreement or property settlement agreement. 
Also, the support agreement may be shown by letters exchanged between 
the parties in which the amount of support has been agreed to by the 
parties.



PART 588--EQUAL EMPLOYMENT OPPORTUNITY DISCRIMINATION COMPLAINTS--Table of Contents




                      Subpart A--General Provisions

Sec.
588.1  Purpose.
588.2  Prescribed forms.
588.3  Explanation of abbreviations and terms.
588.4  Responsibilities.
588.5  Authority.
588.6  Policy statements.
588.7  EEO counselor training.
588.8  Venue.
588.9  Complaints involving the Secretary of the Army or officials of 
          the Office of the Secretary of the Army.
588.10  Complaints involving the Chief of Staff, Army; MACOM commanders; 
          officials of the Army Staff; and its Staff support or field 
          operating agencies.
588.11  Complaints involving the U.S. Army Civilian Personnel Center 
          (CIVPERCEN).

           Subpart B--Individual Complaints of Discrimination

588.12  Who may file a complaint?
588.13  Precomplaint processing.
588.14  Filing a formal complaint.
588.15  Criteria for acceptance.
588.16  Acceptance and rejection of formal complaints.
588.17  Arranging for the investigation.
588.18  Authority assigned to the USACARA investigator.
588.19  Conducting the investigation.
588.20  Informal adjustment and offer of hearing.
588.21  MACOM review of proposed dispositions.
588.22  Failure to carry out the terms of the adjustment.
588.23  Request for Army decision without a hearing.
588.24  Arranging a hearing.
588.25  The hearing.
588.26  Final Army decision.
588.27  Avoiding delays.
588.28  Canceling a complaint.
588.29  Consolidation of complaints.
588.30  The complaint file.

              Subpart C--Class Complaints of Discrimination

588.31  General guidance.
588.32  Precomplaint processing.
588.33  Filing a formal class complaint.
588.34  Designating the Army representative.
588.35  Criteria for acceptance.
588.36  Acceptance, rejection, or cancellation of the formal complaint.
588.37  Notification and opting out.
588.38  Avoiding delay.
588.39  Developing evidence.
588.40  Resolution of the complaint.
588.41  Procedures for the hearing.
588.42  Final Army decision.
588.43  Corrective action.
588.44  The complaint file.

                   Subpart D--Miscellaneous Complaints

588.45  Reprisal.

[[Page 478]]

588.46  Mixed cases.
588.47  Negotiated grievance procedure.
588.48  Election of forum.
588.49  Final decision under the negotiated grievance procedure.
588.50  General allegations of discrimination.

                       Subpart E--Remedial Actions

588.51  General guidance.
588.52  Remedial action involving an applicant.
588.53  Remedial action involving an employee.
588.54  Award of attorney fees and/or costs.
588.55  Informal no-fault settlement.

                  Subpart F--Appeals and Civil Actions

588.57  Appealing an Army decision.
588.58  Review by the EEOC commissioners.
588.59  Civil actions.

     Subpart G--Participation by the Alleged Discriminating Official

588.60  General guidance.
588.61  The ADO at the informal stage.
588.62  The ADO during the USACARA investigation.
588.63  Informal adjustment and proposed disposition.
588.64  The ADO at the hearing.
588.65  The final Army decision.
588.66  Appeals to the EEOC.
588.67  Representing the ADO.
588.68  The ADO's role in class complaints of discrimination.
588.69  Conflicts of interest.

  Subpart H--Witnesses, Representation, Administrative Procedures, and 
                                 Reports

588.70  Arranging for witnesses.
588.71  Complainant's and class agent's representative.
588.72  Representing the Army in individual complaints.
588.73  Representing the Army in class complaints.
588.74  Using official time.
588.75  Hearing arrangements.
588.76  Complaint file.
588.77  Complaints reporting.
588.78  Disposition of complaints of discrimination.
588.79  Travel and other costs.


Appendix A to Part 588--Steps in individual complaints of discrimination
Appendix B to Part 588--Steps in class complaints of discrimination
Appendix C to Part 588--Procedural steps in an individual discrimination 
          complaint
Appendix D to Part 588--Sample Format--avenues of redress for Army 
          employees
Appendix E to Part 588--Sample Format--notice of interview with EEO 
          counselor
Appendix F to Part 588--Sample Format--notice of right to file a 
          discrimination complaint
Appendix G to Part 588--Sample Format--notice of receipt of 
          discrimination complaint
Appendix H to Part 588--Negotiated settlement agreement
Appendix I to Part 588--Sample Format--notice of proposed disposition of 
          discrimination complaint
Appendix J to Part 588--Procedural steps in a class action determination 
          complaint
Appendix K to Part 588--Addresses and geographic jurisdiction of U.S. 
          Army Civilian Appellate Review Regional Offices
Appendix L to Part 588--Sample Format for Notice of Final Action
Appendix M to Part 588--Addresses and Geographic jurisdictions of EEOC 
          District Offices
Appendix N to Part 588--Sample Advice--Mixed Cases
Appendix O to Part 588--Glossary
Appendix P to Part 588--Prescribed Forms

    Authority: 42 U.S.C. 2000e and 29 U.S.C. 621 et seq.

    Source: 51 FR 4082, Jan. 31, 1986, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 588.1  Purpose.

    This regulation prescribes policies and procedures for filing, 
processing, investigating, and settling Equal Employment Opportunity 
(EEO) complaints. The processing of all EEO complaints filed by civilian 
Army employees or applicants for employment will be governed by this 
regulation. This regulation will be revised to reflect changes made by 
the EEOC in its regulations and/or through the issuance of new or 
revised directives.



Sec. 588.2  Prescribed forms.

    The following forms are contained in appendix P to this part.
    (a) DA Form 2590-R, Formal Complaint of Discrimination.
    (b) DA Form 5492-R, Precomplaint Counseling Data Sheet.

[[Page 479]]

    (c) DA Form 5493-R, Individual Complaint Data Sheet.
    (d) DA Form 5494-R, Class Complaint Data Sheet.
    (e) DA Form 5495-R, Chronology of Individual EEO Complaint.
    (f) DA Form 5496-R, Chronology of Class EEO Complaint.
    (g) DA Form 5497-R, Disposition of Complaint of Discrimination.



Sec. 588.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this regulation are 
explained in appendix O.



Sec. 588.4  Responsibilities.

    (a) The Army Director of Equal Employment Opportunity, referred to 
in 29 CFR 1613.204, will be designated by the Secretary of the Army to 
set EEO policy. This individual will ensure that--
    (1) Army programs conform to this policy.
    (2) Adequate resources are available to implement the Army's EEO 
program.
    (3) A system to process EEO complaints exists.
    (b) The Director of Equal Employment Opportunity Compliance and 
Complaints Review Agency (EEOCCRA) will--
    (1) Develop Army policy and programs to process discrimination 
complaints.
    (2) Manage and operate the Army discrimination complaint system for 
individual and class complaints from Army civilian employees and 
applicants.
    (3) Process and prepare final Army decisions on individual and class 
complaints of discrimination for approval by the Secretary of the Army 
or his or her designee.
    (4) Process requests from the EEOC for case files on complaints that 
are appealed to EEOC.
    (5) Receive and implement appellate decisions rendered by EEOC and 
process requests for reopening and reconsidering EEOC decisions.
    (6) Provide guidance to subordinate Army activities on the 
discrimination complaint system.
    (c) The Administrator of the U.S. Army Civilian Appellate Review 
Agency (USACARA) will--
    (1) Conduct investigations of civilian employee complaints of 
discrimination.
    (2) Prepare reports of findings including recommendations on 
corrective actions to be taken by the activity.
    (d) The Civilian personnel Officer (CPO) will--
    (1) Ensure that EEO officers, EEO counselors, and investigators are 
given appropriate access to personnel records and copies of records 
relevant to the complaint without an inordinate invasion of privacy.
    (2) Perform personnel regulatory reviews and technical support to 
labor counselors, EEO counselors, and EEO officers.
    (e) The Activity Commander responsible for the discrimination 
complaint program for all serviced and tenant organizations.
    (1) Ensure that sufficient resources are available to EEO program 
official to manage and operate the discrimination program effectively.
    (2) Ensure that supervisors and managers understand and meet their 
responsibilities in the discrimination complaint program.
    (3) Stress the need for prompt processing and informal resolution of 
discrimination complaints.
    (4) Ensure that management is adequately represented at all steps in 
the complaint procedure where representation is authorized.
    (5) Make timely recommendations and decisions on complaints of 
discrimination and awards of attorney fees.
    (6) Ensure that Army and EEOC decisions are implemented promptly.
    (7) Ensure that the following information is regularly publicized 
and permanently posted on official bulletin boards, with easy access to 
all employees and to applicants for employment with the Army:
    (i) The name and address of the Army Director of Equal Employment 
Opportunity.
    (ii) The names, addresses, and telephone numbers of the activity EEO 
officials, including the EEO officer and EEO counselors.
    (iii) Where applicable, a list of the organization each counselor 
services.

[[Page 480]]

    (iv) A statement that a counselor must be consulted before a formal 
discrimination complaint is filed under this regulation. (Where 
applicable, employees should also be advised that discrimination may be 
grieved under the negotiated grievance procedure or through Merit 
Systems Protection Board (MSPB) appellate procedures.)
    (v) The time limits to start action and to file and process a 
complaint under this regulation. When applicable, employees should also 
be advised of time limits for filing allegations of discrimination under 
the negotiated grievance procedure or MSPB appellate procedures.
    (f) The major Army command (MACOM) EEO officer will--
    (1) Advise the MACOM commander on the resources required in the 
command to manage the discrimination complaint program effectively.
    (2) Ensure that the EEO complaint processing program is operated 
effectively and efficiently throughout the MACOM.
    (3) Ensure that reports and files are submitted accurately and 
promptly.
    (4) Make on-site evaluations of activity level effectiveness and 
give staff assistance as needed.
    (5) Ensure that all time limits set forth in this regulation are 
met.
    (g) The activity EEO officer will--
    (1) Manage the Activity complaint processing program and advise the 
Activity Commander on EEO matters that require his or her attention.
    (2) Advise the Activity Commander to ensure that adequate resources 
are available in the activity to manage the complaint program 
effectively.
    (3) Recommend the Availability or adequate EEO counselors to provide 
effective counseling services. As a guide, there should be one counselor 
for about every 500 serviced employees. This ratio may vary depending on 
local need.
    (4) Supervise EEO counselors to ensure that they perform effectively 
and are trained in all phases of complaint processing. Refer to assign 
EEO counselors for precomplaint counseling.
    (5) Ensure that counselors and investigators are given 
administrative and logistical support, including appropriate access to 
personnel records and copies of records relevant to the complaint, 
without an unwarranted invasion of privacy.
    (6) Make the final decision on behalf of the Secretary of the Army 
to reject, in whole or in part, individual complaints at the activity; 
also accepts complaints provisionally subject to final decision by the 
Secretary of the Army or his or her designee.
    (7) Ensure that complaints are processed promptly and that all 
requirement for precomplaint counseling and for processing complaints of 
discrimination are met.
    (8) Ensure that every reasonable effort is made to reach an informal 
resolution of the complaint. He or she will advise the Activity 
Commander on proposed dispositions.
    (9) Arrange for USACARA investigations, EEOC hearings and provide 
for court reporters, making sure that the EEOC complaints examiner is 
correctly advised to direct his or her report to EEOCCRA and that the 
correct number of transcripts are ordered.
    (10) Ensure that all copies of case files misdirected to the 
installation by complaints examiners are returned to the complaints 
examiner with instructions to send the files to EEOCCRA.
    (11) Send legible copies of complaint files to EEOCCRA as fast as 
possible.
    (12) Prepare and submit the required reports.
    (13) Maintain and safeguard complaint files.
    (h) The EEO counselor will--
    (1) Advise complainant and management officials of their rights, 
inquire into allegations of discrimination raised under this regulation, 
and try to resolve discrimination complaints at the precomplaint stage.
    (2) Keep records indicating when the aggrieved person first 
contacted the counselor. These records will document the inquiry methods 
used to reach a solution and the result of the inquiry. Such records 
will provide specific facts to be included in the counselor's written 
report to the EEO officer upon completion of counseling.
    (i) The servicing legal officer/Staff Judge Advocate (SJA) will--
    (1) Provide legal advice on EEO matters to the Activity Commander, 
the CPO, and EEO officials.

[[Page 481]]

    (2) Act as the Army's activity-level legal representative in 
hearings on individual complaints and in class action proceedings.
    (3) Review for legal sufficiency, as requested, proposed informal 
adjustments or settlement agreements, proposed disposition letters, and 
final decision letters.
    (4) Advise the Activity Commander regarding settling claims of 
attorney fees and costs. The counselor will forward with analysis and 
recommendations to the Department of the Army (DA), through the Labor 
and Civilian Personnel Law Office (DAJA-LC), Office of the Judge 
Advocate General, for final decision, all claims for attorney fees and/
or costs that are not settled at the activity level. (SeeSec. 588.54)
    (j) Managers and supervisors will act promptly to prevent or correct 
situations that may give rise to complaints of discrimination. All 
members of the work force will refrain from actions or comments that 
might be viewed as discriminatory. Supervisors will allow employees with 
collateral EEO duties enough duty time to perform their EEO functions. 
They will also ensure that, at the precomplaint and the formal stages of 
the complaint, complainants and their representatives are allowed to use 
a reasonable amount of duty time to work on their complaints. Managers, 
supervisors, and employees must cooperate fully with counselors, EEO 
officers, investigators, and examiners.



Sec. 588.5  Authority.

    This regulation implements the directives of the Equal Employment 
Opportunity Commission which is charged by statute with the enforcement 
of equal employment opportunity in the Federal Government. 
Discrimination complaints filed under this regulation are processed 
under the guidance of EEOC regulations contained in part 1613 of title 
29, Code of Federal Regulations (29 CFR part 1613). This regulation will 
be revised to reflect changes in EEOC directives and regulations.



Sec. 588.6  Policy statements.

    (a) Persons who take part in presenting or processing discrimination 
complaints will be free from restraint, interference, coercion, 
harassment, discrimination, and reprisal.
    (b) A discrimination complaint will be processed with due regard for 
the rights of persons against whom allegations have been made.
    (c) Complaints will be processed promptly and impartially.
    (d) Complaints should be resolved at the earliest possible stage; 
informal resolution can occur at any stage of processing. Early 
resolution of complaints achieves better employee relations, cuts 
administrative costs, and is consistent with the Army's commitment to 
equal employment opportunity.
    (e) This regulation does not affect the rights granted unions that 
have exclusive recognition in the Army. Further, this regulation is not 
intended to affect the rights of an employee represented by such a union 
from exercising the option to file--
    (1) A discrimination complaint under this regulation.
    (2) A grievance under a negotiated procedure.
    (3) An appeal under the appellate provisions of the MSPB 
regulations.
    (4) Sufficient resources, in terms of personnel and funds, will be 
made available at all levels of command to assure the success of the 
Army's Equal Opportunity Program.
    (5) Suspenses imposed by this regulation are purely administrative 
and were established by the EEOC and the Army. They are designed to 
encourage prompt resolution of complaints. Failure to meet such a 
suspense will not nullify any administrative proceeding. All ``days'' 
referred to in this regulation are calender days.



Sec. 588.7  EEO counselor training.

    All EEO counselors will be given the required training as soon as 
possible after their appointment, within time limits set by the major 
command. Training will at least include completion of the basic EEO 
counseling course given by regional offices of the Office of Personnel 
Management or any comparable course, and courses in EEO and civilian 
personnel management, as appropriate. Additional and refresher

[[Page 482]]

training will be determined by command policy. All Army training should 
stress the Army policy to seek informal resolution at the earliest 
possible stage of complaint.



Sec. 588.8  Venue.

    EEO complaints will generally be processed at the activity where the 
alleged discrimination occurred. The complaint may be processed at a 
different location designated by the MACOM EEO officer if processing is 
impractical at the activity where the alleged discrimination occurred. 
(See Secs. 588.9 and 588.69)



Sec. 588.9  Complaints involving the Secretary of the Army or officials of the Office of the Secretary of the Army.

    (a) Precomplaint counseling that involves official at the Secretary 
of the Army level will be coordinated with the EEO officer, Office of 
the Secretary of the Army, regardless of where in the Army the 
counseling may arise. The EEO officer at the activity where the 
aggrieved person is employed or has applied for employment will be 
responsible for ensuring that local counseling is conducted in accord 
with Secs. 558.13 and 588.32. The coordination will be accomplished 
before the activity EEO counselor conducts the final interview. 
Coordination may be on an informal basis using the most expeditious 
means of communication.
    (b) Formal complaints that involve actions taken by the Secretary of 
the Army or an official of the Office of the Secretary of the Army will 
be forwarded for acceptance and processing to the EEO officer, Office of 
the Secretary of the Army, regardless of where in the Army they arise. 
The activity EEO officer will issue a letter to the complainant 
acknowledging receipt of the complaint and informing the complainant of 
the referral to the Office of the Secretary of the Army. The letter must 
state that such acknowledgment does not constitute acceptance of the 
complaint. The activity EEO officer must forward to the EEO officer, 
Office of the Secretary of the Army, the following documents:
    (1) The complaint.
    (2) A copy of the acknowledgment or receipt.
    (3) A recommendation as to the acceptance or rejection of the 
complaint, along with an analysis in support of the recommendation.
    (4) A copy of the EEO counselor's report.



Sec. 558.10  Complaints involving the Chief of Staff, Army; MACOM commanders; officials of the Army Staff; and its Staff support or field operating agencies.

    (a) Precomplaint counseling that involves the Chief of Staff, Army; 
MACOM commanders; official of the Army Staff; or its Staff support and 
field operating agencies (unless these activities have been designated 
to be serviced by an EEO officer other than the EEO officer for the 
Military District of Washington (MDW), will be coordinated with the EEO 
officer for MDW regardless of where in the Army the counseling may 
arise. The EEO officer at the activity where the aggrieved person is 
employed, or has applied for employment, will be responsible for 
ensuring that local counseling is conducted in accord with Secs. 588.13 
and 588.32, and that the required coordination is accomplished before 
the activity EEO counselor conducts the final interview. Coordination 
may be on an informal basis using the most expeditious means of 
communication.
    (b) Formal complaints that involve actions actually taken by the 
Chief of Staff, Army; MACOM commanders; officials of the Army Staff; or 
its Staff support and field operating agencies (unless these activities 
have been designated to be serviced by an EEO officer other than the MDW 
EEO officer), will be forwarded for acceptance and processing to the MDW 
EEO officer, regardless of where in the Army the counseling may arise. 
The letter must state that such acknowledgment does not constitute 
acceptance of the complaint. The Activity EEO officer must forward to 
the EEO officer, MDW, the following documents:
    (1) The complaint.
    (2) A copy of the acknowledgment of receipt.
    (3) A recommendation as to the acceptance or rejection of the 
complaint,

[[Page 483]]

along with an analysis in support of the recommendation.
    (4) A copy of the EEO counselor's report.



Sec. 588.11  Complaints involving the U.S. Army Civilian Personnel Center (CIVPERCEN).

    (a) The Chief, CIVPERCEN will render the proposed disposition if a 
complaint challenges all of the following:
    (1) The rating, ranking, and referral process at the Army-wide 
referral level.
    (2) Actions taken by DA Career Program administrators and/or Career 
Program screening panels.
    (3) The complainant was not included on the referral list.
    (b) The Activity Commander responsible for the nonselection will 
render the proposed disposition if a complaint challenges all of the 
following:
    (1) The rating, ranking, and referral process at the Army-wide 
referral level.
    (2) Actions taken by DA Career Program administrators and or Career 
Program screening panels.
    (3) The complainant was included on the referral list but not 
selected.
    (c) Pertinent information will be provided by CIVPERCEN or other DA 
level referral offices, as appropriate, to include in the Activity 
Commander's proposed disposition.



           Subpart B--Individual Complaints of Discrimination



Sec. 588.12  Who may file a complaint?

    Any employee, former employee, or applicant for employment covered 
by this regulation, who believes he or she has been discriminated 
against because of race, color, religion, sex, national origin, physical 
or mental handicap, age, and/or reprisal in an employment matter subject 
to the control of the Army, may file an individual complaint of 
discrimination. The complaint may also be filed for the complainant, by 
a representative designated in writing by the complainant. (The 
summarized, step-by-step complaint procedure at appendix A and the flow 
chart at appendix C may be reproduced locally and given to the 
complainant.)



Sec. 588.13  Precomplaint processing.

    (a) Before a formal complaint can be filed, the complainant must 
first present the matter to an EEO counselor for inquiry within 30 
calendar days from the date of the alleged discriminatory event, the 
effective date of a personnel action, or the date that the aggrieved 
person became aware or reasonably should have become aware, of the 
discriminatory event or personnel action. Matters raised after the 30-
day time limit will be counseled by the EEO counselor even though a 
formal complaint may later be rejected for untimeliness.
    (b) At the initial interview, the EEO counselor will inform the 
aggrieved person of the following matters:
    (1) The aggrieved person may be accompanied, represented, and 
advised at all counseling interviews by a representative designated in 
writing in accord with Sec. 588.71.
    (2) The aggrieved person will waive the right to file a formal 
complaint under this regulation and its procedures if he or she files or 
has already filed a grievance on the same allegations of discrimination 
under a negotiated grievance procedure or an appeal with the MSPB. The 
counselor will give the aggrieved person a handout similar to that 
contained in appendix D which informs the individual of the other 
procedures available for filing allegations of discrimination. If the 
aggrieved person has already filed an appeal with the MSPB or a written 
grievance under a negotiated procedure on the same issue, the EEO 
officer will reject a formal complaint under this regulation.
    (3) The counselor will not reveal the aggrieved person's identity to 
anyone unless the aggrieved person gives written permission or a formal 
complaint is accepted.
    (4) The counselor will define and record the dates and facts of the 
specific incidents or personnel actions that are the basis of the 
discrimination complaint. The aggrieved person must cooperate with the 
counselor in clearly defining issues for investigation.

[[Page 484]]

    (5) If the aggrieved person believes that a particular person 
discriminated against him or he, then that individual may be identified 
as the alleged discriminating official (ADO).
    (6) If an EEO counselor has filed a discrimination complaint 
individually or as a class agent then, at the discretion of the activity 
EEO officer, he or she may be precluded from counseling any other person 
concerning a complaint until that counselor's complaint is resolved by a 
final Army decision and all appeals have been exhausted. An activity EEO 
officer may preclude an EEO counselor from counseling based on actual or 
perceived conflict of interest.
    (c) The EEO counselor's duties during inquiry are as follows:
    (1) The counselor will inquire into the specific incidents and 
actions indentified by the aggrieved person at the initial interview. 
The counselor should interview persons who can give direct information 
on the allegations. If the aggrieved person has named an ADO or an ADO 
is otherwise identified, the counselor must interview that person unless 
the counselor has information that clears the ADO from any alleged 
discrimination to the satisfaction of the aggrieved person. Before any 
interview with an ADO, the counselor must advise that individual of his 
or her rights and the nature of the accusations in accord with 
Sec. 588.61.
    (2) The counselor's inquiry should be designed to obtain only that 
information necessary to reach an informal resolution of the aggrieved 
person's allegations. Usually such inquiries are to be completed within 
a matter of days. The inquiry should not be as extensive as an 
investigation under Sec. 588.19. The counselor should function as a 
mediator between the aggrieved person and management and should seek a 
reasonable informal resolution.
    (3) The counselor should prepare a written report of all actions 
taken during the inquiry and of the advice, if any, given to the 
aggrieved person and the activity.
    (d) The EEO counselor's duties at the final interview are as 
follows:
    (1) The counselor should conduct the final interview with the 
aggrieved person within 21 days after the matter was first called to the 
counselor's attention, absent extraordinary circumstances that must be 
documented by the counselor. At that time, the counselor will tell the 
aggrieved person of the results of the inquiry and discuss proposed 
solutions. Upon completion of the final interview, the counselor will--
    (i) Inform the aggrieved person, in writing, of the right to file a 
formal complaint within the next 15 calendar days. This formal notice 
should be given to the aggrieved person by the use of the sample letter 
in appendix E. The counselor must not try to influence the aggrieved 
person on whether or not to file a formal complaint and must emphasize 
that the decision to file rests solely with the aggrieved person.
    (ii) Stress that a formal complaint must give specific information 
on the alleged acts of discrimination and must be limited to the issues 
discussed with the counselor in the precomplaint procedure. A formal 
complaint that is not specific or does not define the issues will be 
returned for clarification and canceled if not properly defined.
    (iii) Inform the aggrieved person that he or she must inform the EEO 
officer immediately in writing if legal counsel or any other 
representative is retained for a formal complaint. (See Sec. 588.71)
    (2) If the final interview is not held within 21 calendar days of 
initial contact with the EEO counselor and if the matter has not 
previously been resolved to the satisfaction of the aggrieved person, 
the counselor will inform the aggrieved person in writing, in the 21st 
day, of the right to file a formal complaint of discrimination. (See 
appendix F.) The counselor must not try to influence the aggrieved 
person on whether or not to file a formal complaint and must emphasize 
that the decision to file rests solely with the aggrieved person.
    (3) Upon completion of counseling, the counselor will prepare a 
written report of all actions taken during the inquiry, and of the 
advice, if any, given to the aggrieved person and to management. The 
counselor will provide this report to the EEO officer along with a copy 
of the written Notice of Final Interview. The EEO counselor will also

[[Page 485]]

complete DA Form 5492-R (Precomplaint Counseling Data Sheet) and 
appropriate portions of DA Form 5493-R (Individual Complaint Data 
Sheet). The DA Form 5492-R will be prepared for each reportable contact 
at the time the Notice of Final Interview is issued. These documents 
will be submitted to the EEO officer along with his or her report. DA 
Form 5492-R and DA Form 5493-R will be reproduced locally on 8 \1/2\- by 
11-inch paper.
    (e) All Army personnel will fully cooperate with and support the EEO 
counselor in the performance of his or her duties under this regulation. 
The EEO counselor will be free from restraint, interference, harassment, 
coercion, discrimination, or reprisal in connection with the performance 
of his or her duties.



Sec. 588.14  Filing a formal complaint.

    (a) A formal complaint must be filed within 15 calendar days after 
the date of receipt of the notice of final interview with the EEO 
counselor. The formal complaint must be filed in writing by the 
complainant. If vague or general allegations are contained in the 
complaint, the complainant will be given an opportunity to provide 
specific information that will clearly define the issues. If specific 
information is not provided, the vague or general allegations of the 
complaint will be canceled for failure to prosecute.
    (b) Complaints should be submitted on DA Form 2590-R (Formal 
Complaint of Discrimination). Complaints submitted in letter form, while 
not preferred, will be accepted if they meet the other requirements of 
this regulation. However, in this situation, the EEO officer will 
complete a DA Form 2590-R and attach it to the letter. DA Form 2590-R 
will be reproduced locally on 8\1/2\- by 11-inch paper. A copy of DA 
Form 2590-R is located at the back of this regulation.
    (c) Persons to whom complaints may be submitted are as follows:
    (1) A formal complaint may be submitted to the Army official listed 
below:
    (i) Activity EEO officer.
    (ii) Activity Commander.
    (iii) Federal Woman's Program Manager.
    (iv) Director of Equal Employment Opportunity.
    (v) Secretary of the Army.
    (2) All activity publication will request the complainant to submit 
a copy of his or her complaint to the activity EEO officer regardless 
with whom it is filed. Anyone other than the activity EEO officer who 
receives a complaint will immediately transmit the complaint to the 
activity EEO officer, indicating the date of receipt of the complaint if 
it is not postmarked. EEO counselors should encourage aggrieved persons 
to submit their complaints to the activity EEO officer to assure timely 
processing.
    (3) A formal complaint is deemed filed on the date that it is 
postmarked or, if there is no postmark, on the date it is received by 
one of the officials listed in c(1) above. The activity EEO officer will 
acknowledge receipt of the formal complaint in writing. (See appendix 
G.)
    (4) Upon receipt of the formal complaint, the EEO officer will 
indicate the MACOM against which the complaint is filed, code the 
matters giving rise to the complaint, ensure the DA Form 2590-R is 
completed, and immediately submit one copy of the completed DA Form 
2590-R to EEOCCRA.



Sec. 588.15  Criteria for acceptance.

    (a) A complaint will be accepted by the EEO officer (subject to 
final decision by the Secretary of the Army or his or her designee) 
unless the complaint contains one or more of the following:
    (1) Refers to a situation over which the Army has no jurisdiction.
    (2) Is not based on the complainant's race, color, religion, sex, 
age, national origin, physical or mental handicap, and/or reprisal. 
Complaints of discrimination because of age are accepted only if the 
complaint was at least 40 years of age when the action complained of 
occurred.
    (3) Sets forth matters identical to those in a previous complaint 
filed by the same complainant and which has been, or is being, 
processed.
    (4) Sets forth matters identical to those in a grievance filed in 
writing by the same complainant under a negotiated grievance procedure.

[[Page 486]]

    (5) Sets forth matters which also form the basis of an appeal filed 
before the MSPB by the same complainant.
    (6) Is untimely.
    (i) The matters in a complaint must have been brought to the 
attention of an EEO counselor within 30 calendar days after the 
incident, effective date of a personnel action, or the date the 
aggrieved person became aware of reasonably should have been aware, of 
the discriminatory event of personnel action.
    (ii) Formal complaints must be filed within 15 calendar days after 
receipt of the Notice of Final Interview.
    (iii) The Activity Commander or his or her EEO officer will waive 
the time limits of this paragraph if the complainant can show either--
    (A) That he or she was not notified of the time limits and was not 
otherwise aware of them.
    (B) That he or she was prevented by circumstances beyond his or her 
control from submitting the matter within the time limits of this 
section.
    (C) The time limits of this paragraph may be waived for reasons 
deemed sufficient at the discretion of the Activity Commander or his or 
her designee.
    (D) The letter accepting the complaint will state the specific basis 
for any waiver of time limits.
    (b) The Secretary of the Army or his or her designee reserves the 
right to reject a complaint previously accepted by an EEO officer when 
making the final Army decision on the Basis of one or more of the 
grounds specified in a above.



Sec. 588.16  Acceptance and rejection of formal complaints.

    (a) As soon as the EEO officer accepts a formal complaint, he or she 
will give a copy of the EEO counselor's written report on the 
precompliant counseling to the complainant. The original report will be 
kept in the complaint file.
    (b) The EEO officer will review the complaint against the criteria 
of Sec. 588.15 and determine which allegations should be accepted or 
rejected. The EEO officer will ensure that the complainant was 
informally counseled on each matter accepted in the formal complaint.
    (1) The EEO officer may ask the complainant to give more specifics 
on allegations or meet with the EEO counselor on a matter not previously 
discussed in the precomplaint counseling.
    (2) The EEO officer may cancel a complaint for failure of the 
complainant to prosecute his or her complaint if the complainant does 
not provide the needed information to the EEO officer in the time 
specified.
    (c) The EEO officer will decide whether to accept or reject a 
complaint in whole on in part. When appropriate, the EEO officer will 
coordinate acceptance or rejection of a complaint with the labor 
counselor. The acceptance of any complaint shall always be conditioned 
upon the final decision of the Secretary of the Army or his or her 
designee in accord with Sec. 588.15(b).
    (d) The EEO officer will provide the complainant and his or her 
representative, if any, a written decision within 5 calandar days after 
the complaint is received. The decision will be either hand-delivered to 
the complainant or sent by certified mail. The complainant must 
acknowledge receipt of the decision in writing. The decision must 
specify which allegations or parts of a complaint were accepted and 
explain the grounds for any rejection or cancellation. The decision will 
also advise the complainant of the right to appeal the rejections or 
cancellations.
    (e) If a complaint has been rejected in whole or in part, the EEO 
officer will process the closure in accord with Sec. 588.69(b). The case 
file will be retained by the EEO officer for 2 years from the date of 
the final Army decision or until all administrative and judicial appeals 
are exhausted, whichever is longer.
    (f) If any part of a complaint is accepted by the EEO officer, a 
copy of the complaint will be sent directly to the appropriate USACARA 
Regional office by the EEO officer requesting the assignment of an 
investigator and citing applicable funds for payment of travel and per 
diem. As indicated in Sec. 588.17 the transmittal letter will identify 
the part(s) of the compliant which have been accepted for investigation.
    (g) Immediately upon acceptance of a formal complaint, the Activity 
Commander should designate the activity

[[Page 487]]

labor counselor as the Army representative. An ADO may not serve as an 
Army representative. At the request of the labor counselor, the Activity 
Commander may also appoint a personnel specialist or other activity 
personnel to assist the labor counselor.



Sec. 588.17  Arranging for the investigation.

    (a) Within 3 calendar days after acceptance of a formal complaint, 
the EEO officer will request the assignment of a USACARA investigator. 
(See appendix K.) A copy of the request letter without enclosures will 
be provided to the complainant, his or her representative, and the labor 
counselor. The request must contain the following information:
    (1) A clear statement of the issues that were accepted.
    (2) A statement of the parts of the complaint that were rejected.
    (3) The complainant's organization, work location, mailing address, 
and telephone numbers (both AUTOVON and commercial).
    (4) The complainant's designation of a representative, including the 
representative's work and mailing addresses and telephone numbers (both 
AUTOVON and commercial).
    (5) A fund citation for travel and per diem.
    (6) A specific point of contact within the activity EEO office.
    (7) Legible copies of the following documents:
    (i) The formal complaint.
    (ii) The EEO counselor's report.
    (iii) Any relevant documents.
    (b) The EEO officer or a designee will arrange for the 
investigator's visit. This may include--
    (1) Arranging for quarters and transportation.
    (2) Providing a private office, clerical help, and access to a 
telephone.
    (3) Making sure that all named witnesses and ADO's are readily 
available.
    (4) Giving the investigator any other administrative help needed to 
conduct an efficient investigation.
    (c) The EEO officer should provide the labor counselor with at least 
10 days advance notice of the dates, time, and location of the USACARA 
investigation.
    (d) To avoid the appearance of impropriety, no activity personnel, 
to include EEO, CPO, management, or labor personnel will express an 
opinion regarding perceived merits of a complaint, or lack thereof, with 
the USACARA investigator. However, activity personnel may disclose facts 
that would assist the USACARA investigator at any time prior to the 
completion of the investigation and receipt of the USACARA Report of 
Investigation (ROI).



Sec. 588.18  Authority assigned to the USACARA investigator.

    By designation of the Secretary of the Army, USACARA investigators 
are authorized to act as shown below.
    (a) Investigate all aspects of a complaint. This includes reviewing 
and copying all records judged by the investigator to be pertinent to 
the investigation. Classified documents may be examined only by an 
investigator who possesses the appropriate security clearance.
    (b) Require all Army personnel to copperate with the investigator in 
conducting the investigation.
    (c) Require Army personnel who have any knowledge of the matter 
complained of to furnish testimony under oath or affirmation without a 
pledge of confidence, unless this testimony would result in self-
incrimination.
    (d) Administer oaths.
    (e) Issue an ROI containing conclusions and recommendations.



Sec. 588.19  Conducting the investigation.

The investigator--
    (a) Collects facts and develops information on each accepted 
allegation in the Complaint and reviews the circumstances under which 
the discrimination is alleged to have taken place. The investigator does 
not have the authority to expand the scope of the investigation to 
include any charges of allegations that were not included in the formal 
complaint or for which precomplaint counseling was not given. The 
obligation of the investigator to collect facts and develop information 
does not lessen the responsibility of the complainant and management to 
prepare, present, and explain their positions as the disputes.

[[Page 488]]

    (b) Administers oaths and obtains statements from witnesses under 
oath or affirmation. The investigator determines the witnesses whose 
testimony is necessary to the investigation and interviews and obtains 
affidavits from only these witnesses whose testimony is necessary to the 
investigation and interviews and obtains affidavits from only these 
witnesses. Affidavits are included in the investigative file only if the 
investigator deems the testimony relevant and necessary. The 
investigator documents for the record the reason any witness identified 
by the complainant or by management was not interviewed and the reason 
evidence that was offered was not accepted.
    (c) Gives the ADO, if named or identified, full opportunity to 
review documents and respond to all allegations made against him or her 
in accord with Sec. 588.62.
    (d) Collects and analyzes information on how members of the 
complainant's group are treated compared to other employees in the 
organization where the discrimination is alleged to have occurred. This 
information may include, for instance, statistical data on promotions, 
disciplinary actions, awards, or other personnel actions.
    (e) Investigates work policies and practices relevant to the 
accepted allegations of the complaint.
    (f) Collects information needed to review the merit of mixed case 
issues that are included under Sec. 588.46.
    (g) Is independent of control by any of the parties to the 
complaint, but is entitled to the full cooperation of all parties and 
their representatives.
    (h) Sends the ROI to the EEO officer, with a copy of the report 
without attachments to the EEO officer at the next higher level of 
command within 45 days after assignment of the case. This 45-day time 
limit is purely administrative in nature. Failure to process a USACARA 
investigation within this time frame will not prevent the administrative 
processing of any complaint of discrimination. Included in the file are 
the investigator's findings and recommendations and other relevant 
documents as described in Sec. 588.76.



Sec. 588.20  Informal adjustment and offer of hearing.

    (a) The EEO officer will thoroughly review the ROI to ensure that 
the ADO was given an opportunity to respond to each allegation as 
described in Sec. 588.62(c) and that the investigation is comprehensive 
and adequately addresses all issues accepted in the complaint. The EEO 
officer may return an ROI to USACARA for further investigation if the 
ROI is inadequate. The EEO officer will specify the additional issues to 
be investigated or evidence to be gathered.
    (b) Within 5 calendar days after receipt of the USACARA ROI, the EEO 
officer will send a complete copy of the USACARA ROI to the complainant 
and his or her representative, if any, with an offer to meet and discuss 
an informal adjustment of the complaint. The ROI may be sent by 
certified mail, return receipt requested, or be personally delivered by 
an Army official. If the ROI is personally delivered, the complainant 
and the representative will acknowledge receipt in writing. If the 
complainant or the representative declines to sign a receipt, the server 
will sign and indicate to whom and when the ROI was served. The receipt 
will be filed in the complaint file.
    (c) If the complainant agrees, an adjustment meeting should be held 
within 10 calendar days after receipt of the USACARA ROI by the EEO 
officer. The Activity Commander, or a designee, should consult with the 
EEO officer, the labor counselor, and the CPO, on the proposed terms of 
the adjustment. The adjustment meeting should be accomplished by the 
least costly method while protecting the rights of the complainant. 
Adjustment meetings may be conducted by conference call or 
correspondence if the concerned parties are not readily available. The 
commander or a designee may also consult the ADO on the subject. Offers 
of settlement and the details of negotiations about settlement offers 
will not be included in the complaint file.
    (d) If a tentative settlement is reached, its proposed terms are 
coordinated by the EEO officer with the labor counselor and the CPO as 
appropriate before it is finalized. It is then signed by the complainant 
and the Activity

[[Page 489]]

Commander, or a designee, and made part of the complaint file. A copy of 
the terms of the settlement will be given to the complainant, his or her 
representative, and the ADO. (See appendix H.)
    (e) An informal adjustment may include an award of attorney fees 
and/or costs if there was a finding or admission of discrimination. (See 
Sec. 588.55 for special procedures on no-fault settlements without a 
finding or admission of discrimination.) If the parties agree on an 
adjustment of the complaint, but cannot agree on the issue of attorney 
fees and/or costs, that issue will be handled separately. The issue of 
attorney fees and costs will then be the subject of the final decision 
by the Secretary of the Army or his or her designee. (See Sec. 588.51 
for guidance.)
    (f) If the complainant does not agree to meet, or if an adjustment 
is not reached, the Activity Commander will give the complainant a 
Notice of Proposed Disposition of Discrimination Complaint with a copy 
furnished to the ADO. (See appendix I.) The notice, which must first be 
reviewed by the labor counselor for legal sufficiency, will--
    (1) Indicate the date a meeting was held to attempt adjustment or 
that the complainant refused to meet.
    (2) Notify the complainant of his or her right to a final Army 
decision with or without a hearing, and of the 15-calendar-day time 
limit to make the request. Decisions regarding attorney fees and/or 
costs will be made in accord with Secs. 588.54 and 588.55.
    (3) Contain an analysis of the case and the rationale for the 
proposed disposition.
    (4) Be issued within 20 calendar days of receipt by the EEO officer 
of the USACARA ROI.
    (g) If the complainant does not respond within 15 calendar days from 
receipt of the Notice of Proposed Disposition, the Activity Commander 
will adopt the proposed disposition as the final Army decision and 
notify the complainant accordingly, advising him or her of the right to 
appeal to the Office of Review and Appeals, Equal Employment Opportunity 
Commission, and the right to file a civil action (app B). Although 
complaint adjustments are specificially provided for in this paragraph, 
the activity should continue to be alert to the possibility of 
adjustments at any stage of the complaint process.



Sec. 588.21  MACOM review of proposed dispositions.

    When a USACARA investigator recommends a finding of discrimination 
and the Activity Commander rejects that recommendation in favor of a 
proposed disposition finding no discrimination, that proposed 
disposition (along with the complaint file) will be forwarded to the 
Activity Commander's MACOM commander for review. The MACOM review will 
be performed within 30 calendar days after the issuance of the proposed 
disposition. The MACOM commander's review of the proposed disposition 
will be made a part of the complaint file. The MACOM review will be 
performed concurrent with the processing of a complaint for a hearing in 
accord with Sec. 588.24 or as part of the processing of a complaint for 
an Army decision without a hearing in accord with Sec. 588.16.



Sec. 588.22  Failure to carry out the terms of the adjustment.

    If the activity does not carry out, or if it cancels, any action 
specified by the adjustment, for any reason not due to acts or conduct 
of the complainant, the complaint will be reinstated for further 
processing at the written request of the complainant. The complaint 
should be reinstated at the point where processing stopped. If the 
Activity Commander determines that the terms of the adjustment have been 
implemented, a decision declining to reinstate the complaint will be 
issued. Documents evidencing implementation will be attached to the 
decision with an advisement of appeal rights to the EEOC.



Sec. 588.23  Request for Army decision without a hearing.

    When the complainant, dissatisfied with the Activity Commander's 
proposed disposition asks for an Army decision without a hearing, the 
EEO officer sends the original and one copy of the complaint file the 
ERROCCRA, ATTN: SFCR, WASH, DC 20310-1813.

[[Page 490]]

(For a list of the contents of the complaint file, see Sec. 588.76. The 
EEO officer ensures that all copies of the file are complete, legible, 
and identical.



Sec. 588.24  Arranging a hearing.

    (a) When the complainant asks for a hearing, the EEO officer 
requests assignment of a complaints examiner from the EEOC District 
Office that has geographic jurisdiction over the activity where the 
hearings is to be held. (See appendix L.) The hearing will usually be 
held at the activity where the complaint if permanently assigned or has 
applied for employment. If another location is preferred, the written 
request to EEOC will specify the alternative location. However, EEOC 
will decide where a hearing is to be held. For travel funding and other 
costs, see Sec. 588.79.
    (b) The written request to EEOC will include the original complaint 
file (See Sec. 588.76). In addition, one copy of the tabbed complaint 
file will be sent to EEOCCRA.
    (c) The request to the EEOC will ask that the complaints examiner 
send the complaint file with the final report and four copies of the 
hearing transcript to the Director, EEOCCRA, ATTN: SFCR, WASH, DC 20310-
1913. When there is more than one complainant, the EEO officer will ask 
that an additional copy of the report and transcript be sent to EEOCCRA 
for each additional complainant. If the complaints examiner sends the 
report to the activity rather than to EEOCCRA, the EEO officer will 
immediately return the file to the EEOC by certified mail, return 
receipt requested, with instructions to transmit it to the Director, 
EEOCCRA, ATTN: SFCR, WASH, DC 20310-1813.
    (d) The request to the EEOC will also provide the name, title, 
address, and telephone number of the labor counselor as the Army 
representative at the hearing. A copy of the request will be given to 
the complainant.
    (e) The EEO officer will arrange for the services of a court 
reporter at the hearing. Activities may not use Army court reporters and 
should attempt to arrange for a court reporter from Navy or Air Force 
installations under an interservice support agreement. If no reporter is 
available, the activity may then contract for a court reporter through 
their contracting office using the General Services Administration (GSA) 
Federal Supply Schedule.



Sec. 588.25  The hearing.

    (a) The hearing is conducted by an EEOC complaints examiner subject 
to EEOC regulations and procedures. This paragraph is provided for 
information and general guidance and does not control the EEOC 
complaints examiner's activities.
    (b) Before scheduling the hearing, the complaints examiner reviews 
the complaint file to determine if further investigation is needed and, 
if so, asks the activity to conduct the additional investigation. If a 
complaints examiner asks an activity to conduct further investigation, 
the EEO officer will promptly forward the request to the responsible 
USACARA Regional Office with an information copy of the transmittal 
letter furnished the complainant and the complaints examiner. The 
examiner may also ask the activity to arrange for the witnesses needed 
to testify at the hearing. (See Sec. 588.70) If a prehearing adjustment 
of the complaint is reached, the original copy of the agreement will be 
forwarded immediately to the activity EEO officer who will send 
necessary closeout document to EEOCCRA.
    (c) Attendance at the hearing is limited to persons determined by 
the complaints examiner to have a direct connection with the complaint. 
The activity will make available all DA personnel called as witnesses 
for a hearing, unless the presence of a prospective witness is 
administratively impractical. The complaint examiner conducts the 
hearing to bring out pertinent facts and accept pertinent document. 
Rules of evidence are not applied strictly, but the examiner will 
exclude irrelevant or unduly repetitious evidence. Information that has 
a bearing on the complaint, including employment policies or practices 
relevant to the complaint, will be received in evidence. The 
complainant, his or her representative, if any, and the labor counselor 
at the hearing are given the opportunity to cross-examine witnesses who 
appear and testify. Testimony is given under oath or affirmation. (See

[[Page 491]]

Sec. 588.64 for the right of the ADO at the hearing.)
    (d) The hearing is recorded and transcribed verbatim. All documents 
accepted by the examiner at the hearing are made part of the record. If 
the labor counselor submits a document that is accepted, a copy of the 
document shall be furnished to the complainant. If the complainant 
submits a document that is accepted, he or she shall make the document 
available to the labor counselor for reproduction.
    (e) The complaints examiner considers all documents in the complaint 
file, including the record of the hearing, in making his or her 
findings, and analysis, and recommendation. The examiner then sends the 
complaint file to EEOCCRA with the required number of copies of the 
examiner's report and hearing transcript, and notifies the complainant 
of the date that this is done. The report may include recommended 
remedial action, if proper, regarding the matter that gave rise to the 
complaint. Also, the examiner may send EEOCCRA a separate letter 
concerning conditions in the activity that do not have a direct bearing 
on the complaint.



Sec. 588.26  Final Army decision.

    (a) The Director of EEO or another person designated by the 
Secretary of the Army makes the final decision, in writing, for the 
Army. The decision, based on information in the complaint file, is sent 
to the complainant and his or her representative, if any, by certified 
mail, return receipt requested. Copies are sent to the MACOM and 
activity EEO officer. The decision may also be personally delivered to 
the complainant and the representative by an Army official. If so, the 
complainant and the representative acknowledge receipt by signing and 
dating the official copy, and the server signs it and indicates on the 
copy to whom and when the decision was served. The receipt or the signed 
copy is filed in the complaint file.
    (b) If a hearing was not held, the decision will specify the reasons 
for the decision and any remedial action to be taken.
    (c) If a hearing was conducted, the complainant and the activity 
will receive a copy of the findings, analysis, and recommendations of 
the complaints examiner with a copy of the hearing record. The final 
Army decision may adopt, reject, or modify the decision recommended by 
the complaints examiner. If the examiner has recommended a finding of 
discrimination and if the final Army decision letter will give the 
specific reasons for the rejection or modification. A complaints 
examiner's recommended finding of discrimination will become final and 
binding on the Army if 180 calendar days have elapsed since the 
complaint was filed and the Army has not issued a final decision 
concerning the recommendation within 30 calendar days after its receipt.
    (d) The Army decision will require any remedial action authorized by 
law that is judged to be necessary or desirable to resolve issues of 
discrimination and to promote EEO policy.
    (e) If discrimination of reprisal is found and there is an attorney 
of record, the Army decision will advise the complainant and his or her 
representative that attorney fees and/or costs maybe awarded and that 
any request for this award must be documented and filed within 20 
calendar days after receiving the notice. Where the Army determines not 
to award attorney fees and/or costs to a prevailing complainant 
represented by an attorney, the decision will state the specific reasons 
for denying the award. Attorney fees and/or costs are not authorized in 
age discrimination complaints.
    (f) The Army decision will inform the complainant of the right to 
appeal the decision to the EEOC, of the right to file a civil action, 
and of the applicable time limits. (For appeal and civil action 
procedures, see Sec. 588.57.)
    (g) Section 588.65 of this regulation addresses the rights of the 
ADO when a final decision is made.



Sec. 588.27  Avoiding delays.

    (a) Complainants and management officials must not only comply with 
the time limits specified in this section and Army directives, they 
should also process a complaint without delay so that it may be resolved 
within 180 days after the formal complaint is filed. This includes the 
time spent by the

[[Page 492]]

complaint examiner in processing the complaint. In mixed cases covered 
by Sec. 588.42, the Army decision should be given within 120 days.
    (b) If the activity has not issued a decision and has not asked for 
a complaints examiner within 75 calendar days from the date a formal 
complaint was filed, the EEOC may require the Army to take steps to make 
sure the complaint is processed promptly. Alternatively, the EEOC may 
assume the complaint's processing. This assumption may include an EEOC 
investigation that will be paid for by the activity.



Sec. 588.28  Canceling a complaint.

    (a) If a complainant fails to prosecute the complaint prior to the 
issuance of the USACARA ROI, the EEO officer will notify the complainant 
of the possibility of cancellation if the complainant does not proceed 
within a specified time period. If the complaint is canceled, the EEO 
officer will notify the complainant, in writing, of the cancellation, 
and of his or her right to appeal to the EEOC or to file a civil action. 
The notice will also give the time limits for filing an appeal or civil 
action.
    (b) If the complainant fails to prosecute the complaint and it has 
been investigated by USACARA, the EEO officer should send the file to 
EEOCCRA and request that the Secretary of the Army or his or her 
designee issue a final decision.



Sec. 588.29  Consolidation of complaints.

    (a) Two or more complaints of discrimination filed by different Army 
employees, former employees, or applicants for employment, making 
substantially similar allegations of discrimination, may, with written 
permission of the complainants, be consolidated for processing by any of 
the following individuals:
    (1) EEO officer.
    (2) Activity Commander.
    (3) USACARA investigator.
    (4) EEOC complaints examiner.
    (b) Two or more complaints of discrimination from the same employee 
or applicant may, at the discretions of the EEO officer, Activity 
Commander, USACARA investigator, or EEOC complaints examiner, be joined 
for processing after notifying the individual that his or her complaints 
will be processed jointly.



Sec. 588.30  The complaint file.

    The complaint file will be indexed and tabbed in reverse 
chronological order and will contain legible copies of the documents 
listed in Sec. 588.76.



              Subpart C--Class Complaints of Discrimination



Sec. 588.31  General guidance.

    (a) An employee or applicant who wishes to be an agent for a class 
and who believes the class has been discriminated against because of 
race, color, religion, sex, national origin, physical or mental 
handicap, age, and/or reprisal in an employment matter controlled by the 
Army, may file a class complaint of discrimination. An agent must be a 
member of the class and must allege that he or she has been personally 
harmed by a personnel policy or practice that the Army has the authority 
to change or eliminate.
    (b) EEO personnel trained in handling class complaints serve as the 
counselors for class complaints.
    (c) Agents of the class should be thoroughly familiar with the 
criteria in Sec. 588.33 before they file a class complaint.
    (d) The summarized step-by-step procedure in appendix B, and the 
flow chart at appendix J may be reproduced locally and used as a 
handout.



Sec. 588.32  Precomplaint processing.

    (a) An employee or applicant for employment who wishes to be an 
agent in a class complaint must consult with the responsible activity's 
designated EEO counselor for class complaints. Contact must be made 
within 90 calendar days from one of the following dates:
    (1) The date of the matter giving rise to the allegation of 
individual discrimination.
    (2) The effective date of a personnel action.
    (3) The date that the aggrieved person became aware, or reasonably 
should have become aware.

[[Page 493]]

    (b) The counselor should advise all aggrieved persons orally and in 
writing of the following:
    (1) The discrimination complaint procedures.
    (2) The criteria for the acceptance of class complaints.
    (3) The aggrieved person's right to anonymity during the 
precomplaint process unless disclosure is authorized by the aggrieved 
person or a formal complaint is filed.
    (4) The aggrieved person's right to anonymity during the 
precomplaint process unless disclosure is authorized by the aggrieved 
person or a formal complaint is filed.
    (c) EEO counselor duties. The EEO counselor will--
    (1) Make whatever inquiry is necessary to clarify and define the 
issues.
    (2) Counsel the aggrieved person concerning the issues involved.
    (3) Inform the EEO officer and the CPO and other affected officials 
when corrective action is believed necessary.
    (4) Attempt informal resolution through discussions with appropriate 
officials of the responsible activity. When involved in such 
discussions, the counselor may seek advice from the servicing legal 
office.
    (5) Keep records of all counseling activities.
    (6) Summarize in writing actions and advice given, if any, 
concerning the issues in the personnel management policy or practice.
    (7) Provide sufficient information to the EEO officer so that he or 
she may notify by electrical transmission the Director of EEOCCRA 
(EEOCCRA/SFCR/WASH DC 20310-1813) and OTJAG (DAJA/LTC/WASH DC 20310-
2210) within 5 calendar days after the start of precomplaint processing. 
The information provided must identify precisely all matters raised in 
the complaint. The right of anonymity during the precomplaint processing 
will be observed unless disclosure is authorized by the class agent. If 
possible, the counselor should reach a mutual agreement with the class 
agent and his or her representative, if any, as to the specific issues 
to be considered. This agreement will be in writing and signed by the 
parties concerned with a copy provided to the complainant and his or her 
representative. Information provided to the Director, EEOCCRA, will 
identify precisely all matters raised in the complaint, except that 
anonymity during the precomplaint processing will be observed unless 
disclosure is authorized by the class agent.
    (8) Conduct the final interview and terminate counseling with the 
class agent not later than 30 calendar days after the date on which the 
allegation was first called to the counselor's attention. This interview 
will take place whether or not the matter has been resolved. At this 
final interview, the counselor informs the aggrieved person in writing 
that--
    (i) Counseling is over.
    (ii) The class agent has the right to file a formal class complaint 
of discrimination within the next 15 days.
    (iii) The class agent must immediately inform the EEO officer if he 
or she hires legal or other representation.
    (iv) A formal complaint must specifically describe the acts of 
alleged discrimination.
    (v) Only matters discussed with the EEO counselor will be considered 
in a formal complaint.
    (9) Avoid influencing the class agent in any way regarding the 
filing of a class complaint.
    (10) Not reveal the identity of the class agent during the 
precomplaint processing stage, except when authorized to do so by the 
class agent.
    (11) Prepare and submit a counselor's report to the activity EEO 
officer within 5 calendar days after the final interview.



Sec. 588.33  Filing a formal class complaint.

    (a) The complaint must be filed in writing by the class agent or a 
representative and be signed by the class agent.
    (b) It must described specifically the policy of practice that gave 
rise to the complaint and the resultant personnel action or matter that 
harmed the class agent.
    (c) It must be filed no later than 15 calendar days after the class 
agent has received the notice of final interview from the EEO counselor. 
For that purpose, the date a complaint is filed is

[[Page 494]]

the date of the postmark, or, if no postmark, the date the complaint is 
received by one of the officials listed in d below.
    (d) Persons to whom class complaints may be submitted.
    (1) A formal class complaint may be filed with any of the following:
    (i) The responsible activity EEO officer.
    (ii) The director of EEO.
    (iii) The Secretary of the Army.
    (2) EEO activity publications and the EEO counselor will request the 
class agent to submit a copy of his or her class complaint to the 
responsible activity EEO officer in every case. Any of the officials 
listed above will immediately transmit the complaint by the fastest 
means possible to the responsible activity EEO officer, indicating the 
date of receipt of the complaint if it is not postmarked.
    (e) At all stages, in the preparation and presentation of a 
complaint, the class agent will have the right to be represented, 
accompanied, and advised by a representative of his or her own choosing, 
provided the choice does not involve a conflict of interest or position. 
The designation of the representative must be made in writing and made 
part of the class complaint file.
    (f) If the agent is employed by the army, he or she will have a 
reasonable amount of official time to prepare and present his or her 
complaint. Employees who represent fellow Army employees in 
discrimination complaint cases must be permitted to use a reasonable 
amount of official time to carry out that responsibility, whenever it is 
not inconsistent with the performance of their duties. (See 
Sec. 588.71(d).) Army employees who represent non-Army employees in a 
complaint will be granted, at their request, a reasonable amount of 
annual leave or leave without pay for this purpose.
    (g) Upon receipt of the class complaint, the responsible EEO officer 
will immediately send a copy of the complaint to EEOCCRA (EEOCCRA/SFCR/
WASH DC 20310-1813) and OTJAG (DAJA/LTC/WASH DC 20310-2210). Receipt of 
the complaint will be acknowledged, in writing, by EEOCCRA. The 
acknowledgement will contain a docket number assigned to the case which 
will be used in processing the class complaint.



Sec. 588.34  Designating the Army representative.

    The activity labor counselor should be designated by the Activity 
Commander as the Army representative. At the request of the labor 
counselor, the Activity Commander may also appoint a personnel 
specialist or other activity personnel to assist the labor counselor.



Sec. 588.35  Criteria for acceptance.

    A class complaint or any part of it may be accepted unless it 
contains one or more of the following:
    (a) Refers to a situation over which the Army has no jurisdiction.
    (b) Is not based on the class or agent's race, color, religion, sex, 
age, national origin, physical or mental handicap, and/or reprisal. 
Complaints of discrimination because of age are accepted only if the 
class agent and the class were at least 40 years of age when the action 
occurred.
    (c) Consists of allegations identical to those made in a previous 
class complaint, filed for the same class, that is pending or has been 
resolved by the Army or other proper authority.
    (d) Is untimely.
    (1) Class complaints must be brought to the attention of an EEO 
counselor within 90 calendar days after the incident, effective date of 
a personnel action, or the date that the aggrieved person became aware, 
of the discriminatory event or personnel action.
    (2) Formal class complaints must be filed within 15 calendar days 
after the date of the final interview with the EEO counselor.
    (e) Lacks specificity and detail.
    (f) Was no filed in writing or was not signed by the class agent.
    (g) Designates a class that is small enough that a consolidated 
complaint of the members of the class would be practical. (See 
Sec. 588.29.)
    (h) Alleges no questions of fact common to the class.
    (i) Asserts claims of the class agent that are not typical of the 
claims of the class.
    (j) Specifies a class agent or representative that will not protect 
the

[[Page 495]]

interests of the class fairly and adequately.



Sec. 588.36  Acceptance, rejection, or cancellation of the formal complaint.

    (a) The activity EEO officer will review the class complaint, along 
with the EEO counselor's report and all other available evidence 
relevant to the acceptance of the class status of the complaint as 
specified in Sec. 588.35. The EEO officer should coordinate with the 
servicing legal office and CPO for their comments to the EEOC complaints 
examiner on accord with b(4) below.
    (b) The EEO officer must forward the following items to the EEOC 
district officer having geographic jurisdiction over the activity 
(appendix M.) within 10 calendar days after receipt of the class 
complaint.
    (1) The Class complaint.
    (2) The EEO counselor's report.
    (3) Any other information that may help the EEOC complaints examiner 
determine whether the complaint meets the criteria for acceptance 
specified in Sec. 588.35.
    (4) Any brief prepared by the labor counselor regarding the 
acceptability of the class status of the complaint. At the request of 
the labor counselor, a personnel specialist may be appointed to assist 
the labor counselor in the preparation of the brief.
    (5) A written instruction that the EEOC complaints examiner send the 
recommended decision on acceptance, rejection, or cancellation of the 
class complaint directly to EEOCCRA, ATTN: SFCR, WASH DC 20310-1813.
    (c) If an allegation is not included in the EEO counselor's report, 
the EEOC complaints examiner gives the class agent 15 calendar days to 
explain whether it was discussed and, if not, the reason it was not 
discussed. If the explanation is not satisfactory, the complaints 
examiner may recommend that the Army reject the allegation. If the 
explanation is satisfactory, the complaints examiner may refer the 
allegation back to the EEO counselor for further counseling of the 
agent.
    (d) If an allegation is not specific and lacks detail, the 
complaints examiner gives the agent 15 calendar days to correct it. If 
the agent does not give the required information within that time, the 
complaints examiner may recommend that the Army reject the complaint. If 
the information given makes new allegations outside the scope of the 
complaint, the examiner advises the agent to file and individual or 
class complaint based on these allegations.
    (e) The complaints examiner may recommend that the Army extend the 
time limits for filing a complaint and for consulting with an EEO 
counselor. This may be done when the agent or the representative 
establishes either of the following:
    (1) The class agent was not notified of the prescribed time limits 
and was not otherwise aware of them.
    (2) The class agent was prevented by circumstances beyond his or her 
control from acting within the time limits.
    (f) The complaints examiner may recommend that the Army cancel a 
complaint if the agent fails to prosecute the complaint. This action may 
be taken when the agent fails to respond, within 15 calendar days, to a 
written request from the complaints examiner to give information or 
proceed with the complaint. No complaint may be canceled unless the 
class agent is first notified, in writing, that failure to proceed 
within a specified time may result in cancellation of the class 
complaint.
    (g) When requesting information under d or e above, the complaints 
examiner informs the class agent that the complaint may be rejected if 
the information is not provided.
    (h) The complaints examiner's written recommendation to accept, 
reject, or cancel a class complaint is sent to the Director, EEOCCRA, 
the class agent, and the agent's representative.
    (i) Upon receiving the complaint examiner's recommendation, the 
EEOCCRA reviews the recommendations and the case file. The EEOCCRA 
recommends to the Secretary of the Army or his or her designee whether 
to accept, reject, or cancel the class complaint.
    (j) The Secretary of the Army or his or her designee will notify the 
class agent, the agent's representative and the complaints examiner of 
the Army decision, and will send a copy of the

[[Page 496]]

notice to the MACOM and activity EEO officer.
    (k) The notice of decision to reject or cancel must inform the class 
agent of all of the following:
    (1) The right to proceed with an individual complaint of 
discrimination.
    (2) The right to appeal the Army decision to the EEOC Office of 
Review and Appeals.
    (3) The right to file a civil action. In age discrimination 
complaints, the agent must appeal a rejection or cancellation to the 
EEOC before he or she may file a civil action.
    (l) The complaint examiner's recommendation to accept, reject, or 
cancel the complaint becomes the Army decision unless it is accepted, 
modified, or rejected by the Secretary of the Army or his or her 
designee within 10 calendar days after its receipt.
    (m) Acceptance of a class complaint by the Secretary of the Army or 
his or her designee for purposes of administrative processing under this 
regulation is not an admission of class status within the meaning of 
Rule 23 of the Federal Rules of Civil Procedure for purposes of 
litigation within a Federal District Court.



Sec. 588.37  Notification and opting out.

    (a) Upon notification of acceptance of a class complaint, the 
activity EEO officer will immediately make reasonable efforts to notify 
all class members of the existence of a class complaint. The notice will 
advise class members of their right to remove themselves from the class 
by notifying the Army within 30 calendar days after the notice is 
issued. The EEO officer will determine the reasonable means such as 
delivery, mailing distribution, or posting, for notifying the class 
members.
    (b) The notice will contain the following:
    (1) The name of the agency or organizational segment, its location, 
and the date the class complaint was accepted by the Army.
    (2) A description of the issues accepted in the class complaint.
    (3) An explanation that class members may remove themselves from the 
class by notifying the activity EEO officer within 30 calendar days 
after the issuance of the notice.
    (4) An explanation of the binding nature of the final decision on 
the formal class complaint.



Sec. 588.38  Avoiding delay.

    A class complaint must be processed promptly. All parties will 
proceed with the complaint without delay so that the time limits imposed 
by the complaints examiner will be met and the complaint will be 
processed within 180 calendar days after filing.



Sec. 588.39  Developing evidence.

    (a) The complaints examiner gives the labor counselor and the class 
agent and his or her representative, if any, 60 calendar days to prepare 
their cases and develop the evidence based on EEOC regulations. The 
complaints examiner may extend this time if requested by either party.
    (b) During the time allowed to develop the evidence, the complaints 
examiner may, at his or her discretion, direct that an investigator 
trained or certified by the EEOC, investigate facts relevant to the 
class complaint or to any portion of it. In this event, the labor 
counselor will immediately notify the EEO officer who will request, in 
writing, within 3 days of receipt of the examiner's directive, the 
assignment of an investigator by the appropriate USACARA Regional Office 
citing applicable funds for travel and per diem.
    (c) Both parties will give the examiner all materials that they wish 
examined and other material the examiner may request.



Sec. 588.40  Resolution of the complaint.

    (a) The complaints examiner gives the class agent, or his or her 
representative, and the labor counselor a copy of all materials 
obtained. Also, the examiner provides an opportunity for the class agent 
to discuss these materials with the labor counselor and to try to 
resolve the complaint.
    (b) Though an opportunity to resolve the complaint is specifically 
provided at this stage, both parties may agree to resolution at any time 
after the complaint has been accepted.
    (c) If the complaint is resolved, the terms of the resolution will 
be put in writing and signed by the class agent

[[Page 497]]

and the Activity Commander, after coordination with the EEO officer, the 
labor counselor, and the CPO. A written resolution may include a finding 
on the issue of discrimination and an award of attorney fees and/or 
costs. It must also include any corrective action agreed on. The 
corrective action must be consistent with the law, executive orders, 
negotiated agreements, and Federal regulations, rules, and instructions. 
A copy of the signed resolution will be given to the class agent.
    (d) Notice of the resolution will be given to all class members in 
the same way as the notification of the acceptance of the class 
complaint. This notice will state the terms of the corrective action, if 
any, to be granted by the Army. A resolution binds all members of the 
class, except those who have properly removed themselves.
    (e) If the Army does not carry out, or rescind, any action specified 
by the resolution, for reasons not due to acts or conduct of the class 
agent, the representative, or class members, it will reinstate the 
complaint for processing at the class agent's written request. The 
complaint should be reinstated at the point where processing stopped. 
The agent may appeal to the EEOC Office of Review and Appeals the Army's 
failure to reinstate the complaint.



Sec. 588.41  Procedures for the hearing.

    (a) At the end of the period allowed to prepare the case, the 
complaints examiner will set a date for a hearing. Witnesses and 
representatives at the hearing are authorized as provided for a subpart 
H. Only persons directly connected to the complaint (as determined by 
the examiner) may attend the hearing.
    (b) The complaints examiner will conduct the hearing and give an 
opportunity to the parties to introduce evidence and to cross-examine 
witnesses. Testimony will be under oath or affirmation. Rules of 
evidence are not applied strictly, but the complaints examiner may 
exclude irrelevant or unduly repetitious evidence. The examiner may also 
exclude any person from the hearing for conduct that obstructs the 
hearing.
    (c) The hearing is recorded verbatim and the transcript is made a 
part of the record. The complaints examiner sends to EEOCCRA the record 
of the hearing, the report of findings, and a recommended decision on 
the complaint. This decision includes corrective action where 
appropriate. The examiner notifies the class agent of the date the 
report of findings and recommendations was sent to the EEOCCRA.



Sec. 588.42  Final Army decision.

    (a) Within 30 calendar days after the Army receives the examiner's 
report, the Secretary of the Army or his or her designee must issue a 
written decision to accept, reject, or modify the findings and 
recommendations of the examiner.
    (b) The decision is sent to the class agent and to his or her 
representative, with a copy of the transcript of the hearing and of the 
findings and recommendations of the examiner.
    (c) If the Army decision is to reject or modify the findings and 
recommendations of the complaints examiner, the decision must state, in 
detail, the specific reasons for the Army action.
    (d) If the Army has not issued a decision within 30 calendar days 
after receiving the examiner's report, the findings and recommendations 
of the examiner will become the final Army decision. This decision and 
the record of the hearing must then be sent by EEOCCRA to the class 
agent or his or her representative. A copy of the final Army decision 
will be sent to the MACOM, the Activity Commander, and to the activity 
EEO officer.
    (e) Within 10 calendar days of the transmittal of the final Army 
decision to the class agent, the EEO officer will notify all members of 
the class of the final Army decision by the same means used to notify 
the class of the existence of the class complaint. (See Sec. 508.31(a))
    (f) The final Army decision will direct any remedial action 
authorized by law determined to be necessary or desirable to resolve the 
issue of discrimination and to promote the policy of equal employment 
opportunity. When discrimination is found, the notice of decision will--
    (1) Advise the class agent and his or her representative, if any, 
the attorney fees and/or costs may be awarded. The

[[Page 498]]

payment of attorney fees and/or costs is not authorized in 
administrative complaints of age discrimination.
    (2) State that a request for such award must be filed within 20 
calendar days after receipt.
    (3) List the documents that must be sent with the request. (See 
Sec. 588.54.)
    (g) The notice of decision must inform the class agent and his or 
her representative, if any, of the right to appeal the Army decision to 
the EEO Office of Revenue and Appeals, of the right to file a civil 
action, and of the applicable time limits. (For details on appeals and 
civil actions, see subpart F.)
    (h) A final Army decision on a class complaint filed under this 
regulation is binding on the Army and all members of the class, except 
those who have properly removed themselves from the class.



Sec. 588.43  Corrective action.

    (a) If discrimination is found, the Army must eliminate or change 
the personnel policy or practice that gave rise to the complaint, so 
that the policy or practice will no longer cause such discrimination. 
Also, the Army must provide individual remedial action to the class 
agent including an award of attorney fees and/or costs, as appropriate, 
as provided in subpart E. (The Army must fulfill obligations to consult 
or negotiate with the unions that have exlusive recognition before doing 
away with or changing personnel policies or practices.)
    (b) If discrimination is found and a class member believes that, but 
for that discrimination, he or she would have been given employment or 
an employment benefit, the class member may file a written claim within 
30 calendar days with any of the persons listed below. The claim will be 
filed within 30 calendar days after the notification.
    (1) The activity EEO officer.
    (2) The director of EEOCCRA.
    (3) The director of EEO for the Army.
    (4) The Secretary of the Army.
    (c) The claim must include details showing that the claimant is a 
class member who was affected by a personnel action or matter resulting 
from the discriminatory policy or practice within no more than 135 
calendar days before the class complaint was filed.
    (d) The Army will try in good faith to resolve the claim within 60 
calendar days of receipt. If the Army and the claimant do not agree that 
the claimant is a member of the class or do not agree on the relief to 
which the claimant is entitled, the Army will refer the claim, with its 
recommendations, to the complaints examiner
    (e) The complaints examiner will notify the claimant of the right to 
a hearing on the claim and will give the parties to the claim an 
opportunity to submit evidence and representations on the claim. If a 
hearing is requested, it will be conducted in accord with Sec. 588.25. 
If a hearing is not requested, the complaints examiner, at his or her 
discretion, may hold a hearing to obtain the necessary evidence on the 
claim.
    (f) The complaints examiner will issue a report of findings and 
recommendations on the claim to the Director, EEOCCRA. The Army will 
issue a final decision within 30 calendar days of receipt of the 
examiner's report. If a decision is not issued within 30 calendar days, 
the examiner's findings and recommendations will become the final 
decision.
    (g) If the complaints examiner determines that the claimant is not a 
member of the class or that the claim was not filed in a timely manner, 
he or she will recommend rejection of the claim and give notice of this 
action to the Army, the claimant, and the claimant's representative. The 
notice will inform the claimant of the right to appeal to the EEOC 
Office of Review and Appeals or to file a civil action in accord with 
subpart F.



Sec. 588.44  The complaint file.

    The complaint file will be indexed and tabbed in reverse 
chronological order and will contain legible copies of the documents 
listed in Sec. 588.76.



                   Subpart D--Miscellaneous Complaints



Sec. 588.45  Reprisal.

    A complainant, his or her representative, a witness, or an EEO 
official may allege restraint, interference, coercion,

[[Page 499]]

discrimination, or reprisal at any stage in the presentation or 
processing of a complaint of discrimination. An allegation of reprisal 
may be processed under this regulation, a negotiated grievance procedure 
where applicable, or the appellate provisions of the MSPB (mixed case).



Sec. 588.46  Mixed cases.

    (a) A mixed case complaint is either--
    (1) A complaint of employment discrimination or reprisal filed under 
this regulation, related to or stemming from an action taken by the Army 
against the complainant, which action may be appealed to the MSPB 
pursuant to any law, rule, or regulation.
    (2) A complaint of sex-based wage discrimination filed with the 
EEOC, related to or stemming from an action taken by the Army against a 
complainant, which may be appealed to the MSPB, pursuant to any law, 
rule, or regulation.
    (b) Examples of action appealable to the MSPB are removals, 
suspensions for more than 14 days, reductions in grade (demotion), 
reductions in force, denials of within-grade increases, and furloughs 
for 30 days or less.
    (c) Mixed case appeals. (1) A mixed case appeal is an appeal filed 
with the MSPB which alleges that an Army action resulted, in whole or in 
part, because of discrimination on the basis of race, color, religion, 
sex, national origin, mental or physical handicap, age, and/or reprisal, 
or alleges that such Army action resulted in sex-based wage 
discrimination.
    (2) If an employee files an appeal with the MSPB on a mixed case, 
before filing a formal complaint of discrimination with the Army, the 
Army activity must reject or cancel any complaint on the same matter, 
regardless of whether the allegation of discrimination is raised in the 
appeal to the MSPB. Upon such rejection or cancellation, the Army 
activity must advise the employee to raise the allegation of 
discrimination in connection with his or her appeal to the MSPB. If the 
employee first files a formal complaint with the Army under this 
regulation, before filing an appeal on the same matter to MSPB, the Army 
must advise the MSPB and request that it dismiss the appeal without 
prejudice. The Army, thereafter, shall process the complaint in a manner 
similar to any other complaint, except that there will be no hearing 
before the EEOC and the complaint's appeal rights will be to the MSPB, 
not to the EEOC.
    (d) Election. A mixed case complaint may be presented initially as a 
discrimination complaint under this regulation or under a negotiated 
grievance procedure, if applicable, or as part of an appeal to the MSPB 
as set forth in FPM Supplement 990-1, MSPB regulations, or part 1201, 
title 5, Code of Federal Regulations (5 CFR part 1201). Employees who 
wish to appeal must choose the system under which they wish to proceed. 
Whichever formal action the employee files first is considered an 
election to proceed in that forum as to the alleged discrimination. The 
Army will inform every employee who is the subject of an action which is 
appealable to the MSPB, of the right to file a mixed case complaint with 
the Army, or to file a mixed case appeal with MSPB if the employee has 
raised the issue of discrimination during the processing of the 
personnel action but prior to the decision to effect that personnel 
action.
    (e) Timely processing. A mixed case complaint will be processed in a 
timely manner, so that the final Army decision is issued within 120 
calendar days from the date the complaint was filed.
    (f) Processing complaints on proposals. (1) Any complaint filed in 
connection with an Army proposal to take an action that is appealable to 
the MSPB will be consolidated with any subsequent mixed case complaint 
filed in connection with the Army's decision to take such an action, 
either as proposed or as modified during the processing of the proposal.
    (2) If, following a complaint on a proposal, the complainant files 
an appeal with the MSPB on the subsequent Army decision resulting from 
that proposal, the EEO officer will cancel the complaint on the 
proposal. The complainant will be advised by the EEO officer that any 
allegations of discrimination contained in that complaint should be 
raised with the MSPB in connection with the pending appeal.

[[Page 500]]

    (3) When a complaint concerning a proposal to take an action 
appealable to the MSPB is combined with a mixed case complaint 
concerning an Army decision appealable to the MSPB, the 120-calendar-day 
time frame for processing the consolidated complaint begins as of the 
date the complaint concerning the Army decision is filed.
    (4) When a complaint is filed on a proposal, and no appeal or 
complaint is filed with the NSPB or the Army on the subsequent 
appealable Army decision resulting from that proposal, the complaint on 
the proposal will include the final appealable Army decision as an 
issue. The 120-calendar-day timeframe will begin as of the effective 
date of the final appealable decision.
    (g) Mixed case advise. Sample language advising complainants of 
their rights under mixed case procedures is at appendix D. In age 
discrimination complaints, a complainant must appeal the Army decision 
to the EEOC or MSPB before filing a civil action in a Federal District 
Court.



Sec. 588.47  Negotiated grievance procedure.

    A complainant who is covered by a collective bargaining agreement 
may file allegations of discrimination or reprisal under the negotiated 
grievance procedure instead of filing under this regulation. The 
complainant has this grievance option if the negotiated grievance 
procedure does not exclude allegations of discrimination or reprisal. 
When using the negotiated grievance procedure, a complainant is bound by 
the negotiated agreement.



Sec. 588.48  Election of forum.

    (a) In a mixed case, the complainant may initially choose either the 
individual complaint procedure as described in subpart B of this 
regulation, appeal the the MSPB, or use the negotiated grievance 
procedure. The rules for choosing the procedure are not the same in all 
situations. An election will have been made when the following action 
occur:
    (1) An MSPB appeal will not be accepted if a timely discrimination 
complaint or a grievance under the negotiated procedure has been filed 
in writing.
    (2) A discrimination complaint will not be accepted if a timely 
appeal to the MSPB or a timely grievance under the negotiated procedure 
has been filed in writing.
    (3) A grievance under the negotiated procedure will not be accepted 
if a timely appeal to the MSPB has been filed in writing or if the 
complainant has initiated timely action under subpart B of this 
regulation. If the negotiated grievance procedure is used, the employee 
may ask the MSPB to review the final decision made under the negotiated 
procedure. (See Sec. 588.49.)
    (b) In a matter involving discrimination covered by the negotiated 
grievance procedure, but not appealable to the MSPB, the complainant may 
choose either the complaint procedure as described in subpart B or use 
the negotiated grievance procedure.
    (1) The choice is made when a timely grievance is filed in writing 
under a negotiated procedure or when the employee files a formal 
complaint under subpart B.
    (2) An employee who chooses the negotiated grievance procedure may 
ask the EEOC to review the final decision made under that negotiated 
procedure. (See Sec. 588.49.)



Sec. 588.49  Final decision under the negotiated grievance procedure.

    For seeking review by the EEOC or the MSPB, a final decision under 
the negotiated grievance procedure is defined as one of the following:
    (a) The final grievance decision rendered by the activity, if the 
union fails to invoke arbitration of the grievance (an employee cannot 
individually invoke arbitration.)
    (b) The award rendered by an arbitrator, if neither the union nor 
management files an exception to the award with the Federal Labor 
Relations Authority (FLRA) (an employee cannot individually appeal an 
arbitration award to the Authority) or an arbitrator's award that cannot 
be appealed to the FLRA.
    (c) The decision of the FLRA on appeal of an arbitration award.

[[Page 501]]



Sec. 588.50  General allegations of discrimination.

    General allegations of discrimination made by persons and special 
interest organizations, that are not within the scope of individual or 
class complaints, will be promptly answered by the Activity Commander or 
a designee. A copy of the response to the general allegation will be 
sent to the MACOM EEO officer and the Director of EEOCCRA.



                       Subpart E--Remedial Actions



Sec. 588.51  General guidance.

    (a) Upon a finding of discrimination, a complainant is entitled to 
remedial action that makes him or her whole unless the record 
establishes by clear and convincing evidence that the action complained 
of would have occurred even absent the identified discrimination. The 
aim of remedial action is to ``make the complainant whole'' or, to place 
the complainant in the situation he or she would be in if there had been 
no discrimination. Attorney fees and/or costs may also be awarded as 
outlined in Sec. 588.54. Remedial action may include--
    (1) Retroactive appointment or promotion with back pay.
    (2) An opportunity for the complainant to have the benefit that had 
been denied, such as training, overtime scheduling, detailing, or other 
employment benefits.
    (3) Cancellation of an unwarranted personnel action and expunction 
from the Army's records of any reference to, or any record of, an 
unwarranted disciplinary action that is not a personnel action.
    (b) Corrective action may also be taken to change or eliminate 
personnel policies or practices and to take disciplinary action against 
ADOs. Disciplinary action against an ADO is not a personal remedy that 
may be requested by a complainant. It is, therefore, not an issue for 
decision in a hearing or inquiry and is not to be specified in a 
decision on the complaint.
    (c) The Army may also resolve complaints informally and award back 
pay and other remedial relief including attorney fees and/or costs 
without a finding of discrimination. The monetary award in such 
settlements, however, may not exceed the maximum backpay or other amount 
that would be recoverable under this regulation if a finding of 
discrimination had been made. The requirements of Secs. 588.20(d), 
588.20(e), 588.55 apply to such settlements.



Sec. 588.52  Remedial action involving an applicant.

    Upon a finding of discrimination, the Army will offer the applicant 
the position denied him or her or employment of the type and grade 
denied him or her, unless the record contains clear and convincing 
evidence that the applicant would not have been hired even without 
discrimination. The remedial relief available to the applicant will 
conform to the following guidance:
    (a) The offer is made in writing, giving the applicant 15 calendar 
days from receipt to accept or decline the offer. Failure to notify the 
Army of a decision within the 15-day period will be considered a 
declination of the offer, unless the applicant can show that 
circumstances beyond his or her control did not permit responding within 
the time limit.
    (1) If the offer is accepted, the appointment is retroactive to the 
date the applicant would have been hired, subject to the limitation in b 
below. Back pay is awarded from the beginning of the retroactive period, 
subject to the same limitation, until the date the person actually 
enters on duty. The applicant is deemed to have worked for the Army 
during the (retroactive) period for all purposes except for meeting 
service requirements for completion of a probationary or trail period as 
required.
    (2) If the offer is declined, the Army awards the applicant a sum 
equal to the back pay he or she would have received. Back pay will be 
computed from the date he or she would have been appointed until the 
date the offer was made, subject to the limitation of b below. The Army 
informs the applicant, in its offer, of his or her right to this award 
if the offer of employment is declined.
    (b) Back pay may not accrue from a date earlier than 2 years before 
the date the complaint was initially filed by the applicant.

[[Page 502]]

    (c) If the Army or a Federal Court finds that discrimination existed 
at the time the applicant was considered for employment, but also finds 
clear and convincing evidence that the applicant would not have been 
hired even without discrimination, the Army will consider the applicant 
for any existing vacancy of the type and grade for which he or she was 
considered initially and is qualified, before considering other 
candidates. If the applicant is not selected, the reasons for 
nonselection are recorded and made a part of the complaint file. If 
there is no vacancy, the Army gives the applicant priority consideration 
for the next vacancy for which he or she is qualified. This will take 
precedence over other priorities.



Sec. 588.53  Remedial action involving an employee.

    Upon a finding of discrimination, the Army will take remedial 
actions that may include one or more of the following:
    (a) Retroactive promotion. A retroactive promotion or assignment 
with back pay to the position denied the employee or an equivalent 
position may be provided as a remedy unless the record contains clear 
and convincing evidence that the employee would not have been promoted 
or employed at a higher grade even without discrimination. The back pay 
liability may not accrue from a date earlier than 2 years before the 
date the discrimination complaint was filed; however, in no case will 
the back pay liability accrue from a date before the earliest date the 
complainant could have been promoted.
    (b) Priority consideration. A first consideration action (in 
connection with an initial hire, reassignment, or promotion) before 
other applicants or candidates are considered.
    (c) Cancellation. Cancellation of an unwarranted personnel action 
and restoration of the employee.
    (d) Deletion. The deletion from Army records of any reference to, or 
any record of, an unwarranted disciplinary action.
    (e) Participation. Full opportunity to participate in the benefit 
denied complainant (for example, training or preferential work 
assignments).



Sec. 588.54  Award of attorney fees and/or costs.

    (a) In complaints of discrimination, the Army or a Federal Court may 
award the applicant or employee who is represented by an attorney 
reasonable attorney fees and/or costs as a part of the remedial relief 
under this regulation. Except as provided in Sec. 588.55, Army decisions 
will make such awards only when a finding or admission of discrimination 
is made. The award of attorney fees and/or costs is not available in 
administrative cases of discrimination based on age.
    (b) Attorney fees are paid only for services performed after a 
formal complaint has been filed under this regulation and after the 
complainant has notified the Army that he or she is represented by an 
attorney. However, the attorney may be compensated for a reasonable 
amount of time spent to make the decision to represent the complainant. 
Written submissions to the Army that are signed by the attorney shall be 
deemed to constitute notice of representation. Attorney fees are 
allowable only for services of members of the bar and law clerks, 
paralegals, or law students supervised by members of the bar. No award 
will be made for the services of any employee of the Federal Government. 
Attorney fees and/or costs are paid by the activity where the 
discrimination took place. Requests for attorney fees and/or costs will 
include all of the following:
    (1) A statement of the number of hours spent in preparing and 
presenting the case. This must specify the dates that work was done on 
the case and detail the work performed. It must also describe the 
training and experience of each person who worked on the case and the 
number of hours spent by each.
    (2) A sworn statement of the attorney's usual and customary hourly 
charge, and the usual fee for each person who worked on the case.
    (3) A sworn statement explaining all of the following:
    (i) Whether the fee for the case was fixed or contingent.
    (ii) Whether the handling of the case prevented other employment.
    (iii) The nature and length of the professional relationship with 
the client.

[[Page 503]]

    (iv) Any other factors that might affect the amount of the award.
    (4) Sworn statements by other attorneys or the local bar association 
in the relevant geographic area, who work in employment discrimination, 
setting forth all of the following:
    (i) The customary fee for such work.
    (ii) The desirability of the case.
    (iii) Awards in similar cases.
    (iv) The reputation, ability, and experience of the attorney 
requesting the fees.
    (5) Other information in the form required by courts in the awarding 
of attorney fees and costs.
    (c) The complainant and his or her representative, if any, files a 
verified statement of attorney fees and/or costs as described in b above 
with the activity EEO officer within 20 days of receipt of the decision. 
The EEO officer will immediately submit the request and supporting 
documents to the activity labor counselor for review and recommendation. 
The labor counselor will review and analyze in writing the request and 
supporting documents in accord with relevant judicial requirements and 
all the following:
    (1) Attorney fees. (i) The time and labor required.
    (ii) The novelty and difficulty of the questions.
    (iii) The skill requisite to perform the legal service properly.
    (iv) The preclusion of other employment by the attorney due to 
acceptance of the case.
    (v) The customary fee.
    (vi) Whether the fee is fixed or contingent.
    (vii) Time limitations imposed by the client or the circumstances.
    (viii) The amount involved and the results obtained.
    (ix) The experience, reputation, and ability of the attorney.
    (x) The undesirability of the case.
    (xi) The nature and length of the professional relationship with the 
client.
    (xii) Awards in similar cases.
    (2) Costs (as authorized by section 1920, title 28, United States 
Code (28 U.S.C. 1920)).
    (i) Fees of the reporter for all or any of the stenographic 
transcripts necessarily obtained for use in the case.
    (ii) Fees and disbursements for printing and witnesses.
    (iii) Fees for exemplification and copies of papers necessarily 
obtained for use in the case.
    (iv) Witness fees will be awarded in accord with the provisions of 
28 U.S.C. 1821, except that no award will be made for a Federal employee 
who is in a duty status when made available as a witness.
    (d) If the complaint is resolved at the activity, with a finding of 
discrimination, the Activity Commander or his or her designee, in 
consultation with the EEO officer and the labor counselor, is authorized 
to award attorney fees and/or costs provided agreement is reached on the 
amount of fees and/or costs and the amount is less than $5,000. In cases 
where agreement cannot be reached. or where the amount is $5,000 or 
more, the final award will be made by the Secretary of the Army or his 
or her designee. If the parties agree that attorney fees should not be 
awarded, the settlement agreement should include an explicit waiver of 
the complainant's right to seek fees.
    (e) If the activity cannot reach a settlement on the fees and/or 
costs or the amount requested is $5,000 or more, the activity labor 
counselor will review the amount claimed and make a recommendation. This 
recommendation will be sent through the Labor and Civilian Personnel Law 
Office, Office of the Judge Advocate General, ATTN: DAJA-LC, WASH 20310-
2209, for final decision by the Secretary of the Army or his or her 
designee as follows:
    (1) If agreement is not reached at the activity within 20 calendar 
days after receiving the verified statement, upon receipt of the labor 
counselor's recommendations, the Secretary of the Army or his or her 
designee will issue a written final Army decision to the complainant on 
the amount of fees and/or costs.
    (2) The decision should be issued within 30 calendar days after 
receipt of the verified statement.
    (3) The decision will give specific reasons for the amount of the 
award and state the complainant's right to appeal the decision to EEOC 
or file a civil action in a Federal District Court.

[[Page 504]]

    (f) If the complaint of discrimination is resolved on the merits by 
a decision of the Secretary of the Army or his or her designee, the 
award of attorney fees and/or costs must also be made by the Secretary 
of the Army or his or her designee in accord with the procedures 
outlined in (e) above.
    (g) All payment of attorney fees and/or costs will be made payable 
jointly to the complainant and the attorney of record.



Sec. 588.55  Informal no-fault settlement.

    (a) Informal settlements of complaints may be reached though the 
Army need not admit fault, wrongdoing, or discrimination provided that 
the ROI indicates some merit to the allegation of wrongful action.
    (b) The standard for informal settlement awards is stated in 
Sec. 588.51.
    (c) The Activity Commander, or his or her designee, in consultation 
with the EEO officer and the labor counselor, has authority to award 
attorney fees and/or costs as part of an informal settlement if 
agreement is reached between the parties and the amount to be awarded is 
less than $5,000. If the parties do not reach agreement, or the amount 
is $5,000 or more, the final award will be made by the Secretary of the 
Army or his or her designee.



                  Subpart F--Appeals and Civil Actions



Sec. 588.57  Appealing an Army decision.

    (a) A complainant in an individual complaint of discrimination or a 
class agent in a class complaint may appeal to the EEOC Office of Review 
and Appeals, 2401 E Street, NW, WASH DC 20507, the Army decision--
    (1) To reject or cancel the complaint in whole or in part.
    (2) To refuse to reinstate the complaint for further processing.
    (3) On the merits of the complaint, the issue of attorney fees and/
or costs, or the remedial action.
    (b) A claimant in a class complaint may appeal to the EEOC Office of 
Review and Appeals, 2401 E Street, NW, WASH DC 20507, the Army 
decision--
    (1) To cancel or reject a claim for individual relief.
    (2) On the merits of the claim for individual relief or the issue of 
attorney fees and/or costs.
    (c) Except as provided in Sec. 588.57(f) complainant in an 
individual complaint of discrimination may file a notice of appeal with 
the EEOC any time after receiving the Army Notice of Final Decision on 
his or her complaint but not later than 20 calendar days after receiving 
the decision. A notice of appeal will be deemed filed on the date it is 
postmarked or, without a postmark, on the date it is received by the 
EEOC. Any statement or brief to support the appeal must be sent to the 
EEOC and to EEOCCRA, ATTN: SFCR, WASH DC 20310-1813, within 30 calendar 
days after the date the notice of appeal was filed.
    (d) On receiving the complainant's statement or brief, EEOCCRA will 
ask the activity to send management comments and copies of the case 
file. These comments must be coordinated between the activity EEO 
officer, labor counselor, and CPO, and must be received by EEOCCRA early 
enough for EEOCCRA to meet the EEOC suspense date. Comments will be 
prepared in a format that will permit forwarding to EEOC without editing 
or retyping.
    (e) Except as in Sec. 588.57(f) an agent or a claimant in a class 
complaint may file an appeal at any time after receiving a final Army 
decision, but not later than 15 calendar days after receiving the 
decision. An appeal will be deemed filed on the date it is postmarked 
or, without a postmark, on the date it is received by the EEOC.
    (f) Usually, the time limits for filing a notice of appeal will not 
be extended by the EEOC. However, the EEOC, at its discretion, may 
extend the time limits and accept an appeal based on a written statement 
by the complainant. The statement must show that the complainant was not 
notified and not otherwise aware of the prescribed time limits, or that 
circumstances beyond his or her control prevented filing a notice of 
appeal or an appeal within the prescribed time limits.
    (g) The EEOC Office of Review and Appeals reviews the complaint file 
and all relevant written representations made by the parties. The office 
may return the complaint to the Army for

[[Page 505]]

further investigation or for a new hearing, or may have an EEOC 
investigator look into the case. The office issues a written decision 
that sets forth its reasons for the decision and sends copies of the 
decision to the complainant, the designated representative and EEOCCRA. 
EEOCCRA will send the decision to the activity. If corrective action is 
ordered, the activity must take the action. The activity will promptly 
report to the EEOC compliance officer, with copies to the complainant, 
the MACOM, and EEOCCRA, that the action has been taken.
    (h) For purposes of an appeal to the EEOC, the Army decision is 
final only when all issues in the complaint, including the award of 
attorney fees and/or costs, have been resolved. If fees and/or costs are 
to be awarded, the decision will not be final until the procedure for 
determining the amount of the award has been completed.



Sec. 588.58  Review by the EEOC commissioners.

    (a) The EEOC commissioners may, at their discretion, reopen and 
reconsider any previous decision when the requesting party files written 
argument or evidence that tends to establish one or more of the 
following:
    (1) New and material evidence is available that was not readily 
available when the previous decision was issued.
    (2) The previous decision involves an erroneous interpretation of 
law or regulation or a misapplication of established policy.
    (3) The previous decision may set a precedent involving a new or 
unreviewed policy consideration that may have effects beyond the case at 
hand or, is otherwise of such an exceptional nature as to merit the 
special attention of the Commission.
    (b) A copy of any statement or brief in support of a request to 
reopen and reconsider must be submitted to the EEOCCRA as well as to the 
activity EEO officer.
    (c) An Activity Commander or a designee who wishes to request 
reopening will consult the labor counselor to determine if the request 
meets the requirements of this paragraph. If so, the commander will send 
the request to EEOCCRA for action. Any Army request to reopen and 
reconsider must be made within 30 days of the date of the EEOC Office of 
Review and Appeals decision.
    (1) The request will be fully self-contained and will explain how 
the criteria of above applies to the case. It will be prepared to show 
an Army position rather than a local position and will be typed on plain 
bond paper.
    (2) The request will be sent to EEOCCRA as early as possible but not 
later than 7 work days before the 30-calendar-day time limit for 
requesting reopening and reconsideration expires.
    (3) The request to reopen and reconsider will be prepared in a 
format that will permit forwarding to EEOC without editing or retyping.
    (4) EEOCCRA will check the submission for consistency with the case 
file and, if otherwise proper, will obtain approval from the Director of 
EEO.
    (i) An Army request to reopen and reconsider may be submitted to 
EEOC only if approved by the Director of EEO.
    (ii) Approval will be granted only when the Director of EEO finds 
that the submission is timely, meets EEOC criteria, and is in the best 
interest of the Army. Approval will not be granted routinely.



Sec. 588.59  Civil actions.

    (a) A complainant in an individual complaint or an agent in a class 
complaint has the right to file a civil action in a Federal District 
Court. Time limits for filing, except for complaints based on age (see 
Sec. 588.6(c)(1)(iii)), are as follows:
    (1) Within 30 calendar days after receiving the notice of the final 
Army decision on the complaint or claim.
    (2) After 180 calendar days from the date of filing a complaint with 
the Army if there has been no decision.
    (3) Within 30 calendar days after receiving the notice of the final 
EEOC decision on the complaint.
    (4) After 180 calender days from the date of filing an appeal with 
the EEOC if the EEOC has not made a decision.
    (b) In complaints alleging age discrimination, the complainant can 
file a civil action in Federal District Court 30 days after providing 
notice to the

[[Page 506]]

EEOC of his or her intent to file a civil action. Such notice must be 
given to the EEOC within 180 days of the occurrence of the alleged 
discriminatory act. If a complainant elects to pursue his or her age 
complaint through the administrative procedures outlined in subpart B 
then he or she may not file a civil action in Federal District Court 
until all administrative remedies (including an appeal of the final Army 
decision to the EEOC) have been exhausted.
    (c) All Army decisions must notify the complainant of the right to 
file a civil action and of the time limits for doing so. For civil 
action purposes, the Army decision is final only when a determination 
has been made on all the issues in the complaint, including whether or 
not to award attorney fees and/or costs. If attorney fees and/or costs 
are to be awarded, the decision will not be final until the procedure 
outlined in subpart E for determining the amount of the award has been 
followed.
    (d) The labor counselor will inform the activity EEO officer and the 
EEOCCRA (ATTN: SFCR, WASH DC 20310-1813) when litigation is initiated on 
any EEO complaint. The following will be provided:
    (1) EEOCCRA docket number.
    (2) Federal Court docket number.
    (3) Federal Court where the suit has been filed.
    (4) Date of filing.
    (5) Copy of Federal Court complaint.
    (6) Date suit terminated.
    (7) Copy of court order terminating suit.



     Subpart G--Participation by the Alleged Discriminating Official



Sec. 588.60  General guidance.

    (a) The purpose of the discrimination complaint procedure is to 
determine whether discrimination has occurred so that appropriate 
remedial action can be taken. Investigations and hearings in 
discrimination complaint cases are essentially fact-finding processes. 
Their purpose is to develop and record evidence on which an informed and 
impartial decision can be based. It is not the purpose of the complaint 
procedure to try individual officials. Complaints are lodged ``against'' 
the Army, not ``against'' individuals.
    (b) Employees and applicants must be free to avail themselves of the 
discrimination complaint procedures without fear of reprisal. However, 
ensuring these rights of complainants is not done without regard for the 
rights of persons against whom allegations of discrimination have been 
made. Persons, named or otherwise, identified as ADOs have clearly 
defined rights and a significant role in the complaint process.
    (c) A complainant cannot always be expected to know which person, if 
any, might have been responsible for a specific action or policy. 
Therefore, a complainant must not be required to identify ADO(s) in 
complaints of discrimination, but may do so if he or she believes 
particular persons have discriminated against him or her.
    (d) The Army must ensure that persons named as ADOs are informed of 
all allegations made against them and are given a full and fair 
opportunity to respond to these allegations.



Sec. 588.61  The ADO at the informal stage.

    (a) The informal counseling stage, the EEO counselor must solicit 
the views of an identified ADO unless the counselor obtains and provides 
information which clears the official to the satisfaction of the 
aggrieved person.
    (b) Before the counselor interviews the ADO, the ADO must be told 
that he or she has been identified as a potential ADO. The ADO must be 
informed of the nature of any allegations made and must be told of the 
right to have a representative at the interview to advise him or her on 
how to respond to any questions the counselor may ask.
    (c) The counselor must not reveal the identity of the aggrieved 
person when the aggrieved person has not authorized him or her to do so.



Sec. 588.62  The ADO during the USACARA investigation.

    (a) The USACARA investigator must give an ADO the opportunity to 
respond to all allegations made against him or her and to review all 
documents that name or implicate the ADO and are to be included in the 
investigative

[[Page 507]]

file. Names and other identifying information of persons other than the 
complainant and the ADO will be deleted by the investigator from the 
copies shown to the ADO to protect these persons from an unwarranted 
invasion of their privacy. The investigator must also advise the ADO of 
his or her right to have a representative present.
    (b) The investigator must give the ADO full opportunity to state the 
facts as he or she understands them, in affidavit form, for inclusion in 
the investigative file, and to name witnesses who might be questioned. 
The investigator must inform the ADO that only witnesses whose testimony 
is considered necessary to the investigation will be interviewed. Also, 
the investigator must tell the ADO that the only testimony to be 
obtained in affidavit form and included in the investigative file is 
that which the investigator deems relevant and necessary to the 
investigation.
    (c) The activity EEO officer must keep the ADO informed of the 
progress of the investigation. When the investigation is completed, the 
EEO officer must review the investigative file to ensure that the ADO 
has had the opportunity to provide his or her version of the facts in 
response to each allegation. If the file shows that the ADO was not 
given this opportunity, the EEO officer will return the case file to 
USACARA for appropriate action.



Sec. 588.63  Informal adjustment and proposed disposition.

    (a) The Activity Commander or a designee may, at his or her 
discretion, consult with the ADO on the terms under which the activity 
will try to informally resolve the complaint.
    (b) If an informal adjustment is agreed upon, the Activity Commander 
or his or her designee must inform the ADO of the terms of the 
agreement.
    (c) If an agreement is not reached, the Activity Commander or a 
designee will give the ADO a copy of the proposed disposition.



Sec. 588.64  The ADO at the hearing.

    (a) The ADO has the right to testify at the hearing and comment for 
the record on any allegations against him or her including new 
allegations made at the hearing. If the ADO has not been called to 
testify, the activity EEO officer must tell the ADO how and where to 
contact the labor counselor and the hearing examiner to arrange to 
testify or comment.
    (b) The presence of the ADO and his or her representative, if any, 
at the hearing is limited to the time the ADO appears as a witness.



Sec. 588.65  The final Army decision.

    (a) If the final Army decision finds discrimination, the Activity 
Commander or his or her designee will review the entire file and 
determine whether disciplinary action against the ADO is appropriate and 
record the basis for its decision. The decision shall not be included in 
the complaint file. If the decision is to take disciplinary action, the 
entire complaint file will be made available to the ADO for review. If 
no disciplinary action is taken against the ADO after a finding of 
discrimination, the complaint file will be made available to the ADO for 
review but names and identifying information of persons other than the 
complainant and the ADO will be deleted from the file. This action will 
be taken to protect such persons from an unwarranted invasion of 
privacy.
    (b) If the activity takes or proposes adverse or other corrective 
action against the ADO based on the evidence developed in processing the 
complaint, the Activity Commander or his or her designee will make the 
entire complaint file, without deletions, available to the ADO for 
review. Corrective action may include requiring the ADO to complete EEO 
training or temporarily or permanently withdrawing the ADO's selection 
or disciplinary authority. Though not disciplinary, such actions 
constitute censure and correction of the ADO's conduct or performance.
    (c) If the final decision concludes there was no discrimination, the 
Activity Commander or his or her designee will give the ADO a copy, 
sanitized in accord with a, above, of the final Army decision only.



Sec. 588.66  Appeals to the EEOC.

    If a complainant appeals the Army decision to the EEOC Office of 
Review and Appeals, the EEO officer must give

[[Page 508]]

the ADO a copy of the EEOC decision. If the decision of the EEOC 
reverses or modifies the Army decision with a finding of discrimination, 
the EEO officer will make the complaint file available to the ADO.



Sec. 588.67  Representing the ADO.

    (a) The ADO has a right to have a representative present to advise 
him or her any time when the ADO must provide information during the 
complaint process. This includes the informal stage, the investigation, 
and the hearing.
    (b) The role of the ADO representative at all stages of the EEO 
complaint process is limited to advising the ADO on how to respond to 
questions. The representative does not have the right to examine and 
cross-examine witnesses at the EEOC hearing (as may be done by the 
complaints examiner and the representatives of the complainant and the 
Army) because the ADO is not a party to the complaint.



Sec. 588.68  The ADO's role in class complaints of discrimination.

    The principles and procedures in this chapter on the ADO's role in 
individual complaints of discrimination also apply to class complaints.



Sec. 588.69  Conflicts of interest.

    When a person involved in the EEO complaint process (for example, 
EEO officer, Activity Commander, MACOM EEO officer) is named as an ADO, 
the procedures below will be followed in order to avoid a possible 
conflict of interest:
    (a) EEO Officer. If an EEO officer is named as an ADO in a 
discrimination complaint based on actions he or she has taken against 
the complainant, that officer's function in the processing of that 
complaint will be performed by the EEO officer at the next higher level. 
If the EEO officer is named as an ADO merely by virtue of his or her 
position, then he or she may continue to process the complaint.
    (b) Activity Commander. If an Activity Commander is name as an ADO 
in a discrimination complaint based on actions he or she has taken 
against the complainant, that commander's function in the processing of 
that complaint will be performed by the commander at the next higher 
level. If the Activity Commander is named as an ADO merely by virtue of 
his or her position, then he or she may continue to process the 
complaint.
    (c) Staff Judge Advocate (SJA). If the SJA or senior legal officer 
of the servicing legal office is named as an ADO in a discrimination 
complaint based on actions he or she has taken against the complainant, 
legal advice to the command in the processing of that complaint will be 
provided by the servicing legal office of the next higher level of 
command. If the SJA or senior legal officer is named as an ADO merely by 
virtue of his or her position, then he or she may continue to provide 
advice on the complaint.
    (d) Civilian Personnel Officer (CPO). If the CPO is named as an ADO 
in a discrimination complaint based on actions he or she has taken 
against the complainant, the CPO at the next higher level of command 
will provide personnel advice to the complaint.
    (e) MACOM EEO officer. If a MACOM EEO officer is named as an ADO in 
a discrimination complaint based on actions he or she has taken against 
the complainant, that officer's function within the processing of that 
complaint will be performed by a special EEO officer designated by the 
MACOM commander. If the MACOM EEO officer is named as an ADO merely by 
virtue of his or her position, then he or she may continue to process 
the complaint.
    (f) MACOM commander. If a MACOM commander is named as an ADO in a 
particular discrimination complaint based on actions he or she has taken 
against the complainant, that commander's function within the processing 
of that complaint will be performed by the Vice Chief of Staff of the 
Army. If the MACOM commander is named as an ADO merely by virtue of his 
or her position, then he or she may continue to process the complaint.
    (g) Director of EEO/Secretary of the Army. If the Secretary of the 
Army or the Director of EEO is named as an ADO in a discrimination 
complaint based on actions he or she has taken against the complainant, 
the Secretary

[[Page 509]]

of the Army will designate a DA official to perform the functions of the 
official named as an ADO. If the Secretary of the Army or the Director 
of EEO is named as an ADO merely by virtue of his or her position, then 
he or she may continue to process the complaint.



  Subpart H--Witnesses, Representation, Administrative Procedures, and 
                                 Reports



Sec. 588.70  Arranging for witnesses.

    (a) Army military and civilian personnel requested as witnesses by 
the EEO officer, the investigator, or the EEOC complaints examiner will 
be made available unless it is administratively impractical. If a needed 
Army witness is not under local administrative control, the Activity 
Commander or the EEO officer may ask the witness' commander to make that 
person available. Denials will be promptly referred to the EEO officer 
of the next higher level command of the requested witness. If the denial 
is not justified, the next higher level command will direct the 
organization to make the witness available.
    (b) If a needed witness is employed by another Federal agency or has 
left Federal employment, he or she will be contacted by the EEO officer. 
The EEO officer will make every reasonable effort to ensure the presence 
of the witness. If the witness refuses to appear, the EEO officer will 
refer the matter to the investigator or the complaints examiner.
    (c) A Federal employee is in an official duty status when he or she 
appears as a witness or is required to provide a statement under oath or 
affirmation.



Sec. 588.71  Complainant's and class agent's representative.

    (a) A complainant or an agent in a class complaint has the right to 
be accompanied, represented, and advised by a representative of his or 
her own choice at any stage of the complaint process, including the 
informal counseling stage. No employee or military member is obligated 
to serve as a representative.
    (b) The complainant or the class agent will designate the 
representative in writing. Any change will be reported in writing to the 
EEO officer, with copies to the counselor, investigator, or complaints 
examiner, as appropriate.
    (c) The Army must be notified when an attorney is retained to 
represent a complainant or class agent. Written submissions to the Army 
that are signed by the representative are deemed to constitute notice of 
representation. This notice is required to establish the attorney's 
eligibility to claim fees and/or costs.
    (d) After consulting with the SJA or senior legal officer of the 
servicing legal office, the Activity Commander or his or her designee 
may deny permission to an Army employee or military member to serve as a 
representative if this would constitute a conflict of interest. This 
denial will be made in a letter to the complainant stating the reasons. 
The letter must tell the complainant that an appeal of the denial may be 
filed with the EEO officer within 5 working days after receipt of the 
denial. The denial and the appeal are then sent immediately to the 
Director, EEOCCRA, ATTN: SFCR, WASH DC 20310-1813, for decision.



Sec. 588.72  Representing the Army in individual complaints.

    (a) The Army is represented in complaint proceedings by the labor 
counselor (a judge advocate or a civilian attorney from the SJA or legal 
office). The labor counselor's role is to ensure that the Army's 
position is based on a sound legal theory and supported by competent 
evidence at both the investigative and hearing stages. The labor 
counselor does not represent the ADO.
    (b) The labor counselor may have a CPO technical adviser at the 
hearing.



Sec. 588.73  Representing the Army in class complaints.

    (a) The EEO counselor may seek legal advice from the servicing legal 
office during the informal stage of class discrimination complaints 
after consulting with his or her EEO officer.
    (b) When an individual or class complaint is filed formally, the 
Activity Commander will appoint an Army judge advocate or civilian 
attorney as the labor counselor to represent the

[[Page 510]]

Army at the activity level as described in Secs. 588.2 and 588.3.



Sec. 588.74  Using official time.

    Under 29 CFR 1613.214, complainants, agents, and representatives who 
are Army employees have the right to a reasonable amount of duty time to 
prepare and present a complaint filed under this regulation. Employees 
must arrange in advance with their supervisors to use this duty time. 
Disagreements as to what is ``reasonable'' time are resolved by the 
Activity Commander or a designee. ``Reasonable duty time'' includes all 
time actually spent in meetings and hearings required by an Army or EEOC 
official plus a reasonable amount of preparation time. Reasonable time 
for preparation purposes is generally defined in terms of hours rather 
than days, weeks, or months.



Sec. 588.75  Hearing arrangements.

    (a) Expenses incurred in the administrative processing of an EEO 
complaint will be borne by the activity against which the complaint is 
lodged.
    (b) The servicing activity EEO officer will ensure that a court 
reporter is provided for the hearing and that the transcripts are sent 
directly to the EEOC complaints examiner. Use of Army employees to 
transcribe hearings is prohibited by the EEOC. However, interservice 
support agreements with the Navy and Air Force may be used instead of 
contracting for such services.
    (c) All requests to the EEOC for a hearing will contain instructions 
that the completed case file, with all copies of the transcript and the 
complaints examiner's recommended decision is to be sent to the 
Director, EEOCCRA, ATTN: SFCR, WASH DC 20310-1813. If the examiner 
erroneously transmits the case file to the activity EEO officer, the 
case must be returned immediately to EEOC by registered mail with 
instructions for transmission to the Director, EEOCCRA.



Sec. 588.76  Complaint file.

    (a) The EEO officer will compile a complaint file that will include 
all documents pertinent to the complaint except for the Army decision 
regarding action against the ADO.
    (b) The file will not contain any document that has not been made 
available to the complainant or his or her representative.
    (c) The file will be indexed. The file will also be tabbed in 
reverse chronological order and will contain legible copies of the 
following documents, when applicable, and in the order listed below:
    (1) Tab O.
    (i) EEO Complaint Data Sheet: DA Form 5493-R (Individual Complaint 
Data Sheet) or DA Form 5494-R (Class Complaint Data Sheet).
    (ii) Complaint Chronology Sheet: DA Form 5495-R (Chronology of 
Individual EEO Complaint) or DA Form 5496-R (Chronology of Class EEO 
Complaints).
    (iii) DA Form 5497-R (Disposition of Complaint of Discrimination).
    (2) Tab N.
    (i) Final Army decision.
    (ii) Return receipt or other evidence of complainant's receipt of 
final Army decision.
    (3) Tab M. EEOC complaints examiner's report of findings, analysis, 
and recommendations.
    (4) Tab L. Verbatim transcript of EEOC hearing and all exhibits.
    (5) Tab K. EEO officer's letter to EEOC requesting assignment of a 
complaints examiner.
    (6) Tab J.
    Request for Army decision without a hearing.
    Request for hearing before EEOC.
    (7) Tab I.
    (i) Proposed disposition.
    (ii) Notice to complainant of adoption of proposed disposition as 
Army final decision if complainant has failed to respond within 15 days.
    (8) Tab H.
    (i) Record of adjustment conference.
    (ii) Settlement agreement is signed by all parties and documents 
showing implementation.
    (iii) Written withdrawal of complaint by complainant, if applicable.
    (9) Tab G.
    (i) Record of transmittal of USACARA ROI to activity.
    (ii) Record of transmittal of USACARA ROI to complainant.
    (10) Tab F. Entire investigator's report including exhibits tabbed 
as received from the investigator.

[[Page 511]]

    (11) Tab E.
    (i) EEO Officer's request to USACARA for appointment of an 
investigator.
    (ii) USACARA response to EEO officer.
    (iii) EEO officer's notice to labor counselor of date, time, and 
location of USACARA investigation.
    (12) Tab D.
    (i) Appointment letter of labor counselor as Army representative.
    (ii) Written designation by complainant of his or her representative
    (13) Tab C.
    (i) Formal EEO complaint, DA Form 2590-R.
    (ii) EEO officer's acknowledge receipt of the formal complaint.
    (iii) EEO officer's acceptance of the formal complaint.
    (iv) EEO officer's rejection or cancellation of the formal 
complaint.
    (14) Tab B.
    (i) Notice of Final interview.
    (ii) EEO counselor's final report.
    (iii) 21-day letter, if applicable.
    (15) Tab A. All allied papers (all documents relevant to the case 
but not specifically included in the above section attached in reverse 
chronological order).
    (d) All EEOC appellate documents will be tabbed in reverse 
chronological order with Arabic numerals.
    (e) All civil litigation documents will be tabbed in reverse 
chronological order with Roman numerals.
    (f) When the complainant requests a decision by the Secretary of the 
Army or his or her designee on the basis of the record as it stands, or 
after a hearing, the original case file will be clearly indexed and 
tabbed as described in paragraph c above and all pages will be clearly 
legible.
    (1) Every complaint file will contain an EEO complaint data sheet. 
See DA Form 5493-R for individual EEO complaints and DA Form 5494-R for 
class EEO complaints. The data sheet will be filled out by the EEO 
counselor and the activity EEO officer. Any entry contrary to the 
provisions of this regulation should be explained by the responsible EEO 
official in the ``Remarks'' section of the data sheet. These DA Forms 
will be reproduced locally on 8 \1/2\- by 11-inch paper. Copies for 
reproduction purposes are located at the back of this regulation.
    (2) Every complaint file will contain an EEO chronology sheet 
completed by the activity EEO officer and the EEOCCRA. See DA Form 5495-
R for individual EEO complaints and DA Form 5496-R for class EEO 
complaints. The chronology sheet will account for the processing time 
from the date of the alleged discriminatory action to the final Army 
decision and any administrative or judicial appeal. Failure to meet any 
administrative suspense established by this regulation should be fully 
explained in the ``Remarks'' section of this chronology sheet. These DA 
Forms will be reproduced locally on 8\1/2\- by 11-inch paper. Copies for 
reproduction purposes are located at the back of this regulation.



Sec. 588.77  Complaints reporting.

    (a) The EEO counselor will complete DA Form 5492-R at the time of 
the final interview and submit it to the EEO officer in accord with 
Sec. 588.13(d). The EEO officer will transmit copies of this report to 
EEOCCRA and the MACOM of the activity against which the complaint is 
lodged upon termination of counseling.
    (b) Individual formal complaint reporting. (1) Immediately upon 
receipt of a formal EEO complaint (DA Form 2590-R), the activity EEO 
officer will complete and dispatch a copy of the formal complaint to the 
Director, EEOCCRA, ATTN: SFCR, WASH DC 20310-1813. Receipt of the 
complaint will be acknowledged, in writing, by EEOCCRA. The 
acknowledgment will contain a docket number assigned to the case by 
EEOCCRA which will be used throughout the processing of the EEO 
complaint. This docket number does not replace the docket number 
assigned by USACARA, rather it is used as a control to identify the 
records in EEOCCRA.
    (2) After receiving the EEOCCRA docket number, the EEO officer will 
use the docket number on all documents generated or submitted by the 
activity EEO officer in the processing of the complaint.

[[Page 512]]



Sec. 588.78  Disposition of complaints of discrimination.

    (a) When action on a complaint of discrimination has been completed 
at the activity level, the case record will be promptly forwarded to the 
Director, EEOCCRA, ATTN: SFCR, WASH DC 20310-1813. When the case has 
been closed at the activity, instructions set forth in Sec. 588.78(b) 
will be followed. When a hearing is requested, one copy of the file, 
similarly compiled, will be forwarded to the EEOC district office that 
will provide the complaints examiner. Additionally, one copy of the 
file, similarly compiled, will be forwarded to EEOCCRA. In all cases, 
the chronology of events will be completed and included in the case 
file. (See Sec. 588.76) This will apply whether forwarded to the EEOC 
complaints examiner for a hearing or to the EEOCCRA for a decision on 
the record.
    (b) Cases closed at the activity level are as follows:
    (1) Cases are closed at the activity level as a result of rejection, 
cancellation, withdrawal, termination, adjustment, or decision on the 
merits.
    (2) If a formal EEO complaint is closed in whole at the activity 
level, the EEO officer will submit the original file and one copy to 
EEOCCRA, compiled in accord with Sec. 588.66, and DA Form 5497-R. 
Submissions will be made within 10 days after the complaint is closed. 
If the complaint has been closed in part, two legible copies of the file 
will be forwarded to EEOCCRA within 10 days, compiled in accord with 
Sec. 588.66 along with DA Form 5497-R. Such case files will be notated 
as partial closure.
    (c) Activities and MACOMs will be notified of cases closed at the DA 
level by receipt of a copy of the final Army decision signed by the 
Secretary of the Army or his or her designee.



Sec. 588.79  Travel and other costs.

    For individual complaint as well as class complaints of 
discrimination, travel and other related expenses will be as follows:
    (a) Travel and per diem expenses of USACARA investigators will be 
funded by the activity against which the alleged discrimination is 
lodged.
    (b) Expenses of the Army investigators, counselors, or investigators 
from other Federal agencies will be funded by the activity where the 
alleged discrimination took place.
    (c) Expenses of the EEOC complaints examiner are paid for by EEOC.
    (d) Travel expenses of Army personnel (complainants, representative, 
or witnesses), whose travel is required by a complaints examiner or 
other authorized official, will be funded by the activity against which 
the complaint is lodged.
    (e) Travel expenses of non-Army personnel (applicants/complainants) 
will not be paid in advance by the Army. Nor, if they are Federal 
employees, can their expenses be paid by their agencies unless their 
role concerns official business of the current employers. A successful 
applicant/complainant, may, however, be reimbursed for such travel 
expenses as part of his or her costs.
    (f) If a complaint of discrimination is filed against a tenant 
organization, the tenant organization will pay the hearing costs, 
investigative costs, attorney fees and/or costs unless otherwise 
provided for in a host-tenant agreement. Problems that develop between 
host and tenant organizations will be promptly referred for resolution 
to the parent MACOM.
    (g) If the complaint involves a nonappropriated fund (NAF) activity, 
the costs will be borne by the host activity (that is, the appropriated 
fund activity that heads the installation where the NAF is assigned).

       Appendix A to Part 588 --Steps in Individual Complaints of 
                             Discrimination

                                                                        
------------------------------------------------------------------------
                Action                             Time limits          
------------------------------------------------------------------------
1. Employee or applicant must see EEO   Within 30 calendar days after   
 counselor or EEO officer.               the alleged discrimination,    
                                         personnel action, or when the  
                                         complainant becomes aware or   
                                         reasonably should have become  
                                         aware of the action.           
2. EEO counselor makes inquiry, tries   Within 21 calendar days after   
 to resolve complaint informally,        matter first called to EEO     
 conducts final interview, and, if       counselor's attention.         
 complaint is not resolved, gives                                       
 complainant written notice of right                                    
 to file formal complaint.                                              

[[Page 513]]

                                                                        
3. Complainant files formal complaint   Within 15 calendar days after   
 (DA Form 2590-R) in writing with EEO    receipt of the Notice of Final 
 officer or other designated official.   Interview or if final interview
 Must advise EEO officer if he or she    not held, anytime after 21 days
 obtains legal or other representation.  from initial contact with the  
                                         EEO counselor.                 
4. EEO officer accepts or rejects the   Within 5 calendar days after    
 formal complaint in whole or in part.   receipt of complaint.          
5. EEO officer sends file to USACARA    Within 3 calendar days after    
 requesting assignment of an             acceptance.                    
 investigator if any part of complaint                                  
 is accepted. If complaint is                                           
 rejected, EEO officer notifies                                         
 complainant and representative.                                        
6. USACARA investigator completes       Within 45 calendar days from    
 investigation and sends ROI to          assignment.                    
 activity.                                                              
7. USACARA ROI furnished to             Within 5 calendar days after    
 complainant and an adjustment meeting   receipt of USACARA ROI.        
 offered.                                                               
8. If adjustment meeting held and       ................................
 adjustment reached--                                                   
    a. Written agreement specifying     ................................
     terms of proposed disposition is                                   
     signed by both parties. Copy is                                    
     given to complainant.                                              
    b. Activity Commander takes action  ................................
     agreed upon.                                                       
9. If adjustment meeting is not held    ................................
 or no adjustment is reached--                                          
    a. Activity Commander issues a      Within 20 calendar days from    
     proposed disposition, including     receipt of USACARA ROI.        
     finding issues of discrimination                                   
     and proposed remedial action                                       
     including appeal rights.                                           
    b. Complainant informed of right    Same as a above.                
     to request EEOC hearing or Army                                    
     decision without hearing.                                          
    c. If complainant fails to          Within 15 calendar days after   
     respond, Activity Commander         notice proposed disposition.   
     adopts proposed disposition as                                     
     final Army decision and notifies                                   
     complainant and representative.                                    
    d. If complainant asks for          Same as c above.                
     decision without hearing, EEO                                      
     officer sends complaint file                                       
     (original and one copy) to                                         
     EEOCCRA.                                                           
    e. If complainant requests          Same as c above.                
     hearing, EEO officer requests                                      
     complaints examiner from EEOC.                                     
10. Hearing held and findings and       ................................
 recommendations sent by EEOC                                           
 complaints examiner to EEOCCRA.                                        
11. Army final decision by the          Within 180 calendar days after  
 Director of EEO to include appeal       the date that the formal       
 right.                                  complaint was filed or 30 days 
                                         after receipt of the examiner's
                                         report recommending a finding  
                                         of discrimination.             
12. Appeal to EEOC:                     ................................
    a. Complainant sends notice of      Within 20 calendar days after   
     appeal to EEOC with copy to         receiving Army final decision. 
     EEOCCRA.                                                           
    b. Complainant sends statement or   Within 30 calendar days after   
     brief to support appeal of Army     filing Notice of Appeal.       
     decision to EEOC, with a copy to                                   
     EEOCCRA.                                                           
13. Civil action by complainant:        ................................
    a. Before final Army decision.....  After 180 calendar days after   
                                         filing formal complaint.       
    b. Instead of appeal to EEOC after  Within 30 calendar days after   
     Army final decision.                receiving Army decision.       
    c. Before EEOC final decision or    After 180 calendar days after   
     appeal.                             filing appeal to EEOC.         
    d. After EEOC final decision on     Within 30 calendar days after   
     appeal.                             receiving EEOC decision.       
------------------------------------------------------------------------
Note: In age complaints, a complainant must appeal the Army decision to 
  the EEOC before filing a civil action in a Federal District Court.    

   Appendix B to Part 588--Steps in Class Complaints of Discrimination

                                                                        
------------------------------------------------------------------------
                Action                             Time limits          
------------------------------------------------------------------------
1. Class agent contacts EEO counselor   Within 90 calendar days after   
 about class complaint.                  the alleged discriminatory     
                                         matter, personnel action, or   
                                         the date that the aggrieved    
                                         person became aware or         
                                         reasonably should have become  
                                         aware of the discriminatory    
                                         event or personnel action.     
2. EEO counselor makes inquiry,         Within 30 calendar days after   
 attempts informal resolution, and       contact by class agent.        
 conducts final interview. Informs                                      
 class agent, in writing, of right to                                   
 file formal complaint.                                                 
3. Class agent files formal complaint   Within 15 calendar days after   
 with EEO officer. Notifies EEO          receiving Notice of Final      
 officer if legal representation is      Interview.                     
 obtained.                                                              
4. EEO officer coordinates with labor   ................................
 counselor on class status of                                           
 complaint.                                                             
5. EEO officer sends complaint file,    Within 10 calendar days after   
 including a brief if deemed             receiving complaint.           
 necessary, to EEOC district office                                     
 for assignment of complaints examiner.                                 
6. Allegations not discussed with EEO   Within 15 calendar days for     
 counselor or nonspecific allegations    response from activity or class
 are returned by EEOC complaints         agent.                         
 examiner for additional information.                                   
7. Complaints examiner recommends to    ................................
 the Secretary of the Army or his or                                    
 her designee to accept, reject or                                      
 cancel complaint. Sends copy to agent.                                 

[[Page 514]]

                                                                        
8. Secretary of the Army or his or her  EEOC recommendation becomes Army
 designee decides to accept, reject,     decision unless Secretary of   
 or cancel complaint. If decision is     the Army or designee rejects or
 to reject or cancel, advises class      modifies it within 10 calendar 
 agent of right to file individual       days after receipt.            
 complaint and appeal to EEOC.                                          
9. If complaint accepted, the EEO       Within 15 calendar days after   
 officer notifies all class members of   acceptance.                    
 existence of class complaint and                                       
 right to opt out. Activity Commander                                   
 designates Army representative.                                        
10. Class members may opt out. (Final   Within 30 calendar days after   
 decision binding on all members who     issuance of notice.            
 do not opt out.).                                                      
11. All parties to complaint develop    Within 60 calendar days after   
 evidence and send it to EEOC.           notification by the EEOC       
 Complaints examiner may direct          complaints examiner.           
 investigation.                                                         
12. Informal resolution attempted by    ................................
 class agent and Army.                                                  
13. If no resolution, hearing by EEOC   ................................
 complaints examiner.                                                   
14. EEOC complaints examiner's          ................................
 findings and recommendations                                           
 forwarded to EEOCCRA.                                                  
15. Final Army decision. Agent          Within 30 calendar days after   
 informed of right to appeal to EEOC     receiving complaints examiner's
 and file civil action in Federal        report. If no decision within  
 District Court.                         30 calendar days, then the     
                                         complaints examiner's findings 
                                         and recommendations become the 
                                         final Army decision.           
16. All class members notified of the   Within 10 calendar days.        
 final Army decision by EEO officer.                                    
17. Individual class members may file   Within 30 calendar days after   
 written claim.                          Army decision. Persons must    
                                         have been affected no more than
                                         135 calendar days before filing
                                         of class complaint.            
18. Army tries to resolve claim at      Within 60 calendar days after   
 activity level.                         date claim filed.              
19. Hearing held by EEO complaints      ................................
 examiner if no resolution.                                             
20. Complaints examiner's report of     ................................
 findings and recommendations                                           
 forwarded to Army EEOCCRA.                                             
21. Final Army decision made by         Time limits as in step 15.      
 Secretary of the Army or his/her                                       
 designee.                                                              
22. Appeals and Civil Action Rights:    ................................
    a. Class agent may appeal to EEOC   ................................
     when--                                                             
        (1) Complaint rejected or       Within 15 calendar days after   
         canceled by the Army.           the Army decision.             
        (2) Army refuses to reinstate   ................................
         complaint for processing                                       
         after agent alleges that Army                                  
         has not carried out terms of                                   
         resolution.                                                    
        (3) Army issues decision on     ................................
         merits of complaint or                                         
         corrective action.                                             
    b. Claimant may appeal to EEOC      ................................
     when--                                                             
        (1) Army rejects claim for      ................................
         individual relief.                                             
        (2) Army decides on adjustment  ................................
         of claim for individual                                        
         relief.                                                        
    c. Class agent and claimants may                                    
     file a civil action when--                                         
        (1) Army issues final decision  Within 30 calendar days.        
         on complaint or claim.                                         
        (2) There has been no Army      After 180 calendar days from    
         decision on complaint or        date of filing formal complaint
         claim.                          or claim with Army.            
        (3) EEOC issues decision on     Within 30 calendar days.        
         appeal.                                                        
        (4) Appeal was made to EEOC     After 180 calendar days from    
         and no decision has been        date of filing formal complaint
         given.                          or claim with EEOC.            
------------------------------------------------------------------------
Note: In age discrimination complaints, an agent must appeal the Army   
  decision to the EEOC before filing a civil action in a Federal        
  District Court.                                                       

[[Page 515]]

                                                                        

Appendix C to Part 588--Procedural Steps in an Individual Discrimination 
                                Complaint
[GRAPHIC] [TIFF OMITTED] TC24OC91.001

   Appendix D to Part 588--Sample Format: Avenues of Redress for Army 
                                Employees

Subject: Avenues of redress for Army employees
From: EEO officer
To: (Name of person counseled)

    1. Grounds for discrimination complaint. If you believe you have 
been discriminated against because of race, color, religion, sex, 
national origin, age, physical or mental handicap and/or reprisal, or in 
an employment matter subject to the control of the Army, you may have 
the choice of more than one route to file a complaint and have it 
resolved.
    2. Options for employees outside of the bargaining unit. If you are 
not a member of a bargaining unit covered by a union contract, you may 
select one of the following options:
    a. The discrimination complaint procedure (covered by AR 690-xxx). 
Your first step under that procedure is to contact an EEO counselor 
within 30 calendar days from the date the act of discrimination took 
place or

[[Page 516]]

the date you became aware, or reasonably should have become aware, of 
the act of discrimination. If the counselor cannot resolve your problem, 
you may file a formal complaint. The counselor will tell you with whom 
to file your complaint and will explain complaint procedures. These 
include an investigation by the U.S. Army Civilian Appellate Review 
Agency, a hearing by the Equal Employment Opportunity Commission (EEOC), 
and a final decision by the Army.
    b. The Merit Systems Protection Board (MSPB) appeal procedure. This 
procedure is available to you only if the alleged discriminatory action 
can be appealed to the MSPB, such as a removal, a suspension for more 
than 14 days, or any other appealable action. (Usually, you will be 
notified in writing of your right to appeal to the MSPB.) The time limit 
for appeal to the MSPB is 20 days after the effective date of the 
personnel action which you believe discriminated against you. Under an 
MSPB appeal, you are entitled to a hearing by the MSPB. You may ask the 
EEOC to review the final decision of the MSPB.
    3. Options for employees within the bargaining unit. If you are a 
member of a bargaining unit covered by a union contract and if the 
negotiated grievance procedure in that contract does not exclude 
discrimination issues, you may have the following options:
    a. In actions under 5 U.S.C. 7512 (Removal, supension for more than 
14 days, reduction in grade, reduction in pay, furlough for 30 days or 
less) and 5 U.S.C. 4303 (Removal or reduction in grade for unacceptable 
performance), you have the following options. First, you may follow the 
discrimination complaint procedure described in paragraph 2a above. 
Second, you may follow the MSPB procedures described in paragraph 2b 
above. Third, you may follow the negotiated grievance procedure. Your 
union contract outlines the steps involved in a negotiated grievance 
procedure, which include an informal and a formal grievance with 
specific time limits for filing, and a decision by Army management. The 
next step, arbitration, may be requested only by the union or by the 
Army, not by you. If you choose the negotiated grievance procedure, you 
have the right to appeal the final Army decision or the arbitration 
award to the EEOC. Note that decisions in 5 U.S.C. 7512 or 4303 cases 
are not appealable to the Federal Labor Relations Authority (FLRA).
    b. In actions not covered by 5 U.S.C. 7512 or 4303, but otherwise 
appealable to MSPB, you have access to the MSPB procedures only if such 
actions are excluded from the grievance procedure. If they are covered 
by the grievance procedure, the option is between the discrimination 
complaint procedure under AR 690-xxx or the negotiated grievance 
procedure. If you choose the negouiated grievance procedure, you have 
the right to appeal the final decision (Army decision, arbitration 
award, or FLRA decision) to the EEOC or MSPB, as appropriate. Note that 
in actions not appealable to the MSPB, but covered by the grievance 
procedure, you may choose between the grievance procedure or the 
complaint procedure under AR 690-xxx.
    4. Election of avenues of redress.
    a. Your appeal to the MSPB will not be accepted if you have filed a 
timely formal complaint in writing, under AR 690-xxx or a timely written 
grievance under the negotiated procedure.
    b. A discrimination complaint under AR 690-xxx will not be accepted 
if you have filed a timely appeal to the MSPB or a timely written 
grievance under the negotiated procedure.
    c. A grievance under the negotiated procedure will not be accepted 
if you have filed a timely appeal to the MSPB or if you have initiated 
action under the discrimination complaint procedure in AR 690-xxx.
    5. Additional information on avenues of redress. If you have any 
other questions on this matter, you may contact the management/employee 
relations section of the civilian personnel office, your union 
representative, or your activity EEO office.

  Appendix E to Part 588--Sample Format: Notice of Interview With EEO 
                                Counselor

Subject: Notice of Final Interview
From: EEO Counselor
To: (Name of Person Counseled)

    1. This is notice that on the above date the final counseling 
interview was held in connection with the matter you presented to me as 
an EEO counselor. You initially contacted me on (DATE). You alleged that 
you were a victim of (SPECIFY) discrimination in the following 
action(s): (SPECIFY THE FACTS THAT ARE THE BASIS OF THE DISCRIMINATION 
COMPLAINT.)
    2. If you believe you have been discriminated against on the basis 
of race, color, religion, sex, age, national origin, mental/physical 
handicap, and/or reprisal for participation in a Title VII activity, you 
have the right to file a complaint of discrimination within 15 calendar 
days after receipt of this notice.
    3. This complaint must be in writing, preferably on a DA Form 2950-
R, which can be obtained from the Equal Employment Opportunity Office. 
Your complaint must be filed in person or by mail with the following 
officials authorized to receive discrimination complaints:

a. Equal Employment Opportunity Officer
(ADDRESS)
b. Activity Commander
(ADDRESS)
c. Federal Woman's Program Manager
(ADDRESS)

[[Page 517]]

d. Director of Equal Employment Opportunity, Department of the Army
ATTN: SFCR
WASH, DC 20310-1813
e. Secretary of the Army
ATTN: SFCR
WASH, DC 20310-1813

    4. The formal complaint should specify the issues which form the 
basis for the complaint and the matter giving rise to the complaint 
which were discussed with the EEO counselor. If you add issues not 
counseled, the formal complaint will be returned to you for further 
counseling.
    5. If an attorney is retained as a representative, you must notify 
the EEO officer (NAME AND ADDRESS).

(SIGNATURE BLOCK)
EEO counselor
Notes:

    1. This notice is to be given to the person counseled at the final 
interview.
    2. A copy of this notice will be provided to the EEO officer with 
the counselor's report and made part of file.

    Appendix F to Part 588--Sample Format: Notice of Right To File a 
                        Discrimination Complaint

Subject: Notice of Right To File a Discrimination Complaint
From: EEO Counselor
To: (NAME OF PERSON COUNSELED)

    1. Although my inquiry into the matter you brought to my attention 
has not been completed, 21 calendar days have passed since you first 
contacted me and you are now entitled to file a discrimination complaint 
based on race, color, religion, sex, national origin, physical or mental 
handicap, age, and/or reprisal. If you do not file a complaint at this 
time, my inquiry will continue and your right to file a complaint will 
continue until 15 calendar days after the final interview with me. I 
will inform you in writing when the final interview is conducted. If you 
file a complaint, it must be in writing, preferably using DA Form 2590-
R, and filed in person or by mail with the following officials 
authorized to receive discrimination complaints:

a. Equal Employment Opportunity Officer
(ADDRESS)
b. Activity Commander
(ADDRESS)
c. Federal Women's Program Manager
(ADDRESS)
d. Director of Equal Employment Opportunity
Department of the Army
ATTN: SFCR
WASH, DC 20310-1813
e. Secretary of the Army
ATTN: SFCR
WASH, DC 20310-1813

    2. If you file your complaint with one of the officials listed 
above, it will be sent to the activity EEO officer for processing. 
Therefore, if you choose to file your complaint with any of the 
officials listed above be sure to provide a copy of your complaint to 
the EEO officer to ensure prompt processing of your complaint.
    3. The complaint must be specific and must be limited to the matters 
discussed with me. It must also state whether or not you have filed a 
formal grievance or an appeal to the Merit Systems Protection Board on 
the same matters. Additionally, you must state whether you are having 
this matter considered under a negotiated grievance procedure.
    4. You or your representative must immediately notify the EEO 
officer, in writing, if you retain an attorney or any other person to 
represent you.

(SIGNATURE)
EEO counselor
Notes:

    1. This notice is to be given to the person counseled 21 days after 
the counselor was first contacted on this matter by the complainant.
    2. A copy of this notice will be provided the EEO officer with the 
counselor's report and made a part of the complaint file.

      Appendix G to Part 588--Sample Format: Notice of Receipt of 
                        Discrimination Complaint

Subject: Notice of Receipt of Discrimination Complaint
From: EEO Officer
To: (COMPLAINANT)

    1. This notice acknowledges receipt of your discrimination complaint 
dated (DATE), and gives you a written notice of your rights and the time 
requirements for exercising these rights. If you have further questions, 
please ask your EEO counselor or contact me.
    2. If your complaint is accepted, it will be investigated. Based on 
the information developed by the investigation, an attempt will be made 
to resolve your complaint informally. You will receive a copy of the 
investigative report and have an opportunity to discuss it with an Army 
official.
    3. If your complaint, or any allegation contained in it, is 
rejected, the rejection is considered to be a final Army decision on the 
complaint or that part of the complaint which is rejected. You will 
receive a notice by separate letter if your complaint or any part of it 
is rejected. You will be advised at that time of your rights of appeal.
    4. If a complaint is settled, the terms of the settlement will be 
stated in writing and you will be given a copy.

[[Page 518]]

    5. If a complaint is not settled you will be notified in writing of 
the proposed disposition of the complaint. You will also be notified of 
your right to a hearing by an Equal Employment Opportunity Commission 
(EEOC) complaints examiner who will recommend a decision to the Army, or 
to a decision by the Army without an EEOC hearing. If you want a hearing 
or a decision by the Army without a hearing, you must notify the Army in 
writing within 15 days after receiving the proposed disposition of your 
complaint. Your request for a hearing or for an Army decision without a 
hearing must be addressed to me in order that I can make the necessary 
arrangements.
    6. If, within 15 days after your receipt of the proposed 
disposition, you fail to request a hearing or to ask for a decision by 
the Army without a hearing, that disposition will become the final Army 
decision.
    7. If you are dissatisfied with the final Army decision (with or 
without a hearing), you may file a notice of appeal to the EEOC Office 
of Review and Appeals within 20 calendar days after receiving the 
decision. A copy of the notice should be sent to EEOCCRA ATTN: SFCR, 
WASH DC 20310-1813. Also, you may submit a brief or statement to support 
your appeal within 30 calendar days after filing the notice of appeal. 
At the same time, you must furnish a copy of the supporting brief or 
statement to EEOCCRA.
    8. Any appeal to the EEOC should be addressed to the Director, 
Office of Review and Appeals, Equal Employment Opportunity Commission, 
2401 E Street, NW., Wash DC 20506. The appeal and any representations in 
its support must be filed in duplicate.
    9. Instead of an appeal to the EEOC, you may file a civil action in 
a proper Federal District Court within 30 calendar days after receiving 
the Army decision or, if the Army has not issued a final decision on 
your complaint, after 180 calendar days from the date the formal 
complaint was filed.
    10. If you decide to appeal to the EEOC Office of Review and 
Appeals, you will still have an opportunity to file a civil action in a 
Federal District Court within 30 calendar days after receiving the 
EEOC's final decision, or 180 calendar days after the date of your 
initial appeal to the Commission if EEOC has not rendered a final 
decision.

(SIGNATURE BLOCK)
EEO Officer
Notes:

    1. The notice is sent by certified mail, return receipt requested, 
or personally delivered to both complainant and representative. If the 
notice is personally delivered, the complainant and his or her 
representative will acknowledge receipt by signing and dating the 
official file copy of the notice. If they decline to sign the copy, the 
server will sign it and indicate to whom and when the notice was served.
    2. A copy of the notice given to the complainant will be filed in 
the complaint file. In age discrimination cases, references to the right 
to file a civil action (paras 4 and 5) will specify that the complainant 
can file a civil action in a Federal District Court 30 days after 
providing notice to the EEOC of his or her intent to file a civil 
action. Such notice must be given to the EEOC within 180 days of the 
occurrence of the allleged discriminatory act. If a complainant elects 
to pursue his or her age discrimination complaint through the 
administrative procedures outlined in chapter 2, then he or she may not 
file a civil action in a Federal District Court until all administrative 
remedies (including an appeal of the final Army decision to the EEOC) 
have been exhausted.

         Appendix H to Part 588--Negotiated Settlement Agreement

                     NEGOTIATED SETTLEMENT AGREEMENT

IN THE MATTER OF:

(NAME)
Complainant

AND

(NAME OF ORGANIZATION)

    1. In the interest of promoting its Equal Employment Opportunity 
Program and to avoid protracted litigation, the Army agrees to settle 
the above-captioned complaint on the basis shown below.
    2. By entering this settlement, the Army does not admit that it has 
violated the Civil Rights Act of 1964, as amended, or any other Federal 
or State statute or regulation.
    3. The Army agrees to (SPECIFY REMEDY TO BE PROVIDED AND PROCESS BY 
WHICH REMEDY IS TO BE PROVIDED).
    4. Complainant's signature on this agreement constitutes the 
withdrawal of his or her complaint. In addition, the complainant agrees 
that he or she waives his or her right to sue over the matters raised in 
this complaint and that will not be made the subject of future 
litigation.
    5. If the Army does not carry out, or rescind, any action specified 
by the terms of the adjustment for any reason not attributable to acts 
or conduct of the complainant, the Army shall, upon the complaint's 
written request, reinstate the complaint for further processing from the 
point processing ceased under the terms of the adjustment. If the 
Activity Commander determines that the terms of the adjustment have been 
implemented, a decision declining to reinstate the complaint will be 
issued and the complainant will be advised of his/her appeal rights to 
EEOC.

[[Page 519]]

    6. I have read the Negotiated Settlement Agreement and accept and 
agree to its provisions.
For the Army
(ACTIVITY COMMANDER'S SIGNATURE)
 Date___________________________________________________________________
Complainant
(Complainant's signature)
(Signature of Complainant's representative, if any)
 Date___________________________________________________________________

Appendix I to Part 588--Sample Format--Notice of Proposed Disposition of 
                        Discrimination Complaint

Subject: Notice of Proposed Disposition of Discrimination Complaint
From: Activity Commander
To: (COMPLAINANT)

    1. This notice is to inform you of the proposed disposition of your 
discrimination complaint and of your rights if you are dissatisfied with 
the proposed disposition.
    a. Proposed disposition. (STATE THE SPECIFIC PROPOSED DISPOSITION OF 
THE COMPLAINT. INCLUDE A LEGAL ANALYSIS OF THE COMPLAINT, DISCUSSION OF 
THE FACTS, FINDING ON THE ISSUE OF DISCRIMINATION, AND A STATEMENT OF 
PROPOSED REMEDIAL ACTION IF APPLICABLE.)
    b. Right to a hearing.
    (1) If your are dissatisfied with the proposed disposition, you may 
request a hearing by the Equal Employment Opportunity Commission (EEOC) 
and a decision by the Army if you notify the EEO officer (PROVIDE 
SPECIFIC MAILING ADDRESS) within 15 calander days after receiving this 
notice, that you desire such a hearing.
    (2) If you request a hearing, you are expected to proceed without 
delay in presenting your complaint before the assigned EEOC complaints 
examiner. If you plan to have a representative, you should immediately 
obtain representation. You should also begin preparing a list of 
proposed witnesses with a summary of the testimony you believe each 
would present at the hearing. The complaints examiner will request this 
list immediately after being assigned to your case.
    (3) The failure to prosecute your complaint in a timely fashion may 
be grounds for the complaints examiner to return your case to the Army. 
The Army may then cancel your complaint or issue a final decision based 
on the evidence present in the complaint file.
    c. Right of decision without a hearing. If you are dissatisfied with 
the proposed disposition, you may request a decision by the Secretary of 
the Army or his or her designee without a hearing, based on the evidence 
in the complaint file. This request must be made to (ACTIVITY EEO 
OFFICER) within 15 calendar days after receiving this notice.
    d. Right of appeal. If you fail to notify the EEO officer of your 
intentions within the 15-day period, I or my designee may adopt as the 
Army final decision the proposed disposition shown above and will so 
notify you in writing. On receiving notification, you may file a notice 
of appeal to the EEOC Office of Review and Appeals within 20 calendar 
days. You may also submit a brief or statement to the EEOC to support 
your appeal within 30 calendar days after filing the notice of appeal. 
You must furnish the Equal Employment Opportunity Compliance and 
Complaint Review Agency (EEOCCRA); ATTN: SFCR WASH DC 20310-1813, with a 
copy of your appeal and a brief or statement. Instead of an appeal to 
the EEOC, you may file a civil action in a proper Federal District Court 
within 30 calendar days after you receive the final Army decision. If 
the Army has not issued a final decision, a civil action may be filed 
180 calendar days after the date you filed your formal complaint.
    2. If you appeal to the EEOC, you may still file a civil action 
within 30 calendar days after receiving the EEOC decision. You may also 
file a civil action 180 days after your appeal to EEOC if you have not 
received a final decision.

(SIGNATURE BLOCK)
Activity Commander.
Notes:

    1. The notice is sent by certified mail, return receipt requested, 
or personally delivered to both complainant and representative if any. 
If the notice is personally delivered, the complainant and his or her 
representative, if any, will acknowledge receipt by signing and dating 
the official file copy of the notice. If they decline to sign the copy, 
the server will sign it and indicate to whom and when the notice was 
served.
    2. A copy of the notice given to the complainant will be filed in 
the complaint file. In age discrimination cases, references to the right 
to file a civil action (paras 1d and 2) will specify that the 
complainant can file a civil action in Federal District Court only after 
all administrative remedies (INCLUDING AN APPEAL OF THE FINAL ARMY 
DECISION TO THE EEOC) have been exhausted.

[[Page 520]]

Appendix J to Part 588--Procedural Steps in a Class Action Determination 
                                Complaint
[GRAPHIC] [TIFF OMITTED] TC24OC91.002

 Appendix K to Part 588--Addresses and Geographic Jurisdiction of U.S. 
             Army Civilian Appellate Review Regional Offices

    USACARA investigators are assigned to investigate discrimination 
complaints from various regional offices located throughout the United 
States and Europe. When an EEO officer must obtain the services of a 
USACARA investigator in accord with paragraph 2-6 (individual 
complaints) he or she should contact the USACARA regional office with 
jurisdiction over the activity.

[[Page 521]]

    The USACARA regional officers are as follows:
USACARA: 5611 Columbia Pike, Room 434, Falls Church, VA 22041-5091, AV: 
289-1423, (703) 756-1423
Geographic Jurisdiction: USACARA Headquarters.
 USACARA-GC: Gorman Plaza Bldg., Suite 100, 8950 Old Annapolis Road, 
Columbia, MD 21045, (301) 995-0069, (202) 621-5170
Geographic Jurisdiction: Delaware, Maryland, Ohio, Virginia, District of 
Columbia, West Virginia.
 USACARA-SE: Citizens Trust Bldg., Room 450, 75 Piedmont Ave., NE, 
Atlanta, GA 30303, AV: 797-5801, (404) 363-5801
Geographic Jurisdiction: Alabama, Florida, Georgia, Mississippi, South 
Carolina, Puerto Rico, Panama.
USACARA-SW: Federal Bldg, 1100 Commerce Street, Room 6B25, Dallas, TX 
75242, (214) 767-0287
Geographic Jurisdiction: Arkansas, Louisiana, New Mexico, Oklahoma, 
Texas.
USACARA-MW: 405 S. Tucker Blvd., Room 4118, St. Louis, MO 63102-1132, 
AV: 693-0427, (314) 263-0427
Geographic Jurisdiction: Illinois, Indiana, Iowa, Kansas, Kentucky, 
Michigan, Minnesota, Missouri, New England, Tennessee, Wisconsin.
USACARA-WE: 801 ``I'' Street, Room 498, Sacramento, CA 95814, (916) 551-
1073, FTS: 460-1073
Geographic Jurisdiction: Alaska, Arizona, California, Colorado, Idaho, 
Montana, Nevada, North Dakota, Oregon, South Dakota, Utah, Washington, 
Wyoming.
USACARA-EU: APO NY 09102-0007, Heidelberg Military 8968/6351
Geographic Jurisdiction: Europe, Africa, North East, Atlantic Area, 
Middle East.
USACARA-PA: P.O. Box 50041, Honolulu, HI 96850-0001, (808) 546-8344
Geographic Jurisdiction: Hawaii, Far East, Pacific Area.
USACARA-NE: 766 Shrewsberry Ave., 3rd Floor, Tinton Falls, NJ 07724, 
(201) 741-1900
Geographic Jurisdiction: Pennsylvania, New Jersey, Maine, Massachusetts, 
New Hampshire, Vermont, Rhode Island, Connecticut, New York.

    Appendix L to Part 588--Sample format for Notice of Final Action

                                Section I

                Format for the Final Army Decision Letter

                                 1. Use

    The notice of final Army decision is to be used under the following 
circumstances:
    a. If a discrimination complaint is rejected or canceled.
    b. If a proposed disposition is adopted after the complainant has 
failed to request a hearing or a decision by the Army without a hearing.
    c. If an activity rejects a written request to reinstate a complaint 
for further processing.

                               2. Delivery

    The notice of final Army decision is sent by certified mail, return 
receipt requested, or personally delivered to both complainant and 
representative, if any. If the notice is personally delivered, the 
complainant and his or her representative, if any, will acknowledge 
receipt by signing and dating the official file copy of the notice. If 
they decline to sign the copy, the server will sign it and indicate to 
whom and when the notice was served.

                                3. Filing

    A copy of this notice will be filed in the complaint file.

           4. Preparation of the Notice of Final Army Decision

    The notice of final Army decision should contain the notice itself 
and one of the three appeal rights.

                               Section II

                              Appeal Rights

                                 5. Use

    When a notice of final Army decision is issued by an activity it 
must contain an appropriate advisement of appellate rights. Use one of 
the following appellate rights as appropriate:
    a. Use figure L-2 for complaints that allege discrimination based on 
any of the following:
    (1) Race.
    (2) Color.
    (3) Religion.
    (4) Sex.
    (5) National origin.
    (6) Physical or mental handicap.
    (7) Reprisal.
    b. Use figure L-3 for complaints that allege age discrimination as 
their only bases.
    c. Use figure L-4 for complaints that allege age discrimination and 
any of the following:
    (1) Race.
    (2) Color.
    (3) Religion.
    (4) Sex.
    (5) National origin.
    (6) Physical or mental handicap.
    (7) Reprisal.

                               Figure L-1

Subject: Notice of final Army decision, (Docket number).
From: (ACTIVITY COMMANDER).
To: (COMPLAINANT)

[[Page 522]]

    This is the Army's final decision on your equal employment 
opportunity complaint, dated (date). You alleged (specify type of 
discrimination) when (state the wrong allegedly suffered by the 
complainant.)
    Based on my evaluation of your complainant and pursuant to my 
authority to issue a final decision in this matter in accord with 
paragraph 2-9g, AR 690-600, I have decided you (were or were not) 
subjected to prohibited discrimination in the matter at issue.
    (Specify the reasons for the decision and the documents, or reports 
relied upon in reaching your decision.)
    If you are dissatisfied with this final Army decision, you have the 
following appeal rights: (See figs L-2, L-3, or L-4.)

                               Figure L-2

                          Regular Appeal Rights

         (for all allegations of discrimination other than age)

                              Appeal Rights

    1. An appeal may be filed with the equal employment Opportunity 
Commission within 20 calendar days of receipt of this decision. The 20-
day period for filing an appeal begins on the date of receipt of this 
decision. The appeal must be postmarked, or in the absence of a 
postmark, received by the Commission within 20 calendar days of the date 
of receipt of this decision. Statements or briefs in support of the 
appeal may be submitted up to 30 calendar days from the date the appeal 
is filed. The regulation providing for appeal rights, section 1613.233, 
title 29, Code of Federal Regulations (29 CFR 1613.233), is reproduced 
below pursuant to 29 CFR 1613.221(e).

                    ``Section  1613.233 Time limits.

    (a) Except as provided in paragraph (c) of this section, a 
complainant may file a Notice of Appeal at any time up to 20 calendar 
days after receipt of the agency's notice of final decision on his or 
her complaint. An appeal shall be deemed filed on the date it is 
postmarked, or, in the absence of a postmark, on the date it is received 
by the Commission. Any statement or brief in support of the appeal must 
be submitted to the Commission and to the defendant agency within 30 
calendar days of filing the Notice of Appeal. For purposes of this part, 
the decision of an agency shall be final only when the agency makes a 
determination on all of the issues in the complaint, including whether 
or not to award attorney's fees or costs. If a decision to award 
attorney fees or costs is made, the decision will not be final until the 
procedure is followed for determining the amount of the award as set 
forth in Section 1613.271(c).
    (b) When issues of discrimination have been raised in a negotiated 
grievance process, a complainant may file a Notice of Appeal of such 
issues up to 20 days after:
    (1) Receipt of an agency decision on the grievance and expiration of 
the time during which the union and the agency may move the matter to 
the next stage of the grievance process;
    (2) Receipt of an arbitrator's award; or (3) receipt of the decision 
of the FLRA on exceptions to the arbitrator's award.
    (c) The 20-day time limit within which a Notice of Appeal must be 
filed will not be extended by the Commission unless, based upon a 
written statement by the complainant showing that he or she was not 
notified of the prescribed time limit and was not otherwise aware of it 
or that circumstances beyond his or her control prevented the filing of 
a Notice of Appeal within the prescribed time limit, the Commission 
exercises its discretion to extend the time limit and accept the 
Appeal.''
    2. In lieu of an appeal to the Commission, a civil action may be 
filed in an appropriate United States District Court within 30 calendar 
days of receipt of the decision.
    3. If an appeal to the Commission is filed, a civil action may be 
filed in a United States District Court within 30 calendar days of 
receipt of the Commission's final decision.
    4. A civil action may also be filed any time after 180 calendar days 
of the date of initial appeal to the Commission, if a decision has not 
been rendered.
    5. If a civil action is filed, and complainant does not have or is 
unable to obtain the services of a lawyer, the complainant may request 
the court to appoint a lawyer to represent him/her. In such 
circumstances as the court may deem just, the court may appoint a lawyer 
and may authorize the commencement of the action without the payment of 
fees, costs, or security. Any such request must be made within the above 
referenced 30-day time limit for filing suit and in such form and manner 
as the court may require.
    6. Appeals to the Commission should be forwarded to the Director, 
Office of Review and Appeals, Equal Employment Opportunity Commission, 
2401 E Street, NW, WASH DC 20507. Any statement or brief in support of 
the appeal must be submitted to the Commission with two copies to the 
Director, Equal Employment Opportunity Compliance and Complaints Review 
Agency, Department of the Army, ATTN: SFCR, WASH DC 20310-1813, within 
30 calendar days of filing the Notice of Appeal.

                              Docket Number

    The docket number identified in the upper right hand corner of page 
1 of this letter should be used on all correspondence to the Director of 
Equal Employment Opportunity or the Director, Equal Employment 
Opportunity Compliance and Complaints Review Agency.

[[Page 523]]

    Sincerely,
        (Signature block)

                     Figure L-3.  Age Appeal rights

                         Age Only Appeal Rights

                 (for allegations of age discrimination)

                              Appeal Rights

    1. An appeal may be filed with the Equal Employment Opportunity 
Commission within 20 calendar days of receipt of this decision. The 20-
day period for filing an appeal begins on the date of receipt of this 
decision. The appeal must be postmarked, or in the absence of a 
postmark, received by the Commission within 20 calendar days of the date 
of receipt of this decision. Statements or briefs in support of the 
appeal may be submitted up to 30 calendar days from the date the appeal 
is filed. The regulation providing for appeal rights, section 1613.233, 
title 29, Code of Federal Regulations (29 CFR 1613.233), is reproduced 
below pursuant to 29 CFR, 1613.221(e).

                    ``Section 1613.233  Time limits.

    (a) Except as provided in paragraph (c) of this section, a 
complainant may file a notice of appeal at any time up to 20 calendar 
days after receipt of the agency's notice of final decision on his or 
her complaint. An appeal shall be deemed filed on the date it is 
postmarked, or, in the absence of a postmark, on the date it is received 
by the Commission. Any statement or brief in support of the appeal must 
be submitted to the Commission and to the defendant agency within 30 
calendar days of filing the notice of appeal. For purposes of this part, 
the decision of an agency shall be final only when the agency makes a 
determination on all of the issues in the complaint, including whether 
or not to award attorney's fees or costs. If a decision to award 
attorney fees or costs is made, the decision will not be final until the 
procedure is followed for determining the amount of the award as set 
forth in Sec. 1613.217(c).
    (b) When issues of discrimination have been raised in a negotiated 
grievance process, a complainant may file a Notice of Appeal of such 
issues up to 20 days after: (1) receipt of an agency decision on the 
grievance and expiration of the time during which the union and the 
agency may move the matter to the next stage of the grievance process; 
(2) receipt of an arbitrator's award; or (3) receipt of the decision of 
the FLRA on exceptions to the arbitrator's award.
    (c) The 20-day time limit within which a notice of appeal must be 
filed will not be extended by the Commission unless, based upon a 
written statement by the complainant showing that he or she was not 
notified of the prescribed time limit and was not otherwise aware of it 
or that circumstances beyond his or her control prevented the filing of 
a Notice of Appeal within the prescribed time limit, the Commission 
exercises its discrection to extend the time limit and accept the 
Appeal.''
    2. Appeals to the Commission should be forwarded to the Director, 
Office of Review and Appeals, Equal Employment Opportunity Commission, 
2401 E Street, NW, WASH DC 20507. Any statement or brief in support of 
the appeal must be submitted to the Commission with two copies to the 
Director, Equal Employment Opportunity Compliance and Complaints Review 
Agency, Department of the Army, ATTN: SFCR, WASH DC 20310-1813, within 
30 calendar days of filing the Notice of Appeal.
    3. Attorney fees are not allowable for age discrimination complaints 
in the administrative process.

                              Docket Number

    The docket number identified in the upper right hand corner of page 
1 of this letter should be used on all correspondence to the Director of 
Equal Employment Opportunity or the Director, Equal Employment 
Opportunity Compliance and Complaints Review Agency.
    Sincerely,
        (Signature block)

                   Figure L-4.  Combined appeal rights

                         Combined Appeal Rights

   (for allegations of age plus race, color, religion, sex, national 
          origin, physical or mental handicap, and/or reprisal)

                    Appeal Rights-Age Discrimination

    1. An appeal may be filed with the Equal Employment Opportunity 
Commission within 20 calendar days of receipt of this decision. The 20-
day period for filing an appeal begins on the date of receipt of this 
decision. The appeal must be postmarked, or in the absence of a 
postmark, received by the Commission within 20 calendar days of the date 
of receipt of this decision. Statements or briefs in support of the 
appeal may be submitted up to 30 calendar days from the date the appeal 
is filed. The regulation providing for appeal rights, section 1613.233, 
title 29, Code of Federal Regulations (29 CFR 1613.233), is reproduced 
below pursuant to 29 CFR 1613.221(e).

                    ``Section 1613.233  Time limits.

    (a) Except as provided in paragraph (c) of this section, a 
complainant may file a notice of appeal at any time up to 20 calendar 
days after receipt of the agency's notice of final decision on his or 
her complaint. An appeal shall be deemed filed on the date it is 
postmarked, or, in the absence of a postmark, on the date it is received 
by the Commission.

[[Page 524]]

Any statement or brief in support of the appeal must be submitted to the 
Commission and to the defendant agency within 30 calendar days of filing 
the notice of appeal. For purposes of this part, the decision of an 
agency shall be final only when the agency makes a determination on all 
of the issues in the complaint, including whether or not to award 
attoney fees or costs. If a decision to award attorney's fees or costs 
is made, the decision will not be final until the procedure is followed 
for determining the amount of the award as set forth in 
Sec. 1613.271(c).
    (b) When issues of discrimination have been raised in a negotiated 
grievance process, a complainant may file a Notice of Appeal of such 
issues up to 20 days after: (1) receipt of an agency decision on the 
grievance and expiration of the time during which the union and the 
agency may move the matter to the next stage of the grievance process; 
(2) receipt of an arbitrator's award; or (3) receipt of the decision of 
the FLRA on exceptions to the arbitrator's award.
    (c) The 20-day time limit within which a notice of appeal must be 
filed will not be extended by the Commission unless, based upon a 
written statement by the complaint showing that he or she was not 
notified of the prescribed time limit and was not otherwise aware of it 
or that circumstances beyond his or her control prevented the filing of 
a Notice of Appeal within the prescribed time limit, the Commission 
exercises its discretion to extend the time limit and accept the 
appeal.''
    2. Appeals to the Commission should be forwarded to the Director, 
Office of Review and Appeals, Equal Employment Opportunity Commission, 
2401 E Street, NW, WASH DC 20507. Any statement or brief in support of 
the appeal must be submitted to the Commission with two copies to the 
Director, Equal Employment Opportunity Compliance and Compliants Review 
Agency, Department of the Army, ATTN: SFCR, WASH DC 20310-1813, within 
30 calendar days of filing the Notice of Appeal.
    3. Attorney fees are not allowable for age discrimination complaints 
in the administrative process.

                          Appeal Rights--Other

    1. An appeal may be filed with the Equal Employment Opportunity 
Commission within 20 calendar days of receipt of this decision. The 20-
day period for filing an appeal begins on the date of receipt of this 
decision. The appeal must be postmarked, or in the absence of a 
postmark, received by the Commission within 20 calendar days of the date 
of receipt of this decision. Statements or briefs in support of the 
appeal may be submitted up to 30 Calendar days from the date the appeal 
is filed. The regulation providing for appeal rights, section 1613.233, 
title 29 Code of Federal Regulations (29 CFR 1613.233), is reproduced 
below pursuant to 29 CFR 1613.221(e).

                     ``Section 1613.233 Time limits.

    (a) Except as provided in paragraph (c) of this section, a complaint 
may file a notice of appeal at any time up to 20 calendar days after 
receipt of the agency's notice of final decision on his or her 
complaint. An appeal shall be deemed filed on the date it is postmarked, 
or, in the absence of a postmark, on the date it is received by the 
Commission. Any statement or brief in support of the appeal must be 
submitted to the Commission and to the defendant agency within 30 
calendar days of filing the notice of appeal. For purposes of this part, 
the decision of an agency shall be final only when the agency makes a 
determination on all of the issues in the complaint, including whether 
or not to award attorney fees or costs. If a decision to award 
attorney's fees or costs is made, the decision will not be final until 
the procedure is followed for determining the amount of the award as set 
forth in Sec. 1613.271(c).
    (b) When issues of discrimination have been raised in a negotiated 
grievance process, a complaint may file a Notice of Appeal of such 
issues up to 20 days after:
    (1) Receipt of an agency decision on the grievance and expiration of 
the time during which the union and the agency may move the matter to 
the next stage of the grievance process; (2) receipt of an arbitrator's 
award; or (3) receipt of the decision of the FLRA on exceptions to the 
arbitrator's award.
    (c) The 20-day limit within which a notice of appeal must be filed 
will not be extended by the Commission unless, based upon a written 
statement by the complainant showing that he or she was not notified of 
the prescribed time limit and was not otherwise aware of it or that 
circumstances beyond his or her control prevented the filing of a Notice 
of Appeal within the prescribed time limit, the Commission exercise its 
discretion to extend the time limit and accept the Appeal.''
    2. In lieu of an appeal to the Commission, a civil action may be 
filed in an appropriate United States District Court within 30 calendar 
days of receipt of the decision.
    3. If an appeal to the Commission is filed, a civil action may be 
filed in a United States District Court within 30 calendar days of 
receipt of the Commission's final decision.
    4. A civil action may also be filed any time after 180 calendar days 
of the date of initial appeal to the Commission, if a decision has not 
been rendered.
    5. If a civil action is filed, and complainant does not have, or is 
unable to obtain the services of a lawyer, the complainant may request 
the court to appoint a lawyer to represent him/her. In such 
circumstances as the court may deem just, the court may appoint

[[Page 525]]

a lawyer and may authorize the commencement of the action without the 
payment of fees, costs or security. Any such request must be made within 
the above referenced 30-day time limit for filing suit and in such form 
and manner at the court may require.
    6. Appeals to the Commission should be forwarded to the Director, 
Office of Review and Appeals, Equal Employment Opportunity Commission, 
2401 E Street, NW, WASH DC 20507. Any statement or brief in support of 
the appeal must be submitted to the Commission with two copies to the 
Director, Equal Employment Opportunity Compliance and Complaints Review 
Agency Department of the Army, ATTN: SFCR, WASH DC 20310-1813, within 30 
calendar days of filing the Notice of Appeal.

                              Docket Number

    The docket number identified in the upper right hand corner of page 
1 of this letter should be used on all correspondence to the Director of 
Equal Employment Opportunity or the Director, Equal Employment 
Opportunity Compliance and Complaints Review Agency.
    Sincerely,
        (Signature block)

 Appendix M to Part 588--Addresses and Geographic Jurisdiction of EEOC 
                            District Offices

     Addresses and Geographic Jurisdictions of EEOC District Offices

    C-1.  EEOC complaints examiners are assigned to hear discrimination 
complaints from various district offices located throughout the United 
States. When an EEO officer must obtain the services of an EEOC 
complaints examiner to conduct a hearing in accord with paragraph 2-13 
(individual complaints) or paragraph 3-6 (class action complaints), he 
or she should contact the EEOC district office with jurisdiction over 
the activity.
    C-2.  The EEOC district offices are as follows:

                        Atlantic District Office

District Director, EEOC, Citizens Trust Bldg., 10th Fl., 75 Piedmont 
Avenue, NE., Atlanta, Georgia 30335, (404) 212-6091, FTS 242-6091.
Geographic Jurisdiction: States of Georgia and South Carolina.

                        Baltimore District Office

District Director, EEOC, 109 Market Pl., Suite 4000, Baltimore, Maryland 
21201, (301) 962-3932, FTS 922-3932.
Geographic Jurisdiction: States of Maryland and Virginia, District of 
Columbia, Europe.

                       Birmingham District Office

District Director, EEOC, 2121 Eighth Ave., North, Birmingham, Alabama 
35203, (205) 254-1166, FTS 229-1166.
Geographic Jurisdiction: States of Alabama and Mississippi.

                        Charlotte District Office

District Director, EEOC, 1301 East Morehead Street, Charlotte, North 
Carolina 28204, (704) 371-6437, FTS 672-6455.
Geographic Jurisdiction: State of North Carolina.

                         Chicago District Office

District Director, EEOC, Federal Bldg., Room 930A, 536 S. Clark Street, 
Chicago, Illinois 60605, (312) 353-2712, FTS 353-2713.
Geographic Jurisdiction: State of Illinois, except counties of 
Alexander, Bond, Calhoun, Clinton, Greene, Jackson, Jersey, Macoupin, 
Madison, Monroe, Perry, Pulaski, Randolph, St. Clair, Union, and 
Washington.

                        Cleveland District Office

District Director, EEOC, One Playhouse Square, 1375 Euclid Avenue, Room 
600, Cleveland, Ohio 44115, (216) 522-7425, FTS 942-4784.
Geographic Jurisdiction: State of Ohio.

                         Dallas District Office

District Director, EEOC, 8303 Elmbrook Dr., 2nd Floor, Dallas, Texas 
75247, (214) 767-7015, FTS 729-7015.
Geographic Jurisdiction: States of Oklahoma and Texas counties of: 
Anderson, Archer, Armstrong, Bailey, Baylor, Bell, Borden, Bosque, 
Bowie, Briscoe, Brown, Callahan, Camp, Carson, Cass, Castro, Cherokee, 
Childress, Clay, Coke, Coleman, Collin, Collingsworth, Comanche, Cooke, 
Coryell, Cottle, Crath, Crosby, Dallas, Deafsmith, Delta, Denton, 
Dickens, Donley, Ellis, Falls, Fannin, Fisher, Floyd, Foard, Franklin, 
Freestone, Garza, Glasscock, Gray, Grayson, Gregg, Hale, Hall, Hamilton, 
Hansford, Hardeman, Harrison, Hartley, Haskell, Hemphill, Henderson, 
Hill, Hood, Hopkins, Howard, Houston, Hunt, Hutchinson, Irion, Jack, 
Jonson, Jones, Kaufman, Kent, King, Knox, Lamar, Lampasas, Leon, 
Limestone, Lipscomb, Madison, Marion, McLennan, Mehannan, Milam, Mills, 
Mitchell, Montague, Moore, Morris, Motley, Nacogdoches, Navarro, Nolam, 
Ochiltree, Oldham, Palo Pinto, Panola, Parker, Parmer, Potter, Rains, 
Randall, Regean, Red River, Robertson, Rockwall, Runnels, Rusk, Scurry, 
Shackelford, Shelby, Sherman, Smith, Somervell, Stephens, Sterling, 
Stonewall, Swisher, Tarrant, Taylor, Throckmorton, Titus, Tom Green, 
Upshur, Van Zandt,

[[Page 526]]

Wheeler, Wichita, Wilbarger, Wise, Wood, Young, Andrews, Cochran, Crane, 
Culberson, Dawson, Ector, El Paso, Gaines, Hockley, Hudspeth, Loving, 
Lubbock, Lynn, Martin, Midland, Reeves, Terry, Upton, Ward, Winkler, 
Yoakum.

                         Denver District Office

District Director, EEOC, 1531 Stout Street, 6th Floor, Denver, Colorado 
80202, (303) 844-2711, FTS 564-2771.
Geographic Jurisdiction: States of Colorado, Wyoming, Montana, North 
Dakota, South Dakota.

                         Detroit District Office

District Director, EEOC, McNamara Federal Building, 477 Michigan Avenue, 
Room 1540, Detroit, Michigan 48226, (313) 226-7636, FTS 226-7636.
Geographic Jurisdiction: State of Michigan.

                         Houston District Office

District Director, EEOC, 405 Main Street, 6th Floor, Houston, Texas 
77002, (713) 226-5601, FTS 526-5601.
Geographic Jurisdiction: State of Texas, counties of: Angelina, Austin, 
Brazoria, Chambers, Colorado, Fort Bend, Galverston, Grimes, Hardin, 
Harris, Jasper, Jefferson, Liberty, Matagorda, Montgomery, Newton, 
Orange, Polk, Sabine, San Augustine, San Jacinto, Trinity, Tyler, 
Walder, Waller, Warton.

                      Indianapolis District Office

District Director, EEOC, Federal Building, U.S. Courthouse, 46 E. Ohio 
Street, Room 456, Indianapolis, Indiana 46204, (317) 269-7212, FTS 331-
7212.
Geographic Jurisdiction: States of Indiana and Kentucky.

                       Los Angeles District Office

District Director, EEOC, 3255 Wilshire Blvd., 9th Floor, Los Angeles, 
California 90010, (213) 798-3400, FTS 798-3400.
Geographic Jurisdiction: State of Nevada, and California counties of: 
Los Angeles, San Bernadino, Ventura, Kern, San Luis Obispo, Santa 
Barbara, Orange, Riverside, Imperial, San Diego.

                         Memphis District Office

District Director, EEOC, 1407 Union Avenue, Suite 502, Memphis, 
Tennessee 38104, (901) 521-2617, FTS 222-2617.
Geographic Jurisdiction: States of Tennessee and Arkansas.

                          Miami District Office

District Director, EEOC, Metro--Mall Building, 1 NE First Street, Miami, 
Florida 33132, (305) 350-4949, FTS 350-4491.
Geographic Jurisdiction: State of Florida, and Panama Canal Zone.

                        Milwaukee District Office

District Director, EEOC, 310 West Wisconsin Ave., Suite 800, Milwaukee, 
Wisconsin 53203, (414) 291-1111, FTS 362-1111.
Geographic Jurisdiction: States of Wisconsin, Minnesota, and Iowa.

                       New Orleans District Office

District Director, EEOC, F. Edward Herbert Federal Bldg., 600 South 
Street, New Orleans, Louisiana 70130, (504) 589-3842, FTS 682-3842.
Geographic Jurisdiction: State of Louisiana.

                        New York District Office

District Director, EEOC, 90 Church St., Room 501, New York, New York 
10007, (804) 441-3470, FTS 827-3470.
Geographic Jurisdiction: States of New York, Connecticut, Rhode Island, 
Massachusetts, New Hampshire, Vermont, Maine; and Puerto Rico and the 
Virgin Islands.

                      Philadelphia District Office

Acting District Director, EEOC, 127 N. 4th Street, Suite 300, 
Philadelphia, Pennsylvania 19106, (215) 597-7784, FTS 597-7784.
Geographic Jurisdiction: States of Pennsylvania, New Jersey, Delaware, 
and West Virginia.

                         Phoenix District Office

District Director, 135 North Second Ave., 4th Floor, Phoenix, Arizona 
85003, (602) 261-3882, FTS 261-382.
Geographic Jurisdiction: States of Arizona, New Mexico, and Utah.

                       San Antonio District Office

District Director, EEOC, 727 East Durango, Suite B-601, San Antonio, 
Texas 78206, (512) 229-6051.
Geographic Jurisdiction: State of Texas, counties of: Aransas, Atascosa, 
Bandera, Bastrop, Bee, Bexar, Blanco, Brazos, Brewster, Brooks, 
Burleson, Burnet, Caldwell, Calhoun, Cameron, Comal, Conmcho, Crockett, 
De Witt, Dimmit, Duval, Dewards, Fayette, Frio, Gillespie, Goliad, 
Gonzalos, Guadalupe, Hays, Hildalgo, Jackson, Jeff Davis, Jim Hogg, Jim 
Wells, Karnes, Kendall, Kenedy, Kent, Kerr, Kimble, Kinney, Kleberg, La 
Salle, Lavaca, Lee, Live Oak, Llano, Mason, Maverick, Medina, Menard, 
McCulloch, McMullen, Neuces, Pecos, Presidio, Real, Refugio, San 
Patricio, San Saba, Scheleicher, Starr, Sutton, Terrell, Travis, Uvalde, 
Val Verde, Victoria, Washington, Webb, Willacy, Williamson, Wilson, 
Zapata, Zavala.

[[Page 527]]

                      San Francisco District Office

District Director, EEOC, 10 United Nations Plaza, 4th Floor, San 
Francisco, California 94102, (415) 556-0260, FTS 556-0260.
Geographic Jurisdiction: State of Hawaii, Pacific Far East, and 
California counties of: Colusa, Del Norte, Glenn, Humbott, Lake, Marlin, 
Mendocino, Napa, San Francisco, San Mateo, Solana, Sonoma, Trinity, 
Yolo, Fresno, Inyo, Kings, Madera, Alameda, Alpine, Amador, Calaveras, 
Contra Costa, Mono, San Joaquin, Stanislaus, Tuolumne, Butte, El Dorado, 
Lassen, Modoc, Nevada, Placer, Plumas, Sacramento, Shasta, Sierra, 
Siskiyou, Sutter, Tehama, Yung, Monterey, Santa Clara, Santa Cruz.

                         Seattle District Office

District Director, EEOC, Arcade Plaza Building, 7th Floor, Seattle, 
Washington 98101, (206) 442-0968, FTS 339-0968.
Geographic Jurisdiction: States of Washington, Oregon, Idaho, and 
Alaska.

                        St. Louis District Office

District Director, EEOC, Central West Plaza Bldg., 4th Floor, 625 N. 
Euclid Street, St. Louis, Missouri 63108, (314) 425-6585, FTS 279-6585.
Geographic Jurisdiction: States of Missouri, Kansas, and Illinois 
counties of: Alexander, Bond, Calhoun, Clinton, Greene, Jackson, Jersey, 
Macoupin, Madison, Monroe, Perry, Pulaski, Randolph, St. Clair, Union, 
Washington.

           Appendix N to Part 588--Sample advice--Mixed cases

    N-1. The following advice should be attached verbatim to all Army 
decisions on personnel actions that are appealable to the MSPB where the 
employee has raised the issue of discrimination, either orally or in 
writing, during the processing of the personnel action but prior to the 
Army decision to effect that personnel action:

    If you believe that this personnel action discriminated against you 
on the basis of your race, color, religion, sex, national origin, age, 
physical or mental handicap and/or reprisal, you may file a complaint of 
discrimination with the following person (activity EEO officer) or you 
may file an appeal with the Merit Systems Protection Board, as 
previously described. You may not, however, file both. Should you elect 
to file a complaint of discrimination, your complaint will be processed 
in accordance with Equal Employment Opportunity Commission regulations 
at section 1613.401, title 29, Code of Federal Regulations (29 CFR 
1613.401.) Should you elect to file an appeal, your appeal will be 
processed in accordance with MSPB regulations at 5 CFR 1201.

    N-2. The following advice is applicable to mixed case complaints and 
should be attached to all decisions where the Army rejects the complaint 
pursuant to 29 CFR 1613.405(a) (that is, where the complainant has 
previously appealed the matter which forms the basis of the complaint to 
the MSPB):

    Should you wish to proceed further with this matter, you must bring 
the allegations of discrimination contained in this rejected complaint 
to the attention of the MSPB as part of your appeal, pursuant to 5 CFR 
1201.155.

    N-3. The following advice is applicable to mixed case complaints 
filed on or after May 2, 1983, and should be attached to all decisions 
where the Army canceled the complaint pursuant to 29 CFR 1613.405(b) 
(that is, where the Army learns, after accepting a complaint, that the 
complainant previously filed an appeal on the same matter with the 
MSPB):

    Should you wish to proceed further with this matter, you must bring 
the allegations of discrimination contained in this canceled complaint 
to the attention of the MSPB as part of your appeal to them, pursuant to 
5 CFR 1201.155.

    N-4. The following advice shall be made a part of all letters 
notifying the complainant of the acceptance of a mixed case complaint 
for processing pursuant to 29 CFR 1613.405(e):

    Your complaint shall be processed in accordance with 29 CFR 
1613.405(e) of Equal Employment Opportunity Commission (EEOC) 
regulations. If you do not receive a final agency decision on this 
complaint within 120 calendar days of the date of the filing of this 
complaint, you may appeal the matter to the Merit Systems Protection 
Board at any time thereafter, up to, but not later than, 1 year from the 
filing of the complaint, or you may file a civil action, as specified at 
29 CFR 1613.417(g). If you are dissatisfied with the Army's eventual 
decision on this complaint, you may appeal that decision to the MSPB 
(not the EEOC) within 20 calendar days of receipt of the decision.

    N-5. The following advice shall be made a part of the letter 
notifying the complainant of the proposed disposition of a mixed case 
complaint:

    If you are dissatisfied with this proposed disposition, you are 
entitled to request a final discision (without a hearing by the EEOC) 
from the Secretary of the Army or his or her designee. If, thereafter, 
you should be dissatisfied with that final decision, you may appeal that 
decision to the MSPB within 20 calendar days of receipt of that 
decision. You

[[Page 528]]

may, in connection with any such appeal, request a hearing before the 
MSPB. In addition, if the Army's final decision has not been issued 
within 120 calendar days of the date on which you originally filed your 
complaint, you may appeal directly to the MSPB (not the EEOC) at the 
expiration of 120 calendar days, up to 1 year after filing the 
complaint. You may also file a civil action in Federal District Court 
within 30 calendar days of receipt of the final Army decision, if you do 
not file an appeal with the MSPB.

    N-6. The following advice shall be made a part of the letter 
notifying the complainant of the final agency decision on a mixed case 
complaint:

    If you are dissatisfied with this decision you have the right to 
appeal the matter to the Merit Systems Protection Board (not the Equal 
Employment Opportunity Commission), within 20 calendar days of receipt. 
You also have the right to file a civil action in Federal District Court 
within 30 calendar days of receipt of this decision and as further 
described at 29 CFR 1613.417(a).

    N-7. The following advice shall be made a part of the letter 
notifying the complainant of the cancellation pursuant to 29 CFR 
1613.406(a)(2). This applies when a complaint on a proposal to take an 
appealable action is canceled because the complainant has subsequently 
filed an appeal with the MSPB on the agency decision to effect that 
proposal):

    The allegation(s) of discrimination contained in this canceled 
complaint should be raised with the MSPB in connection with your pending 
appeal of the Army's decision to effect the action which formed the 
basis of this complaint.

                    Appendix O to Part 588--Glossary

                                Section I

                              Abbreviations

ADO--alleged discriminating official
CIVPERCEN--U.S. Army Civilian Personnel Center
CPO--civilian personnel officer
DA--Department of the Army
EEO--equal employment opportunity
EEOC--Equal Employment Opportunity Commission
EEOCCRA--Equal Employment Opportunity Compliance and Complaints Review 
Agency
FLRA--Federal Labor Relations Authority
MACOM--major Army command
MSPB--Merit Systems Protection Board
NAF--nonappropriated fund
ROI--report of investigation
SJA--Staff Judge Advocate
USACARA--U.S. Army Civilian Appellate Review Agency

                               Section II

                                  Terms

    Activity Commander. The Army Commander who has delegated appointing 
authority for the civilian work force and has a CPO, a labor counselor, 
and an EEO officer available for advice.
    Age discrimination. A claim of discrimination based on age by an 
individual who is at least 40 years of age at the time of the alleged 
discriminatory act.
    Agent of the class. A member of a class who files the complaint and 
acts for the class during the processing of the class complaint. This 
person alleges that an Army personnel practice or policy discriminates 
against the class on the basis of race, color, religion, sex, national 
origin, age, physical or mental handicap, and/or reprisal.
    Alleged discriminating official. A person identified or implicated 
by the complainant as responsible for the specific act or policy alleged 
to be discriminatory.
    Allegation of reprisal. A claim of restraint, interference, 
coercion, discrimination, or retaliation in connection with presenting 
or processing a complaint. Reprisal claims can be brought by 
complainants, their representatives, witnesses, and personnel involved 
in the complaint process.
    Arbitration. The final resolution of a grievance filed under a 
negotiated grievance procedure by an impartial person (an arbitrator) 
selected by labor and management. If allegations of discrimination are 
not excluded from a negotiated grievance procedure, they may be filed 
under such procedure and eventually may be decided through arbitration. 
An employee cannot individually invoke arbitration. Only labor and 
management may invoke arbitration to resolve a grievance.
    Civilian personnel officer. The individual who is designated by the 
commander to administer the civilian personnel program.
    Class. A group of Army employees, former Army employees, or 
applicants for Army employment, who allege that they have been, are 
being, or may be adversely affected by an Army personnel management 
policy or practice which the Army has authority to rescind or modify. 
The policy or practice must allegedly discriminate against the group 
based on their common race, color, religion, sex, national origin, age, 
physical or mental handicap, and/or reprisal.
    Class complaint. A written discrimination complaint filed on behalf 
of a class by the agent of the class alleging that an Army personal 
policy or practice discriminates against the class, and fulfills all of 
the following elements:
    a. The class is so numerous that a consolidated complaint of the 
class is impractical.
    b. There are questions of fact common to the class.

[[Page 529]]

    c. The individual claim of discrimination of the agent of the class 
is typical of the claims of the class.
    d. The agent of the class, and his or her representative, if any, 
will fairly and adequately protect the interests of the class.
    Complainant. An Army employee, a former Army employee, or an 
applicant for Army employment who files a formal complaint of 
discrimination based on his or her race, color, religion, sex, national 
origin, age, physical or mental handicap, and/or reprisal.
    Complaints examiner. An official assigned by the EEOC to hold 
hearings on formal complaints of discrimination and otherwise process 
individual and class complaints for the EEOC.
    Director of Equal Employment Opportunity. The official designated by 
the Secretary of the Army, to administer the Army's EEO program in 
accordance with 29 CFR 1613.204.
    Discrimination. Any act or failure to act, impermissibly based in 
whole or in part on a person's race, color, religion, national origin, 
sex, age, physical or mental handicap, and/or reprisal; that adversely 
affects privileges, benefits, working conditions; results in disparate 
treatment; or has a disparate impact on employees or applicants.
    Equal Employment Opportunity Commission. The Federal agency 
responsible for issuing policy and regulations on the discrimination 
complaint system established by an agency in the Federal service. The 
EEOC holds hearings and makes findings and recommendations. The EEOC 
Office of Review and Appeals makes final decisions on discrimination 
complaints that have been appealed. It also reviews, upon request, 
decisions of negotiated grievances and Merit Systems Protection Board 
appeals if they include issues of discrimination.
    Equal Employment Opportunity Compliance and Complaints Review 
Agency. The Army Organization responsible for the management of the 
Army's EEO complaint system. EEOCCRA also prepares the final Army 
decision in EEO complaints for the approval and signature of the 
Secretary of the Army or his or her designee.
    EEO counselor. An Army employee (or an employee of a serviced 
Department of Defense activity), working under the direction of the EEO 
officer, who makes informal inquiries and seeks resolution of informal 
complaints. EEO counselors may be assigned to full-time or part-time EEO 
counselor positions or be given collateral EEO duties and 
responsibilities. (In the latter case, the EEO counseling duties are 
officially added to the counselor's position description). In performing 
the EEO functions, the counselor is guided by the EEO officer.
    EEO officer. The individual designated by the Activity Commander to 
administer the activity's EEO Program. This includes managing and 
operating the complaint processing system, supervising EEO counselors, 
and advising the Activity Commander on the proposed disposition of 
complaints.
    Federal Labor Relations Authority. The Federal agency responsible 
for deciding appeals of arbitration awards filed by a union or an agency 
regarding grievances filed under the negotiated grievance procedure.
    Final Army decision. The decision, with or without a hearing, of the 
Army on a complaint of discrimination.
    Formal individual discrimination complaint. A written complaint 
(ordinarily, a DA Form 2590-R) filed under this regulation, alleging 
that a specific act of discrimination or reprisal has taken place that 
is personal to the individual.
    Handicapped person. a. A person who--
    (1) Has a physical or mental impairment which substantially limits 
one or more of such person's major life activities.
    (2) Has a record of such an impairment.
    (3) Is regarded as having such an impairment.
    b. Physical or mental impairment.
    (1) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems:
    (a) Neurological.
    (b) Musculoskeletal.
    (c) Special sense organs.
    (d) Cardiovascular.
    (e) Reproductive.
    (f) Digestive.
    (g) Genito-urinary.
    (h) Hemic and lymphatic.
    (i) Skin.
    (j) Endocrine.
    (2) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities.
    c. Major life activities. Functions include caring for oneself, 
performing manual tasks, walking, seeing, hearing, speaking, breathing, 
learning, and working.
    d. Has a record of such an impairment. The person has a history of, 
or has been classified (or misclassified) as having, a mental or 
physical impairment that substantially limits one or more major life 
activities.
    e. Is regarded as having such an impairment. This term is defined as 
one of the following:
    (1) A physical or mental impairment that does not substantially 
limit major life activities but is treated by an employer as 
constituting such a limitation.
    (2) A physical or mental impairment that substantially limits major 
life activities only as a result of the attitude of an employer toward 
such impairment.
    (3) None of the impairments defined in (2) above but is treated by 
an employer as having such an impairment.

[[Page 530]]

    Informal individual discrimination complaint. A matter of alleged 
discrimination which is brought to the attention of an EEO counselor by 
an aggrieved person before a formal discrimination complaint is filed. 
Contact with the EEO counselor may be oral or in writing.
    Investigative report. In the Army, the report of investigation 
prepared by a USACARA investigator after the filing of a formal EEO 
complaint.
    Labor counselor. An attorney working in the legal office servicing 
an activity who advises and represents the Activity Commander in labor 
matters, to include EEO complaints.
    Merit Systems Protection Board. The Federal agency responsible for 
deciding appeals of personnel actions and mixed case complaints.
    Mixed case complaint. A complaint involving an action appealable to 
MSPB which alleges that the action was taken because of discrimination. 
Actions appealable to the MSPB include removals, demotions, suspensions 
for more than 14 days, reductions-in-force, and furloughs for 30 days or 
less.
    Mixed case appeals. An appeal filed with the MSPB which alleges that 
an Army action resulted, in whole or in part, because of discrimination 
on the basis of race, color, religion, sex, national origin, mental or 
physical handicap, age, and/or reprisal, or alleges that such Army 
action resulted in sex-based wage discrimination.
    Negotiated grievance procedure. A grievance procedure contained in a 
collective bargaining agreement negotiated between the Army and a 
recognized labor organization. An allegation of discrimination may be 
processed under a negotiated grievance procedure as provided for by 
section 7121(d), title 5, United States Code. Unless specifically 
excluded by agreement between labor and management, an allegation of 
discrimination may be processed under a negotiated grievance procedure 
or this regulation, but not both.
    Notice of proposed disposition. The notification from the commander 
to the complainant, after an informal adjustment attempt, of his or her 
findings and disposition of the complaint. The notice advises the 
complainant of the right to request a final Army decision, with or 
without a hearing, from the Department of the Army.
    Qualified handicapped person. With respect to employment, a 
handicapped person who, with or without reasonable accommodation, can 
perform the essential functions of the position in question without 
endangering the health and safety of himself, herself, or others and 
who, depending upon the type of appointing authority being used, 
either--
    a. Meets the experience or education requirements (which may include 
passing a written test) of the position in question.
    b. Meets the criteria for appointment under one of the special 
appointing authorities for handicapped persons.
    Remedial action. May include, but is not limited to, retroactive 
appointment or promotion, back pay, attorney fees and/or costs, 
cancellation of an unwarranted personnel action, or expunction from the 
Army's records of any reference to, or any record of, an unwarranted 
disciplinary action that is not a personnel action.
    Reportable contact. A reportable contact is any contact with an EEO 
counselor by an aggrieved person who alleges discrimination on the bases 
of race, color, religion, sex, age, mental or physical handicap, 
national origin, or reprisal.
    Sexual harassment. Unwelcome sexual advances, requests for sexual 
favors, and/or other verbal or physical conduct of a sexual nature when 
one or more of the following occurs:
    a. Submission to such conduct is made either explicitly or 
implicitly a term or condition of an individual's employment.
    b. Submission to or rejection of such conduct by an individual is 
used as the basis for employment decisions affecting such individual.
    c. Such conduct has the purpose or effect of unreasonably 
interfering with an individual's work performance or creating an 
intimidating, hostile, or offensive work environment.
    U.S. Army Civilian Appellate Review Agency. The Army organization 
that investigates and makes recommendations on formal EEO complaints 
filed against the Army.

[[Page 531]]

                Appendix P to Part 588--Prescribed Forms
[GRAPHIC] [TIFF OMITTED] TC24OC91.003


[[Page 532]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.004



[[Page 533]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.005



[[Page 534]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.006



[[Page 535]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.007



[[Page 536]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.008



[[Page 537]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.009



[[Page 538]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.010



[[Page 539]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.011



[[Page 540]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.012



[[Page 541]]



PART 589--COMPLIANCE WITH COURT ORDERS BY PERSONNEL AND COMMAND SPONSORED FAMILY MEMBERS--Table of Contents




Sec.
589.1  Definitions.
589.2  Policy.
589.3  Applicability.
589.4  General.

    Authority: Public Law 100.456 and 10 U.S.C., 814.

    Source: 55 FR 47042, Nov. 8, 1990, unless otherwise noted.



Sec. 589.1  Definitions.

    (a) Court. Any judicial body in the United States with jurisdiction 
to impose criminal sanctions of a DoD member, employee, or family 
member.
    (b) DoD Employee. A civilian employed by a DoD Component, including 
an individual paid from nonappropriated funds, who is a citizen or 
national of the United States.
    (c) DoD Member. An individual who is a member of the Armed Forces on 
active duty and is under the jursidiction of the Secretary of a Military 
Department, regardless whether that individual is assigned to duty 
outside that Military Department.



Sec. 589.2  Policy.

    (a) This part (chapter) implements procedural guidance in Department 
of Defense Directive 552 5.9, ``Compliance of DoD members, employees, 
and family members outside the United States with court orders.'' This 
guidance applies to all soldiers and Department of the Army and 
Nonappropriated Fund (NAF) civilian employees serving outside the United 
States, as well as to their command sponsored family members.
    (b) DODD 5525.9 requires DoD cooperation with courts and federal, 
state, and local officials in enforcing court orders pertaining to 
military personnel and DoD employees serving outside the United States, 
as well as their command sponsored family members, who--
    (1) Have been charged with or convicted of any felony.
    (2) Have been held in contempt of a court for failure to obey a 
court order, or
    (3) Have been ordered to show cause why they should not be held in 
contempt for failing to obey a court order.

This guidance does not affect the authority of Army officials to 
cooperate with courts and federal, state, or local officials, such as is 
currently described in Army Regulation 27-3, Legal Services, Army 
Regulation 190-9, Military Absentee and Deserter Apprehension Program, 
and Army Regulation 608-99, Family Support, Child Custody, and 
Paternity, in enforcing orders against soldiers and employees in matters 
not discussed below. The guidance below does not authorize Army 
personnel to serve or attempt to serve process from U.S. courts on 
military or DoD employees overseas. (See also AR 27-40, Litigation, 
paragraph 1-7.)



Sec. 589.3  Applicability.

    This section applies to the following personnel:
    (a) Army personnel on active duty or inactive duty for training in 
overseas areas. This includes the National Guard when federalized.
    (b) Department of the army civilian employees, including 
Nonappropriated Fund Instrumentalities (NAFI) employees.
    (c) Command sponsored family members of Army personnel or Department 
of the Army civilian employees.



Sec. 589.4  General.

    (a) Courts of federal, state, or local officials desiring to 
initiate a request for assistance pursuant to this section must forward 
the request, with appropriate court orders, as follows:
    (1) For soldiers and members or their family, to the soldier's unit 
commander of Office, Deputy Chief of Staff for Personnel (ODCSPER), 
ATTN: DAPE-MP (703-695-2497); and
    (2) For Department of the Army civilian employees and members of 
their family, to the servicing civilian personnel office for the 
employee's command, or ODCSPER, ATTN: DAPE-CPL, (703-697-4429).
    (3) Nonappropriated Fund (NAF) employees and members of their 
family, to the servicing civilian personnel office for the employee's 
command, or ODCSPER, ATTN: CFSC-HR-P (703-325-9461).

[[Page 542]]

    (b) Upon receipt of such requests for assistance concerning courts 
orders described in paragarph (a) of this section and AR 190-9, 
commanders/supervisors, with the advice of their servicing Judge 
Advocates and legal advisors, will take action as appropriate as 
outlined below:
    (1) Determine whether the request is based on an order issued by a 
court of competent jurisdiction. An ``order issued by a court of 
competent jurisdiction'' is an order that appears valid on its face and 
is signed by a judge.
    (2) If the order appears valid on its face and is signed by a judge, 
attempt to resolve the matter in a timely manner to the satisfaction of 
the court without the return of, or other action affecting, the soldier, 
Army civilian employee, or family member. Due regard should be given to 
mission requirements, applicable international agreements, and ongoing 
DoD investigations or courts-martial.
    (3) If the matter cannot be resolved, afford the subject of the 
court order a reasonable opportunity to provide evidence of legal 
efforts to resist the court order or otherwise show legitimate cause for 
noncompliance. If it is determined that efforts to provide such evidence 
or to show cause for noncompliance warrant a delay in taking further 
action, a request for delay, not to exceed 90 days, must be sought from 
the Secretary of the Army. Such requests, fully setting forth the 
reasons justifying delay and the estimated delay necessary, will be 
forwarded within 30 days directly to ODCSPER, ATTN: DAPE-MP (for 
military personnel and their family members or ODCSPER, ATTN: DAPE-CPL 
(for Army civilian employees and their family members) or ODCSPER, ATTN: 
CFSC-HR-P (for NAF employees and their family members). These offices 
must promptly forward the request for delay to the Assistant Secretary 
of Army (Manpower and Reserve Affairs) ASA(M&RA), for approval. If a 
delay is approved, ASA(M&RA) will promptly notify the Assistant 
Secretary of Defense (Force Management and Personnel) ASD (FM&P), copy 
furnished General Counsel, Department of Defense (GC, DOD).
    (4) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member or DA or NAF employee is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order does not pertain to any felony or to a contempt involving 
the unlawful or contemptuous removal of a child from the jurisdiction of 
the court or the custody of a parent or another person awarded custody 
by court order, the matter will be forwarded, for soldiers or their 
family members to the soldier's general court-martial convening 
authority or, for army civilian or NAF employees or their family 
members, to the fairest general officer or civilian equivalent in the 
employee's chain of command, for a determination as to whether the 
request should be complied with. In those cases in which it is 
determined that noncompliance with the request is warranted, copies of 
that determination will be forwarded directly to the appropriate office 
noted in Sec. 589.4(b)(3) and to HQDA, DAJA-CL, pursuant to chapter 6, 
AR 190-9.
    (5) If one, the matter cannot be resolved, and two, it appears that 
noncompliance with the request to return the soldier, or to take other 
action involving a family member of DA or NAF employee, is warranted by 
all the facts and circumstances of the particular case, and three, the 
court order pertains to any felony or to a contempt involving the 
unlawful or contemptuous removal of a child from the jurisidiction of a 
court or the custody of a parent or another person awarded custody by 
court order, a request for exception to policy will be forwarded 
directly to the appropriate office listed in Sec. 589.3(b)(3) with an 
information copy to HQDA, DAJA-AL, within 30 days unless a delay has 
been approved by ASA(M&RA). The offices listed in Sec. 589.3(b)(3) must 
forward the request for an exception promptly through ASA(M&RA) to 
ASD(FM&P) for decision, copy furnished to General Counsel, DOD.
    (6) All actions, whether to invoke the DOD Directive or not, must be 
reported promptly to ASD(FM&P) and General Counsel, Department of 
Defense. See also DOD Directive 5525.9, paragraph E.3.c.

[[Page 543]]

    (c) If requests for military personnel cannot be resolved without 
return of the individual, and denial of the request as outlined in this 
section is not warranted, the individual will be ordered pursuant to 
section 721, Public Law 100-456 and DODD 5525.9 to the appropriate U.S. 
part of entry at government expense, provided the federal, state, or 
local authority requesting the individual provides travel expenses 
including a prepaid transportation ticket or equivalent and an escort, 
if appropriate, from the port of entry to the appropriate jurisdiction. 
Absent unusual circumstances, requesting parties will be notified at 
least 10 days before the individual is due to return. Guidance 
concerning use of military law enforcement personnel to effect the 
return of military personnel to U.S. civil authorities may be obtained 
from the U.S. Army Military Policy Operations Agency (MOMP-O).
    (d) In accordance with DoD policy, military personnel traveling 
pursuant to a contempt order or show cause order, as described in this 
part and in AR 614-XX is entitled to full transportation and per diem 
allowances. However, this does not alleviate the requesting parties' 
requirement to pay travel expenses from the appropriate U.S. port of 
entry. Any travel expenses received from the requesting party must be 
deducted from the soldier's entitlement to travel and per diem 
allowances. The soldier will be returned in a temporary duty (TDY) 
status, unless a permanent change of station (PCS) is appropriate.
    (e) If requests for Army civilian and NAF employees cannot be 
resolved and denial of the request as outlined in this section is not 
warranted, the individual will be strongly encouraged to comply with the 
court order. Failure to comply with such orders by an Army civilian or 
NAF employee, if all criteria are met, is a basis for withdrawal of 
command sponsorship and adverse action against the employee, to include 
removal from federal service. Proposals to take disciplinary/adverse 
actions must be coordinated with the appropriate civilian personnel 
office (CPO) and the servicing Judge Advocate or legal advisor and 
forwarded for approval to the first general officer or civilian 
equivalent in the employee's chain of command. A copy of the final 
action taken on the case must be forwarded to HQDA, ATTN: DAPE-CPL, or 
ATTL: CFSC-HR-P (for NAF employees).
    (f) If the request is based upon a valid court order pertaining to a 
family member of a soldier or Army civilian or NAF employee, the family 
member will be strongly encouraged to comply with the court order if 
denial of the request as outlined in this part is not warranted. Unless 
the family member can show legitimate cause for non-compliance with the 
order, considering all of the facts and circumstances, failure to comply 
may be basis for withdrawal of command sponsorship.
    (g) Failure of the requesting party to provide travel expenses for 
military personnel as specified in this section, is grounds to be 
recommended denial of the request for assistance. The request must still 
be forwarded through DAPE-MP and ASA(M&RA) to ASD(FM&P) for decision, 
copy furnished to General Counsel, Department of Defense.
[55 FR 47042, Nov. 8, 1990, as amended at 56 FR 371, Jan. 4, 1991]

[[Page 544]]



                        SUBCHAPTER G--PROCUREMENT



    Cross Reference: For Department of Defense Acquisition Regulations, 
see chapter 2 of title 48.



PART 619--PROGRAM FOR QUALIFYING DOD FREIGHT MOTOR CARRIERS, EXEMPT SURFACE FREIGHT FORWARDERS, AND SHIPPER AGENTS--Table of Contents




Sec.
619.1  Introduction
619.2  Safety ratings.
619.3  Operating authorities.
619.4  Insurance--Public liability and cargo.
619.5  Financial records.
619.6  Information.
619.7  Performance Bond.
619.8  Basic agreement.


Appendix A to Part 619--Basic Agreement Between the Military Traffic 
          Management Command and Motor Common Carriers for Approval to 
          Transport General Commodities for the Department of Defense

Appendix B to Part 619--Agreement Between the Military Traffic 
          Management Command and Motor Common Carriers Governing the 
          Transportation of Ammunition and Explosives, Class A and B for 
          and on Behalf of the U.S. Department of Defense

Appendix C to Part 619--Agreement Between the Military Traffic 
          Management Command and Motor Common Carriers Governing the 
          Transportation of Hazardous Material Other Than Class A and B 
          Explosives for and on Behalf of the U.S. Department of Defense

Appendix D to Part 619--Agreement Between the Military Traffic 
          Management Command and Motor Common Carriers Governing the 
          Transportation of Shipments Which Require a Transportation 
          Protective Service (TPS) for and on Behalf of the U.S. 
          Department of Defense

Appendix E to Part 619--Agreement Between the Military Traffic 
          Management Command Surface Freight Forwarders Governing the 
          Transportation of General Commodities for and on Behalf of the 
          U.S. Department of Defense

Appendix F to Part 619--Agreement Between the Military Traffic 
          Management Command and Shipper Agents Governing the 
          Transportation of General Commodities for and on Behalf of the 
          U.S. Department of Defense
Appendix G to Part 619--Agreement Between the Military Traffic 
          Management Command and Air Freight Forwarders Governing the 
          Transportation of General Commodities for and on Behalf of the 
          U.S. Department of Defense

    Authority: 49 U.S.C. 1801-1813, 2503, 2505, and 2509.

    Source: 58 FR 44405, Aug. 20, 1993, unless otherwise noted.



Sec. 619.1  Introduction.

    Carriers, surface freight forwarders, shipper agents, and air 
freight forwarders interested in or remaining qualified will submit data 
described in Secs. 619.2 through 619.6 to the appropriate area command 
(Bayonne, NJ or Oakland, CA) based on the location of the carrier's 
headquarters. The area command will schedule a meeting with the carrier, 
if necessary, to clarify any qualification elements and also receive 
guidance on how to do business with the Department of Defense. The area 
command will then evaluate the data to determine whether the carrier has 
the equipment, facilities, personnel and finances necessary to handle 
the carrier's proposed scope of operations. The area commands will then 
forward the application to HQMTMC for approval. If the carrier is 
approved and signs the agreement, HQMTMC will then accept (or in the 
case of existing carriers, continue to accept) tenders, tariffs or 
similar rate submissions. Carriers that are disapproved will be notified 
of the reasons for disapproval and may reapply for approval once the 
problems have been corrected.
[58 FR 44405, Aug. 20, 1993, as amended at 61 FR 49061, Sept. 18, 1996]



Sec. 619.2  Safety ratings.

    (a) Carrier will not have an ``unsatisfactory'' rating with the 
Federal Highway Administration. Department of

[[Page 545]]

Transportation and if it is an intrastate motor carrier, with the 
appropriate state agency.
    (b) Carriers with ``conditional'' or ``insufficient information'' 
ratings may be used to transport DOD general commodities provided that 
such carriers certify in writing that they are now in full compliance 
with Department of Transportation safety requirements.
    (c) Carriers transporting hazardous, secret materials or sensitive 
weapons and munitions, or any shipment, regardless of commodity, which 
requires a Transportation Protective Service (TPS) will not be used if 
the safety rating is less than satisfactory.



Sec. 619.3  Operating authorities.

    Carriers will submit copies of all certificates authorizing 
operations as a common carrier (interstate and intrastate) needed to 
transport DOD traffic.



Sec. 619.4  Insurance--Public liability and cargo.

    (a) Public liability. Motor carriers, surface freight forwarders, 
shipper agents and air freight forwarders will submit proof of public 
liability to MTMC on a certificate of insurance form issued by the 
insurance company. Expiration dates will not be reflected on the 
certificate, the policy must be continuous until canceled. However, the 
deductible portion will be shown on the certificate. The insurance 
underwriters must be rated in Best's Insurance Guide, or listed in the 
Fiscal Service Treasury Department Circular 570, Listing of Surety 
Companies. The certificate holder block of the form will indicate that 
HQMTMC, 5611 Columbia Pike, Falls Church, Virginia 22041-5050, ATTN: 
MTOP-QQ, will be notified, in writing, 30 days in advance of any change 
or cancellation. The public liability requirements are specified in 49 
CFR 387.9. Surface freight forwarders and shipper agents will submit 
proof of $1 million public liability (death and bodily injury, property 
damage, and environment restoration).
    (b) Cargo. Motor common carriers, surface freight forwarders, 
shipper agents and air freight forwarders must have their insurance 
company provide a certificate of insurance form. The deductible portion 
will be shown on the certificate. The insurance underwriter must have a 
policyholder's rating in the Best's Insurance Guide, listed in the 
Fiscal Service Treasury Department Circular 570, Listing of Surety 
Companies or specifically approved by HQMTMC. DOD's minimum cargo 
insurance requirements are listed below:
    (1) Motor common carriers, including classes A and B explosives, but 
excluding perishables and bulk fuel--$150,000 per shipment.
    (2) Automobile transporters or carriers which move vehicles in haul-
away/drive-away service--$20,000 per vehicle transported.
    (3) Perishable carriers--$80,000 per shipment.
    (4) Bulk fuel--$25,000 per shipment.
    (5) Surface freight forwarders, shipper agents and air freight 
forwarders--$250,000 per shipment.
[58 FR 44405, Aug. 20, 1993, as amended at 61 FR 49061, Sept. 18, 1996]



Sec. 619.5  Financial records.

    (a) Motor carriers must furnish financial statements certified by 
the company Chief Executive Officer, President or Owner. These financial 
statements must include company certified balance sheets and income 
statements for the last 3 taxable years. Motor carriers in existence 
less than 3 years, but more than 12 months, must provide company 
certified copies of all balance sheets and income statements from the 
date business was commenced. Carriers in business less than 12 months 
must provide a company certified balance sheet showing all assets and 
liabilities. Motor carriers must furnish financial data at MTMC's 
discretion when considered necessary to assure satisfactory performance 
and avoidance of motor carrier financial problems. This financial data 
includes, but is not limited to the following:
    (1) Company certified financial statements.
    (2) CPA review (including footnotes) of financial statements.
    (3) CPA audit and opinion (including footnotes) of financial 
statements.
    (4) Financial statements must reflect a 1 to 1 ratio (liquid 
assets--current liabilities).
    (b) All carriers must also state the extent of their financial 
interests in

[[Page 546]]

other transportation companies or their affiliation with any person or 
firm holding interests in other transportation companies to include:
    (1) Majority or minority ownership.
    (2) Familiar relationships.
    (3) Voting of securities.
    (4) Common directors, officers and/or stockholders.
    (5) Voting trusts.
    (6) Holding trusts.
    (7) Associated companies.
    (8) Contract or department relationships.
    (c) This information will be used to determine if common financial 
and administrative control exists with other companies, or if 
individuals or associated companies are affiliated with those who have 
been debarred by the Government.



Sec. 619.6  Information.

    Motor carriers, surface freight forwarders and shipper agents will 
provide HQMTMC the following information:
    (a) A listing of company's officers with their title.
    (b) A listing of the company's owners and the percentage of 
ownership of each.
    (c) Company background and history, including the year the company 
was formed.
    (d) A list, by type and quantity, of all owned and/or leased 
equipment. MTMC will not approve any motor carrier that does not own 
and/or have permanent leases for equipment.
    (e) The number of personnel employed, to include company drivers and 
number of drivers under lease. A motor carrier must be able to show it 
has a minimum personnel force in order to operate effectively.
    (f) A list of terminal locations including the street address and 
telephone numbers, and descriptions of the terminal facilities.
    (g) Three reference letters from shippers served during the previous 
12 months.
    (h) Proposed services by type of service, traffic lane, or 
geographical area. MTMC will review equipment inventories and permanent 
lease agreements in relationship to proposed service. In those instances 
where a carrier's equipment inventory indicates they cannot provide the 
proposed service, MTMC will request a meeting with the carrier to review 
proposed service.
    (i) Copies of driver hiring, screening, and training procedures.
    (j) Disadvantaged (minority) and women-owned business certification 
(if applicable).
    (k) In addition to information contained in (a) through (h) and (j) 
above, exempt surface freight forwarders, shipper agents and air freight 
forwarders must furnish a listing of the carriers which they have 
contract with and intend to use in the movement of government shipments. 
Information must include the complete company name, company officials to 
include their position and title, home office address, telephone number, 
24-hour emergency point of contact for shipment status, and FHWA 
operating authority number of each carrier.
[58 FR 44405, Aug. 20, 1993, as amended at 61 FR 49061, Sept. 18, 1996]



Sec. 619.7  Performance Bond.

    (a) Motor carriers. (1) Carriers having done business in their own 
name with DOD for 3 years or more will be required to submit a 
Performance Bond in the amount of 2.5% of their total DOD revenue, taken 
from the freight Information System Report (FINS), for the previous 12 
months, not to exceed $100,000 and not less than $25,000.
    (2) New carriers and those carriers having done business in their 
own name with the DOD for less than 3 years will be required to submit a 
Performance Bond based on areas of service they offer (computed as both 
origins and destinations served), that is, I state (including 
intrastate)--$25,000, 2 to 3 states--$50,000, and 4 or more states--
$100,000.
    (3) Once a carrier has been doing business with the DOD for 3 years, 
their bond requirement will change from area of service to percent 
revenue.
    (b) Bulk fuel carriers and perishable carriers will be required to 
submit a $25,000 Performance Bond.
    (c) Local drayage and commercial zone carriers are exempt from the 
bond requirement.

[[Page 547]]

    (d) Surface Freight Forwarders, Shipper Agents and Air Freight 
Forwarders. Due to the volume of traffic handled by these modes and the 
area normally serviced, the bond amount is set at $100,000.
    (e) All carriers must submit a letter of intent to file a bond from 
a surety company with initial application. Upon HQMTMC approval, 
carriers will provide HQMTMC with a Performance Bond. The bond must be 
issued by a surety company listed in the Fiscal Service Treasury 
Department Circular No. 570. The sum of the bond shall be as determined 
by Sec. 619.7 (a) through (c). The bond must be continuous until 
cancelled. HQMTMC will be notified, in writing, 30 days in advance of 
any change or cancellation. The Performance Bond secures performance and 
fulfillment of carrier obligations to deliver DOD freight. It will cover 
any instance where a carrier cannot or will not deliver DOD freight 
tendered to them to final destination. This includes default, abandoned 
shipments, and bankruptcy by the carrier. The bond will not be utilized 
for operational problems such as late pickup or delivery, excessive 
transit time, refusals, no shows, improper/inadequate equipment or 
claims for lost or damaged cargo.
[58 FR 44405, Aug. 20, 1993, as amended at 61 FR 49061, Sept. 18, 1996]



Sec. 619.8  Basic Agreement.

    Motor carriers, surface freight forwarders, shipper agents and air 
freight forwarders meeting the qualification requirements of Secs. 619.1 
through 619.7 will be required to sign the appropriate Basic Agreement 
in the appendices to this part.
[61 FR 49061, Sept. 18, 1996]

  Appendix A to Part 619--Basic Agreement Between the Military Traffic 
 Management Command and Motor Common Carriers for Approval to Transport 
            General Commodities for the Department of Defense

    1. The undersigned, who is duly authorized and empowered to act on 
behalf of

________________________________,
(Name of Company, Typed or Legibly Printed),

hereinafter called the carrier, as a prerequisite for approval to 
transport general commodities for the account of the Department of 
Defense (DOD) and the Military Traffic Management Command (MTMC), 
(hereinafter called the Government), agree to comply with all additional 
requirements, terms and conditions as set forth in this Agreement. This 
Agreement governs the transportation of all DOD general commodity 
freight administered by the Directorate of Inland Traffic, MTMC (except 
used household goods). Noncompliance by the carrier with any provision 
of this Agreement may result in MTMC taking action against the carrier 
under the Carrier Performance Program, governed by MTMC Regulation 15-I, 
and revoking approval to participate in this traffic. If the carrier's 
approval is revoked, the carrier may be disqualified from further 
participation in any DOD freight Traffic.
    2. Approval and Revocation.
    a. Carrier understands that its initial approval and retention of 
approval are contingent upon establishing and maintaining, to MTMC's 
satisfaction, sufficient resources to support its proposed scope of 
operations and services. Sufficient resources include equipment, 
personnel, facilities, and finances to handle traffic anticipated by 
DOD/MTMC under the carrier's proposed scope of operations in accordance 
with the service requirements of the shipper.
    b. The carrier understands that MTMC may revoke approval at any time 
upon discovery of grounds for ineligibility or disqualification. The 
carrier further understands that it is not authorized to submit tenders 
for shipments requiring a Transportation Protective Service (TPS) until 
it has served DOD in an approved status for 12 continuous months. Prior 
to being allowed to handle shipments which require a TPS or classes A & 
B explosives, the carrier must first meet any additional requirements in 
effect at the time.
    c. In addition to the initial evaluation, the carrier agrees that it 
will cooperate with MTMC follow-up evaluations at any time subsequent to 
signing this Agreement to confirm continued eligibility.
    d. The carrier certifies that neither the owners, company, corporate 
officials, nor any affiliation or subsidiary thereof are currently 
debarred or suspended, disqualified by a MTMC General Freight Board, or 
placed in non-use by MTMC from doing business with DOD.
    3. Lawful Performance.
    a. Carrier agrees to comply with all applicable Federal, State, 
municipal, and other local laws and regulations governing the safe, 
proper, and lawful operation of motor vehicles, to include Title 49 Code 
of Federal

[[Page 548]]

Regulations (CFR) 386-397. Intrastate carriers are required to comply 
with all applicable state or federal regulations, whichever are more 
stringent.
    b. No fines, charges, or assessments for overload vehicles or other 
violations of applicable laws and regulations will be passed to or be 
paid by any agency of the Federal Government.
    4. Operating Authority. Carrier agrees to maintain valid motor 
common carrier operating certificates for its scope of operations. Any 
carrier found to be involved in brokerage, as defined by the Interstate 
Commerce Commission (ICC), of DOD freight traffic will have its approval 
revoked.
    5. Insurance.
    a. Minimum public liability insurance requirements are prescribed in 
title 49 of the Code of Federal Regulations (CFR) 5387.9. Carrier agrees 
to ensure that the ICC is provided proof of their public liability 
insurance, in the form of a BMC 91 or 91-X, or MCS 90, in accordance 
with sections 29 and 30 of the Motor Carrier Act of 1980. Further, the 
motor carrier agrees to provide MTMC with a certificate of insurance 
form. The certificate holder block of the form will indicate that MTMC, 
5611 Columbia Pike, Falls Church, Virginia 22041-5050, ATTN: MTIN-FF, 
will be notified in writing, 30 days in advance of any change or 
cancellation. The deductible portion will be shown on the certificate. 
The insurance underwriter must have a policy holder's rating in the 
Best's Insurance Guide, listed in the Fiscal Service Treasury Department 
Circular 570, Listing of surety companies. Public liability insurance 
Interstate Carriers.
    (1) The carrier agrees to also file with MTMC proof of: $750,000 per 
vehicle for property (excluding hazardous) and $1,000,000 per vehicle 
for oil, hazardous wastes, hazardous materials and hazardous substances 
defined in 49 Code of Federal Regulations (CFR) 5171.8 and listed in 49 
CFR 5172.101.
    (2) Public liability insurance Intrastate Carriers--Public Liability 
Insurance shall be that as required by the state, except that for 
deregulated states, public liability shall be the same as that required 
of interstate carriers.
    (3) Cargo insurance. Cargo insurance in the minimum of $150,000 for 
loss and damage of government freight per vehicle and/or $20,000 per 
vehicle transported (e.g., automobile transporters or vehicles in 
haulaway service) must be maintained. Perishable carriers will maintain, 
as a minimum, cargo insurance in the amount of $80,000 and bulk 
petroleum carriers will maintain $25,000.
    b. The insurance, carried in the name of the carrier, will be in 
force at all times while this Agreement is in effect or until such time 
as the carrier cancels all tenders. The carrier agrees to ensure that 
the policies include a provision requiring the insurer to notify MTMC 
prior to any performance of service for the carrier. Changes, renewals, 
and cancellation notices must also be sent to MTMC, 5611 Columbia Pike, 
Falls Church, Virginia 22041-5050, ATTN: MTIN-FF. This requirement 
applies to both interstate and intrastate carriers. Carrier's insurance 
policy(s) must cover all equipment used to transport DOD freight.
    6. Performance Bond.
    a. Carrier agrees to provide MTMC with a Performance Bond. The bond 
secures performance and fulfillment of the carrier obligation to deliver 
DOD freight to destination. It will cover DOD re-procurement costs as a 
result of carrier default, abandoned shipments, or bankruptcy. The bond 
will not be utilized for operational problems such as late pick up or 
delivery, excessive transit time, refusals, no shows, improper/
inadequate equipment or claims for lost or damaged cargo. The bond must 
be issued by a surety company listed in the Fiscal Service Treasury 
Department Circular No. 570. The bond must be completed on the form 
provided by MTMC. The bond will be continuous until cancelled. MTMC will 
be notified in writing, 30 days in advance of any change or 
cancellation. A letter of intent by the surety company is required with 
the initial application package. Upon MTMC approval, the carrier agrees 
to submit the Performance Bond before the Tender of Service will be 
accepted.
    b. The sum of the bond will be determined as follows.
    (1) Carriers having done business in their own name with DOD for 3 
years or more will be required to submit a Performance Bond in the 
amount of 2.5% of their total DOD revenue, taken from the Freight 
Information Systems Report (FINS), for the previous 12 months, not to 
exceed $100,000 and not less than $25,000.
    (2) New carriers and those carriers having done business in their 
own name with the DOD for less than 3 years will be required to submit a 
Performance Bond based on areas of service they offer. Areas of service 
will be computed as both origins and destinations served.

1 state (including intrastate)--$25,000;
2 to 3 states--$50,000; and
4 or more states--$100,000.
    (3) Once a carrier has been doing business with the DOD for 3 years, 
their bond requirement will change from area of service to percent 
revenue.
    c. Bulk fuel carriers and Perishable carriers will be required to 
submit a $25,000 Performance Bond.
    d. Local drayage and commercial zone carriers are exempt from the 
bond requirement.
    e. If carrier has secured the Performance Bond as a result of 
qualifying under Ammunition and Explosive, Classes A and B program or 
hazardous materials (other than ammunition and explosives, classes A and 
B)

[[Page 549]]

program no additional Performance Bond is required.
    7. Safety.
    a. Carrier will not have an ``unsatisfactory'' safety rating with 
the Federal Highway Administration, Department of Transportation, and, 
if it is an intrastate motor carrier, with the appropriate state agency. 
The carrier further agrees to permit unannounced safety inspections of 
its facilities, terminals, equipment, employees, and procedures by DOD 
civilian, military personnel, or DOD contract employees. The inspection 
may include in-transit surveillance of vehicles and drivers. The carrier 
agrees to provide evidence that fulfills the requirement set forth in 49 
Code of Federal Regulation parts 390 thru 396. Inspection of carrier 
equipment, drivers' records, route plans and inspection reports will be 
permitted during both the pickup and delivery of shipments and in 
coordination with local police or other authorities while in transit. 
Carrier also agrees to allow inspection of carrier records and 
individual driver qualification files. When requested, carrier agrees to 
provide adequate evidence of an active driver safety, security training 
and evaluation program. Upon request, the carrier agrees to furnish 
sufficient information to permit MTMC to verify or inspect carrier and 
driver records.
    b. The carrier agrees to have in place a company-wide safety 
management program. Carrier safety program will comply with applicable 
Federal, State and local statutes or requirements. Safety programs at 
the company-wide or terminal level may be subject to evaluation by DOD 
representatives.
    c. The carrier agrees to notify, within 24 hours, the consignor and 
consignee named by the Government Bill of Lading (GBL) or Commercial 
Bill of Lading (CBL) of cargo loss, damage, or unusual delay. 
Information reported will include origin/destination, GBL/CBL number, 
shipping paper information, time and place of occurrence, and other 
pertinent accident details. When requested, carrier agrees to furnish 
MTMC a copy of accident reports submitted to the Department of 
Transportation on Form MCS 50-T (Property).
    8. Drivers Requirement.
    a. The carrier agrees to ensure that any driver used by the carrier 
to transport DOD freight possesses a valid commercial driver's license 
(in compliance with Federal Commercial Motor Vehicle Safety Act of 1986) 
issued by his or her state of domicile. Drivers must have, at a minimum, 
1 year of driving experience driving equipment similar to that used to 
transport DOD freight, or have proof of graduation from an accredited 
trade truck motor driving school, operating the aforementioned 
equipment.
    b. The carrier agrees to further ensure that driver carry a company 
picture identification card to verify affiliation with the carrier named 
on the Government Bill of Lading.
    9. Equipment. The carrier is prohibited from using trip-leased 
equipment or drivers, except upon prior approval from MTMC Leases of 
less than 30 days are considered trip-leases. In order to trip-lease, a 
carrier must apply for approval under MTMC's trip-lease program.
    10. Shipment. The carrier agrees to provide, at no additional cost 
to the government, the status of any shipment within 24 hours after an 
inquiry is made. Further, the carrier agrees to not divulge any 
information to unauthorized persons concerning the nature and movement 
of any DOD shipment.
    11. Documentation.
    a. The carrier agrees to accept GBLs and CBLs on which freight 
charges will be paid by the Government, and be bound by all terms stated 
on the SF1103, Government Bill of Lading, regardless of the type of bill 
of lading tendered.
    b. The carrier agrees to comply with the documentation prelodge 
procedures in effect at Military Ocean Terminals or the installation, 
when cargo is consigned for further movement overseas. (Prelodging is 
the submission of advance shipment documents which identifies the 
shipment to the Military Ocean Terminal prior to delivery of the cargo 
at the terminal.) Instructions will be provided by the consignor to 
furnish certain data at least 24 hours in advance of cargo delivery to 
the terminal.
    12. Loss or Damage. The carrier agrees to be liable for loss or 
damage to cargo in accordance with the provisions of 49 U.S.C. 11707 
(the Carmack Amendment to the Interstate Commerce Act). Carrier agrees 
to promptly settle uncontested claims for loss or damage.
    13. Standard Tender of Service.
    a. The carrier agrees to comply with the preparation and filing 
instructions in applicable freight traffic rules publications issued by 
MTMC. Carrier understands that MTMC will reject tenders not in 
compliance with these instructions.
    b. Carrier agrees to provide a street address where the company 
office is located in lieu of a post office box number. Carrier agrees to 
provide the address prior to or in conjunction with submission of any 
tenders or other rate schedules. The carrier agrees to also advise MTMC 
of any change in address prior to the effective date of the change. 
Failure to do so is grounds to discontinue use of the carriers.
    c. Carrier understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this agreement, the 
provisions contained in the Standard Tender of Freight Services (MT Form 
364-R), or the applicable MNC Freight Traffic Rules Publication, and 
supplements thereof, will

[[Page 550]]

be subject to immediate removal or non-use until corrections are made. 
The issuing carrier will be advised when tenders are removed under these 
circumstances.
    14. Rates.
    a. Carrier agrees to transport Government shipments at the lowest 
tender rate specifically applicable to the department or agency 
involved.
    b. Carrier agrees to publish guaranteed through rates for at least 
30 days. These rates must be filed with MTMC, HQ, Eastern Area, ATTN: 
MTE-IN, Bayonne, New Jersey 07002-5302. The carrier must publish all 
rates, charges, and accessorial services on a MTMC approved form, and 
must comply with the tender preparation instructions. (Only services 
annotated with a charge in the tender will be paid by the shipper.)
    15. Carrier Performance. Carrier agrees that carrier's equipment, 
performance, and standards of service will conform with its obligations 
under Federal, State and local law and regulation as well as with the 
guidelines found in the Defense Traffic Management Regulation (DTMR) and 
this Agreement. The carrier fully understands its obligation to remain 
current in its knowledge of service standards. The carrier accepts the 
Government's right to revoke approval, declare ineligible, non-use, or 
disqualify the carrier for unsatisfactory service for any operating 
deficiency, noncompliance with terms of this Agreement or terms of any 
negotiated agreements, tariffs, tenders, bills of lading or similar 
arrangements determining the relationship of the parties, or for the 
publication or assessment of unreasonable rates, charges, rules, 
descriptions classifications, practices, or other unreasonable 
provisions of tariffs/ tenders. Rules governing the Carrier Performance 
Program are found in MTMC Regulation 15-1, and Army Regulation 55-355, 
DTMR. If a carrier is removed or disqualified for 6 months or more, it 
will have to be re-qualified.
    16. General Provisions. The carrier agrees to possess a valid 
Standard Carrier Alpha Code (SCAC). When a company holding the 
appropriate authority has operating divisions each with its own unique 
SCAC, each such division is required to execute a separate agreement 
with MTMC governing the transportation of protected commodities.
    17. Terms of the Agreement.
    a. The terms of this Agreement will be applicable to each shipment.
    b. This agreement shall be effective from the date of approval by 
MTMC, until terminated. Termination is effective upon receipt of written 
notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    d. The carrier agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and carrier name. Carrier understands that failure to notify MTMC shall 
be grounds for immediate revocation of the carrier's approval and their 
participation in the movement of DOD freight.
    18. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    19. Inquiries. Inquiries may be referred to: Commander, Military 
Traffic Management Command, ATTN: MTIN-FF, 5611 Columbia Pike, Falls 
Church, Virginia 22041-5050.
    20. Carrier Acknowledgment and Acceptance. The certifying carrier 
official agrees to ensure that the appropriate company officials and 
employees are familiar with the requirements, terms and conditions of 
this Agreement and are in full compliance with the applicable provisions 
herein. Any information found to be falsely represented in the Motor 
Carrier Qualification Form, the attachments or during the qualification 
procedures, to include additional requirements of this Agreement, shall 
be grounds for automatic revocation of this Agreement and immediate non-
use of the carrier, the affiliated companies, division and entities.
 I,_____________________________________________________________________
(Typed Name and Title of Carrier Official)

verify under penalty of perjury under the laws of the United States of 
America, that the information contained in the carrier qualification 
application packet and this Agreement is true, correct and complete. If 
representing a company or organization, I certify that I am qualified 
and authorized to offer this information. I know that willful 
misstatements or omissions of material facts constitute Federal criminal 
violations punishable under 18 U.S.C. 1001 by up to 5 years imprisonment 
and fines up to $10,000 for each offense, or punishable as perjury under 
18 U.S.C. 1621 by fines up to $2,000 or imprisonment up to 5 years for 
each offense. Further I understand the requirements of this Agreement 
and on behalf of ________________________
(Typed Name of Carrier and MC Number)

agree to comply with the terms and conditions contained herein.

 _______________________________________________________________________
Signature of Carrier Official and Title

 _______________________________________________________________________

Date

 Carrier Address________________________________________________________

 Telephone number_______________________________________________________

24 hr Emergency Number (______, ______)

 Interstate Operating Authority Certificate Number--MC__________________

 Intrastate Operating Authority_________________________________________


[[Page 551]]

________________________________________________________________________
 Certificate Number(s) (Include_________________________________________

 Issuing State--for example_____________________________________________

PA--#12345)

Military Traffic Management Command Acknowledgment/Acceptance

 Signature and Title____________________________________________________

 Date Approved:_________________________________________________________

     Appendix B to Part 619--Agreement Between the Military Traffic 
       Management Command and Motor Common Carriers Governing the 
 Transportation of Ammunition and Explosives, Class A and B for and on 
                Behalf of the U.S. Department of Defense

    1. The undersigned, who is duly authorized and empowered to act on 
behalf of

 _______________________________________________________________________
(Name of Company, Typed or Legibly Printed),

(hereinafter called the carrier), as a prerequisite for approval to 
transport ammunition and explosives, class A and B, for the account of 
the Department of Defense (DOD) and the Military Traffic Management 
Command (MTMC), (hereinafter called the Government), agree to comply 
with all additional requirements, terms and conditions as set forth in 
this Agreement. This Agreement governs the transportation of all DOD 
class A and B ammunition and explosives shipments administered by the 
Directorate of Inland Traffic, MTMC. Further, the carrier must also be a 
party to and in full compliance with requirements contained in the 
Agreement governing shipments which require a Transportation Protective 
Service (TPS). Noncompliance by the carrier with any provision of this 
or any other Agreement it is a party to will be sufficient grounds for 
immediate revocation of the carrier's approval to participate in the 
movement of class A and B ammunition and explosives. The carrier may 
also be subject to further action under the Carrier Performance Program, 
governed by MTMC Regulation 15-1, which could result in nationwide 
disqualification on all DOD freight shipments.
    2. Approval and Revocation.
    a. Carrier understands that its initial approval and retention of 
approval are contingent upon establishing and maintaining, to MTMC's 
satisfaction sufficient resources to support its proposed scope of 
operations and services. Sufficient resources include the equipment, 
personnel, facilities, and finances to handle the traffic anticipated by 
DOD/MTMC under the carrier's proposed scope of operations in accordance 
with the service requirements of the shipper.
    b. The carrier understands that MTMC may revoke approval at any time 
upon discovery of grounds for ineligibility or disqualification.
    c. In addition to the initial evaluation, the carrier agrees that it 
will cooperate with MTMC follow-up evaluations at any time subsequent to 
signing this Agreement to confirm continued eligibility.
    d. The carrier certifies that neither the owners, company, corporate 
officials, nor any affiliation or subsidiary thereof are currently 
debarred or suspended, or disqualified by a MTMC General Freight Board, 
or placed in non-use by MTMC from doing business with DOD.
    3. Lawful Performance.
    a. Carrier agrees to comply with all applicable Federal, State, 
municipal, and other local laws and regulations governing the safe 
transportation and storage of ammunition and explosives to include Title 
49 Code of Federal Regulations (CFR) 177 and 386 through 397. Provisions 
for exempt intracity operations as defined in 49 CFR will not apply to 
the transportation of explosives for the DOD. Intrastate carriers are 
required to comply with all applicable state or federal regulations, 
whichever are more stringent.
    b. No fines, charges, or assessments for overload vehicles or other 
violations of applicable laws and regulations will be passed to or be 
paid by any agency of the Federal Government.
    4. Operating Authority. Carrier agrees to maintain valid motor 
common carrier operating certificates for its scope of operations which 
is not restricted against the handling and transport of hazardous 
materials or ammunition and explosives, class A and B. Any carrier found 
to be, in fact, involved in the brokerage, as defined by the Interstate 
Commerce Commission (ICC), of DOD freight traffic will have its approval 
revoked.
    5. Insurance.
    a. Minimum public liability insurance requirements are prescribed in 
Title 49 of the Code of Federal Regulations (CFR) 5387.9 Carrier agrees 
to ensure that the ICC is provided proof of their public liability 
insurance, in the form of a BMC 91 or 91-X, or MCS 90, in accordance 
with Sections 29 and 30 of the Motor Carrier Act of 1980. Further, the 
motor carrier will provide MTMC with a certificate of insurance form. 
The certificate holder block of the form will indicate that MTMC, 5611 
Columbia Pike, Falls Church, Virginia 22041-5050, ATTN: MTIN-FF, will be 
notified in writing, 30 days in advance of any change or cancellation. 
The deductible portion will be shown on the certificate. The insurance 
underwriter must have a policyholder's rating in the Best's Insurance 
Guide, listed in the Fiscal Service Treasury Department Circular 570, 
Listing of Surety Companies.
    b. The carrier agrees to also file with MTMC proof of:

[[Page 552]]

    (1) Public liability insurance. Interstate and Intrastate carriers 
$5,000,000 per vehicle.
    (2) Cargo insurance. Cargo insurance in the minimum of $150,000 for 
loss and damage of government freight per vehicle.
    c.The insurance, carried in the name of the carrier, will be in 
force at all times while this Agreement is in effect or until such time 
as the carrier cancels all tenders. The carrier agrees to ensure that 
the policies include a provision requiring the insurer to notify MTMC 
prior to any performance of service by the carrier. Changes, renewals, 
and cancellations notices must also be sent to MTMC, 5611 Columbia Pike, 
Falls Church, Virginia 22041-5050, ATTN: MTIN-FF. This requirement 
applies to both interstate and intrastate carriers. Carrier's insurance 
policy(s) must cover all equipment used to transport DOD freight.
    6. Performance Bond.
    a. Carrier agrees to provide MTMC with a Performance Bond. The bond 
secures performance and fulfillment of the carrier obligation to deliver 
DOD freight to destination. It will cover DOD re-procurement costs as a 
result of carrier default, abandoned shipments, or bankruptcy. The bond 
will not be utilized for operational problems such as late pick up or 
delivery, excessive transit time, refusals, no shows, improper/
inadequate equipment or claims for lost or damaged cargo. The bond must 
be issued by a surety company listed in the Fiscal Service Treasury 
Department Circular No. 570. The bond must be completed on the form 
provided by MTMC. The bond will be continuous until cancelled. MTMC will 
be notified in writing, 30 days in advance of any change or 
cancellation. A letter of intent by the surety company is required with 
the initial application package. Upon MTMC approval, the carrier agrees 
to submit the Performance Bond before the Tender of Service will be 
accepted.
    b. The sum of the bond will be determined as follows.
    (1) Carriers having done business in their own name with DOD for 3 
years or more will be required to submit a Performance Bond in the 
amount of 2.5% of their total DOD revenue taken from the Freight 
Information Systems Report (FINS), for the previous 12 months, not to 
exceed $100,000 and not less than $25,000.
    (2) New carriers-and those carriers having done business in their 
own name with the DOD for less than 3 years will be required to submit a 
Performance Bond based on areas of service they offer. Areas of service 
will be computed as both origins and destinations served.

1 state (including intrastate)--$25,000;
2 to 3 states--$50,000; and
4 or more states--$100,000.

    (3) Once a carrier has been doing business with the DOD for 3 years, 
their bond requirement will change from area of service to percent of 
revenue.
    c. If carrier has secured the Performance Bond as a result of 
qualifying under the general commodity program or hazardous materials 
(other than ammunition and explosives, classes A and B) program, no 
additional Performance Bond is required.
    7. Safety and Security.
    a. A ``satisfactory'' safety rating will be maintained with the 
Federal Highway Administration, Department of Transportation and/or with 
the appropriate state agency or commission in the case of intrastate. 
Safety ratings which are ``unsatisfactory,'' ``conditional'', 
``insufficient information'', or ``not rated'' will not be accepted. The 
carrier further agrees to permit unannounced safety and security 
inspections of its facilities, terminals, equipment and operational 
procedures by DOD civilian or military personnel, or DOD contract 
employees. Inspection of carrier equipment, drivers' records, route 
plans and inspection reports will be permitted during both the pickup 
and delivery of shipments and in coordination with local police or other 
authorities while in transit. Carrier also agrees to allow inspection of 
carrier records and individual driver qualification files. When 
requested, carrier agrees to provide adequate evidence of an active 
driver safety, security training and evaluation program. Carrier agrees 
to furnish, on request, driver's Social Security Numbers to verify their 
security clearances and allow for inspection of carrier/driver records.
    b. Carrier agrees to have in place a company-wide safety and 
security management program which includes specific on-going safety and 
security programs for each terminal location. Individual terminal 
programs will encompass planning and execution of safety and security in 
routine operations, to include emergency responders and planners, and 
with the local police and fire authority. Carrier programs will 
incorporate compliance with all applicable Federal, State, and local 
statutes or requirements. Conformance with other safety standards, such 
as NFPA Code 498, will be accomplished as much as possible, with 
compensating measures for deviations. Safety and security programs at 
the company wide or terminal level may be subject to evaluation by a DOD 
representative.
    c. The carrier agrees to notify, within a reasonable period of time, 
the consignor and consignee named by the Government Bill of Lading (GBL) 
of cargo loss, damage, or unusual delay. Carrier also agrees to notify 
the consignor and the consignee named on the GBL immediately by 
telephone of an accident, incident or significant delay. The information 
to be reported will include origin/destination, GBL number, shipping 
paper information, time and place of occurrence and other pertinent 
accident details. Carrier

[[Page 553]]

agrees to notify the MTMC area command annotated on the GBL and the Army 
Operations Center (AOC), within one half (1/2) hour after notification 
of the consignor and consignee, and provide status updates as required. 
The MTMC HOTLINE and AOC telephone numbers are as follows:

--Eastern Area: 800-524-0331; New Jersey only: 800-624-1361
--Western Area: 800-331-1822; California only: 800-348-4639
--AOC: 703-687-0213

When requested, Carrier agrees to furnish MTMC a copy of accident 
reports submitted to Department of Transportation on Form MCS 50-T 
(Property) or MCS 50-B (Passengers) when DOD classes A and B explosives 
movements are involved.
    d. Carrier agrees to provide the driver(s) transporting protected 
commodities an emergency telephone number (indicated on the last page of 
this Agreement) which, when used at any time (24 hours a day, 7 days a 
week), will reach a qualified carrier representative who will be able to 
provide information and assistance. MTMC will be immediately notified if 
this telephone number should be changed. Carrier also agrees to equip 
the vehicle transporting the material with communications equipment (CB 
radio, mobile phone, etc.) capable of being used to obtain assistance in 
an emergency.
    e. Carrier agrees to provide the appropriate Transportation 
Protective Service (TPS) when requested by a DOD shipper. Carrier 
further agrees to comply with, and meet, all criteria for TPS as set 
forth in the Agreement governing the transportation of shipments 
requiring a TPS and also defined in the MTMC Freight Rules Publication 
No. IA (MFTRP No. 1A) and reissues thereto.
    f. Carrier agrees to execute a DD Form 4415 (Certificate Pertaining 
to Foreign Interests) as a precondition to providing any TPS for the 
DOD. Only one DD Form 4415 must be executed by a carrier regardless of 
the number or type of TPS provided.
    g. All copies of the Signature and Tally Record (DD Form 1907), 
Special Instructions for Motor Vehicle Drivers (DD Form 836), and the 
Motor Vehicle Inspection (DD Form 626), will be transferred from driver 
to driver throughout the entire movement of classes A and B explosives 
shipments. All drivers transporting such shipments must sign the DD Form 
1907 and follow the instructions shown on the DD Form 836. Furnishing of 
the Signature and Tally Record is an integral part of a TPS to be 
provided by the carrier. Carrier must ensure that each person 
responsible for the proper handling of the shipment signs the Signature 
and Tally Record at the time he/she assumes responsibility. All drivers 
transporting such shipment must sign the Signature and Tally Record. 
When used with Dual Driver (DD), both drivers are required to sign the 
Signature and Tally Record upon original receipt.
    8. Driver Requirements.
    a. Carrier agrees to comply with all driver requirements contained 
in paragraph 7 of the Agreement Between the military Traffic Management 
Command and Motor Common Carriers Governing the Transportation of 
Shipments Which Require a Transportation Protective Service (TPS) for 
and on Behalf of the U.S. Department of Defense.
    b. Carrier agrees that newly employed drivers will not be allowed to 
transport class A and B explosives until after background checks 
required by 49 CFR 391.23 have been successfully completed.
    c. Carrier agrees that no driver disqualified under 49 CFR 391.15 
will be permitted to operate any vehicle transporting class A and B 
explosives.
    d. The driver of a motor vehicle transporting class A and B 
explosives must undergo a physical examination and must be certified 
physically qualified to drive a commercial motor vehicle in accordance 
with 49 CFR part 391.43. Carrier agrees to have driver screening 
programs in place to ensure that the provisions of this paragraph are 
met.
    9. Equipment. Carrier agrees to comply with all equipment 
requirements contained in paragraph 8 of the Agreement Between the 
Military Traffic Management Command and Motor Common carriers Governing 
the Transportation of Shipments Which Require a Transportation 
Protective Service (TPS) for and on Behalf of the U.S. Department of 
Defense.
    10. Shipment.
    a. Carrier agrees to ensure that the shipper-provided placards are 
displayed in accordance with the general requirements found in 49 CFR 
172.504.
    b. Carrier is responsible for shipments from origin to ultimate 
destination. The carrier also remains responsible for shipments placed 
in a safe haven or refuge location. Carrier agrees not to disclose any 
information to unauthorized persons concerning the nature, kind, 
quantity, destination, consignee or routing of any protected commodities 
shipment tendered to it. The carrier further agrees to provide, at no 
additional cost to the Government, the status of any shipment within 24 
hours after an inquiry is made.
    c. Carrier agrees to comply with all shipment requirements contained 
in paragraph 9 of the Agreement Between the military Traffic Management 
Command and Motor Common Carriers Governing the Transportation of 
Shipments Which Require a Transportation Protective Service (TPS) for 
and on Behalf of the U.S. Department of Defense.
    d. When requested by the shipper for reasons of security, carrier 
agrees to cover the shipment with a carrier-provided tarpaulin. 
Protective tarping is an accessorial service.

[[Page 554]]

    11. Documentation.
    a. The carrier agrees to accept GBLs on which freight charges will 
be paid by the Government, and bound by all terms stated on the SF1103, 
Government Bill of Lading.
    b. The carrier will comply with the documentation prelodge 
procedures in effect at Military Ocean Terminals when cargo is consigned 
for further movement overseas. (Prelodging is the submission of advance 
shipment documents which identifies the shipment to the Military Ocean 
Terminal prior to delivery of the cargo at the terminal.) Instructions 
will be provided by the consignor to furnish certain data at least 24 
hours in advance of cargo delivery to the terminal.
    12. Loss or Damage. The carrier agrees to be liable for loss or 
damage to cargo in accordance with the provisions of 49 U.S.C. 11707 
(the Carmack Amendment to the Interstate Commerce Act). Carrier agrees 
to promptly settle uncontested claims for loss or damage.
    13. Standard Tender of Service.
    a. The carrier agrees to comply with the preparation and filing 
instructions and applicable freight traffic rules publications issued by 
MTMC. Carrier understands that MTMC will reject tenders not in 
compliance with these instructions.
    b. Carrier agrees to provide a street address where the company 
office is located in lieu of a post office box number. Carrier agrees to 
provide the address prior to or in conjunction with submission of any 
tenders or other rate schedules. The carrier agrees to also advise MTMC 
of any change in address prior to the effective date of the change. 
Failure to do so is grounds to discontinue use of the carriers.
    c. Carrier understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this Agreement, the 
provisions contained in the Standard Tender of Freight Services (MT Form 
364-R), or the applicable MTMC Freight Traffic Rules Publication, and 
supplements thereof, will be subject to immediate removal or non-use 
until corrections are made. The issuing carrier will be advised when 
tenders are removed under these circumstances.
    14. Rates.
    a. Carrier agrees to transport Government shipments at the lowest 
tender rate specifically applicable to the department or agency 
involved.
    b. The carrier's rates must be on file with MTMC, HQ, Eastern Area, 
ATTN: MTE-IN, Bayonne, New Jersey 07002-5302. The carrier must publish 
all rates, charges, and accessorial services on a ``Department of 
Defense Standard Tender of Freight Services'', MT Form 364-R and must 
comply with the tender preparation instructions. (Only services 
annotated with a charge in the tender will be paid by the shipper.)
    15. Carrier Performance. Carrier agrees that carrier's equipment, 
performance, and standards of service will conform with its obligations 
under Federal, State and local law and regulation as well as with the 
guidelines found in the Defense Traffic Management Regulation (DTMR) and 
this Agreement. The carrier fully understands its obligation to remain 
current in its knowledge of service standards. The carrier accepts the 
Government's right to revoke approval, declare ineligible, non-use, or 
disqualify the carrier for unsatisfactory service for any operating 
deficiency, noncompliance with terms of this Agreement or terms of any 
negotiated agreements, tariffs, tenders, bills of lading or similar 
arrangements determining the relationship of the parties, or for the 
publication or assessment of unreasonable rates, charges, rules, 
descriptions, classifications, practices, or other unreasonable 
provisions of tariffs/tenders. Rules governing the Carrier Performance 
Program are found in MTMC Regulation 15-1, and Army Regulation 55-355, 
DTMR. If a carrier is removed or disqualified for 6 months or more, it 
will have to be re-qualified.
    16. General Provisions. The carrier must possess a valid Standard 
Carrier Alpha Code (SCAC). When a company holding the appropriate 
authority has operating divisions each with its own unique SCAC, each 
such division is required to execute a separate agreement with the MTMC 
governing the transportation of protected commodities.
    17. Terms of the Agreement.
    a. The terms of this Agreement will be applicable to each shipment.
    b. This Agreement shall be effective from the date of approval by 
MTMC, until terminated. Termination is effective upon receipt of written 
notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    d. The carrier agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and carrier name. Carrier understands that failure to notify MTMC shall 
be grounds for immediate revocation of the carrier's approval and their 
participation in the movement of DOD freight.
    18. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    19. Inquiries. Inquiries may be referred to: Commander, Military 
Traffic Management Command, ATTN: MTIN-FF, 5611 Columbia Pike, Falls 
Church, Virginia 22041-5050.
    20. Carrier Acknowledgment and Acceptance. The certifying carrier 
official agrees to

[[Page 555]]

ensure that the appropriate company officials and employees are familiar 
with the requirements, terms and conditions of this Agreement and are in 
full compliance with the applicable provisions herein. Any information 
found to be falsely represented in the Motor Carrier Qualification Form, 
the attachments or during the qualification procedures, to include 
additional requirements of this Agreement, shall be grounds for 
automatic revocation of this Agreement and immediate non-use of the 
carrier, the affiliated companies, division and entities.
 I,_____________________________________________________________________
(Typed Name and Title of Carrier Official)

verify under penalty of perjury under the laws of the United States of 
America, that the information contained in the carrier qualification 
application packet and this Agreement is true, correct and complete. If 
representing a company or organization, I certify that I am qualified 
and authorized to offer this information. I know that willful 
misstatements or omissions of material facts constitute Federal criminal 
violations punishable under 18 U.S.C. 1001 by up to 5 years imprisonment 
and fines up to $10,000 for each offense, or punishable as perjury under 
18 U.S.C. 1621 by fines up to $2,000 or imprisonment up to 5 years for 
each offense. Further I understand the requirements of this Agreement 
and on behalf of ________________________
(Typed Name of Carrier and MC Number)

agree to comply with the terms and conditions contained herein.

Signature of Carrier Official and Title
 _______________________________________________________________________
Date____________________________________________________________________
 Carrier Address________________________________________________________
 Telephone Number_______________________________________________________
 24 HR Emergency Number_________________________________________________
 Interstate Operating Authority Certificate Number--MC__________________
 Intrastate Operating Authority_________________________________________
 Certificate Number(s) (Include Issuing State--for example______________
 PA--#12345)____________________________________________________________
Military Traffic Management Command Acknowledgment/Acceptance
 Signature and Title____________________________________________________
 Date Approved:_________________________________________________________

     Appendix C to Part 619--Agreement Between the Military Traffic 
       Management Command and Motor Common Carriers Governing the 
Transportation of Hazardous Material Other Than Class A and B Explosives 
           for and on Behalf of the U.S. Department of Defense

 1. The undersigned, who is duly authorized and empowered to act on 
behalf of_______________________________________________________________
 _______________________________________________________________________
(Name of Company, Typed or Legibly Printed),

(hereinafter called the carrier), as a prerequisite for approval to 
transport hazardous materials, (other than Class A & B Explosives), as 
defined in 49 Code of Federal Regulations (CFR) 172.3. Hazardous 
commodities in bulk include, but not limited to, such items as gasoline, 
kerosene, lubricating oil, turbine fuel, diesel fuel and fuel oil, for 
the account of the DOD and the Military Traffic Management Command 
(MTMC) (herein called the Government), agrees to comply with all 
requirements, terms and conditions as set forth in this Agreement. If 
the carrier wishes to participate in DOD traffic which requires a 
protective service, the carrier must also be a party to and in full 
compliance with requirements contained in the Agreement governing 
shipments which require a Transportation Protective Service (TPS). 
Noncompliance by the carrier with any provision of this or any other 
Agreement it is a party to will be sufficient grounds for immediate 
revocation of the carrier's approval to participate in the movement of 
hazardous materials. The carrier may also be subject to further action 
under the carrier Performance Program, governed by MTMC Regulation 15-1, 
which could result in nationwide disqualification on all DOD freight 
shipments.
    2. Approval and Revocation.
    a. Carrier understands that its initial approval and retention of 
approval are contingent upon establishing and maintaining, to MTMC's 
satisfaction sufficient resources to support its proposed scope of 
operations and services. Sufficient resources include the equipment, 
personnel, facilities, and finances to handle the traffic anticipated by 
DOD/MTMC under the carrier's proposed scope of operations in accordance 
with the service requirements of the shipper.
    b. The carrier understands that MTMC may revoke approval at anytime 
upon discovery of grounds for ineligibility or disqualification. The 
carrier further understands that it is not authorized to submit tenders 
for shipments requiring a TPS until it has served DOD in an approved 
status for 12 continuous months. Prior to being allowed to handle 
shipments which require a TPS or class A & B explosives, the carrier 
must first meet any additional requirements in effect at the time.
    c. In addition to the initial evaluation, the carrier agrees that it 
will cooperate with MTMC follow-up evaluations at any time subsequent to 
signing this Agreement to confirm continued eligibility.
    d. The carrier certifies that neither the owners, company, corporate 
officials, nor any affiliation or subsidiary thereof are currently 
debarred or suspended, disqualified by a MTMC General Freight Board, or 
placed in

[[Page 556]]

non-use by MTMC from doing business with DOD.
    3. Lawful Performance.
    a. Carrier agrees to comply with all applicable Federal, State, 
municipal, and other local laws and regulations governing the safe, 
proper, and lawful operation of motor vehicles to include Title 49 Code 
of Federal Regulations (CFR) 386-397. Intrastate carriers are required 
to comply with all applicable state or federal regulations, whichever 
are more stringent.
    b. No fines, charges, or assessments for overload vehicles or other 
violations of applicable laws and regulations will be passed to or be 
paid by any agency of the Federal Government.
    4. Operating Authority. Carrier agrees to maintain valid motor 
common carrier operating certificates for its scope of operations which 
is not restricted against the handling and transport of hazardous 
materials as defined in 49 CFR 172.3. Any carrier found to be, involved 
in brokerage, as defined by the Interstate Commerce Commission (ICC), of 
DOD freight traffic will have its approval revoked.
    5. Insurance.
    a. Minimum public liability insurance requirements are prescribed in 
Title 49 of the Federal Code of Federal Regulations (CFR) 5387.9 Carrier 
agrees to ensure that the ICC is provided proof of their public 
liability insurance, in the form of a BMC 91 or 91-X, or MCS 90, in 
accordance with Sections 29 and 30 of the Motor Carrier Act of 1980. 
Further, the motor carrier will provide MTMC with a certificate of 
insurance form. The certificate holder block of the form will indicate 
that MTMC, 5611 Columbia Pike, Falls Church, Virginia 22041-5050, ATTN: 
MTIN-FF, will be notified in writing, 30 days in advance of any change 
or cancellation. The deductible portion will be shown on the 
certificate. The insurance underwriter must have a policyholder's rating 
in the Best's Insurance Guide, listed in the Fiscal Service Treasury 
Department Circular 570, Listing of Surety Companies.
    b. The carrier agrees to also file with MTMC proof of:
    (1) Interstate Public Liability. Carrier will ensure that its 
insurance company(s) file with MTMC proof of public liability and 
property damage insurance for the transportation of hazardous 
commodities in the minimum amounts prescribed in 49 CFR 387.9.
    (2) Intrastate Public Liability. Carrier will ensure that its 
insurance company(s) file with MTMC proof of insurance which meets the 
state requirements for public liability and property damage for the 
transportation of hazardous materials.
    (3) Cargo Insurance. Carrier will also file with MTMC proof of 
$150,000 per incident minimum cargo insurance for loss and damage of 
Government freight other than bulk fuel which is set at $25,000.
    c. The insurance, carried in the name of the carrier, will be in 
force at all times while this Agreement is in effect of until such time 
as the carrier cancels all tenders. The carrier agrees to ensure that 
the policies include a provision requiring the insurer to notify MTMC 
prior to any performance of service by the carrier. Changes, renewals, 
and cancellation notices must also be sent to MTMC, 5611 Columbia Pike, 
Falls Church, Virginia 22041-5050, ATTN: MTIN-FF. This requirement 
applies to both interstate and intrastate carriers. Carrier's insurance 
policy(s) must cover all equipment used to transport DOD freight.
    6. Performance Bond.
    a. Carrier agrees to provide MTMC with a Performance Bond. The bond 
secures performance and fulfillment of the carrier obligation to deliver 
DOD freight to destination. It will cover DOD reprocurement costs as a 
result of carrier default, abandoned shipments, or bankruptcy by the 
carrier. The bond will not be utilized for operational problems such as 
late pick up or delivery, excessive transit time, refusals, no shows, 
improper/inadequate equipment or claims for lost or damaged cargo. The 
bond must be issued by a surety company listed in the Fiscal Service 
Treasury Department Circular No. 570. The bond must be completed on the 
form provided by MTMC. The bond will be continuous until cancelled. POC 
will be notified in writing, 30 days in advance of any change or 
cancellation. A letter of intent by the surety company is required with 
the initial application package. Upon MTMC approval, the carrier agrees 
to submit the Performance Bond before the Tender of Service will be 
accepted.
    b. The sum of the bond shall be determined as follows.
    (1) Carriers having done business in their own name with DOD for 3 
years or more will be required to submit a performance bond in the 
amount of 2.5% of their total DOD revenue, taken from the Freight 
Information Systems Report (FINS), for the previous 12 months, not to 
exceed $100,000 and not less than $25,000.
    (2) New carriers and those carriers having done business in their 
own name with the DOD for less than 3 years will be required to submit a 
Performance Bond based on areas of service they offer. Areas of service 
will be computed at both origins and destinations serve

1 state (including intrastate)--$25,000;
2 to 3 states--$50,000; and
4 or more states--$100,000.

    (3) Once a carrier has been doing business with the DOD for 3 years, 
their bond requirement will change from area of service to percent of 
revenue.

[[Page 557]]

    c. Bulk fuel carriers will be required to submit a $25,000 
Performance Bond.
    d. Local drayage and commercial zone carriers are exempt from the 
bond requirement.
    e. If carrier has secured the Performance Bond as a result of 
qualifying under the general commodity program or class A and B program, 
no additional Performance Bond is required.
    7. Safety and Security.
    a. A ``satisfactory'' safety rating will be maintained with the 
Federal Highway Administration, Department of Transportation and/or with 
the appropriate state agency or commission in the case of intrastate. 
Safety ratings which are ``unsatisfactory,'' ``conditional'', 
``insufficient information'', or ``not rated'' will not be accepted. The 
carrier further agrees to permit unannounced safety and security 
inspections of its facilities, terminals, equipment and operational 
procedures by DOD civilian or military personnel, or DOD contract 
employees. These inspections may include transit surveillance of 
vehicles and drivers. The carrier agrees to provide evidence that 
fulfills the requirement set forth in 49 Code of Federal Regulation 
Parts 390 through 396. Inspection of carrier equipment, drivers' 
records, route-plans and inspection reports will be permitted during 
both the pickup and delivery of shipments and in coordination with local 
police or other authorities while in transit. Carrier also agrees to 
allow inspection of carrier records and individual driver qualification 
files. When requested, carrier agrees to provide adequate evidence of an 
active driver safety, security training and evaluation program. Carrier 
agrees to furnish, on request, driver's social security Numbers to 
verify their security clearances and allow for inspection of carrier/
driver records.
    b. Carrier agrees to have in place a company-wide safety and 
security management program which includes specific on-going safety and 
security programs for each terminal location. Individual terminal 
programs will encompass planning and execution for safety and security 
in routine operations, to include emergency responders and planners, and 
with the local police and fire authority. Carrier programs will 
incorporate compliance with all applicable Federal, State, and local 
statutes or requirements. Conformance with other safety standards, such 
as NFPA Code 498, will be accomplished as much as possible, with 
compensating measures for deviations. Safety and security programs at 
the company wide or terminal level may be subject to evaluation by a DOD 
representative.
    c. The carrier agrees to notify, within a reasonable period of time, 
the consignor and consignee named by the Government Bill of Lading (GBL) 
or Commercial Bill of Lading (CBL) of cargo loss, damage, or unusual 
delay. Carrier also agrees to notify the consignor and the consignee 
named on the GBL immediately by telephone of an accident, incident or 
significant delay. The information to be reported will include origin/
destination, GBL/CBL number, shipping paper information, time and place 
of occurrence and other pertinent accident details. Carrier agrees to 
notify the MTMC area command annotated on the GBL and the Defense 
Logistics Agency (DLA), within one half (1/2) hour after notification of 
the consignor and consignee, and provide status updates as required. The 
MTMC HOTLINE telephone numbers are as follows:

--Eastern Area: 800-524-0331; New Jersey only: 800-624-1361
--Western Area: 800-331-1822; California only: 800-348-4639
--DLA: 800-851-8061

When requested, carrier agrees to furnish MTMC a copy of accident 
reports submitted to Department of Transportation on Form MCS 50-T 
(Property).
    d. Carrier agrees to provide the driver(s) transporting hazardous 
commodities an emergency telephone number (indicated on the last page of 
this Agreement) which, when used at any time (24 hours a day, 7 days a 
week), will reach a qualified carrier representative who will be able to 
provide information and assistance. MTMC will be immediately notified if 
this telephone number should be changed.
    e. Carriers approved to transport DOD hazardous materials requiring 
TPS agree that no driver disqualified under 49 CFR 391.15 will be 
permitted to operate any vehicle transporting such commodities.
    f. Carriers approved to transport DOD hazardous materials agree to 
ensure that drivers of a motor vehicle transporting such commodities 
must undergo a physical examination and must be certified physically 
qualified to drive a commercial motor vehicle in accordance with 49 CFR 
391.43. Carrier also agrees to have driver screening programs in place 
to ensure that the provisions of this paragraph are met.
    8. Drivers Requirements.
    a. Carrier agrees to ensure that the driver(s) employed to transport 
hazardous materials have a minimum of one year of general commodities 
driving experience (using similar equipment) prior to transporting 
hazardous commodities, and that its drivers are trained and competent in 
the movement of these commodities to include an understanding of the 
following: 49 CFR part 397; instructions on procedures to be followed in 
the event of a delay; nature of the materials being transported; 
precautions to be taken in an emergency; written route plans; and 
shipping paper entries. The carrier will certify that the driver is 
trained and competent in the movement of hazardous commodities, and 
proof of certification must be carried in

[[Page 558]]

the vehicle of the unit transporting these commodities.
    b. The carrier agrees to further ensure that driver(s) carry a valid 
commercial motor vehicle operator's license issued by his/her state of 
domicile, a certificate of physical examination issued during the 
preceding 24 months, and an employee record card, or similar document, 
one of which must contain the driver's photograph. The driver(s) must be 
21 years of age. The driver(s) must carry a company picture 
identification card to verify affiliation with the carrier named on the 
Government Bill of Lading (GBL)
    9. Equipment.
    a. Trip-leased equipment, with or without drivers, will not be used 
to transport hazardous materials for the account of the DOD. Exceptions 
for the use of intermittent or occasional drivers in 49 CFR 391.63 will 
not apply to any DOD movement. Any equipment, with or without drivers, 
leased to augment carrier-owned equipment will be on a not less than 90-
day noncancellable basis.
    b. A copy of the equipment lease agreement must be carried in the 
vehicle of the unit transporting these commodities. (Facsimile, Xerox, 
or otherwise reproduced copies, are not acceptable.) Interchange 
agreements which originate at origin will be considered trip leases and 
will not be accepted. The lease must be complete at time of pick up and 
should require no further information to be completed by the driver. 
Failure to comply with this requirement or attempted abuse of this 
requirement could result in the carrier's participation in this type 
traffic to be immediately revoked and up to a nationwide 
disqualification on all DOD freight shipments should further action 
under the Carrier Performance Program be deemed appropriate.
    c. Carriers approved to transport DOD hazardous materials requiring 
TPS agree to comply with all equipment requirements contained in 
paragraph 8 of the Agreement Between the Military Traffic Management 
Command and Motor Common Carriers Governing the Transportation of 
Shipments Which Require a Transportation Protective Service (TPS) for 
and on Behalf of the U.S. Department of Defense.
    10. Shipment.
    a. Carrier is responsible for shipments from origin to ultimate 
destination. The carrier also remains responsible for shipments placed 
in a safe haven or refuge location. Carrier agrees not to disclose any 
information to unauthorized persons concerning the nature, kind, 
quantity, destination, consignee or routing of any hazardous material 
shipment tendered to it. The carrier further agrees to provide, at no 
additional cost to the 71 Government, the status of any shipment within 
24 hours after an inquiry is made.
    b. Carrier agrees to ensure that shipper-provided placards are 
displayed in accordance with the general requirements found in 49 CFR 
172.504 for the transportation of hazardous materials. The carrier 
further agrees to conform to the requirements found in 49 CFR 177.825 
pertaining to the transportation of radioactive materials on designated 
routes of radioactive materials for which placarding is required. 
Carrier also agrees to route all other shipments of hazardous 
commodities in accordance with the provisions of 49 CFR 397.9.
    c. When requested by the shipper for reasons of security, carrier 
agrees to cover the shipment with a carrier-provided tarpaulin. 
Protective tarping is an accessorial service.
    d. Carriers approved to transport DOD hazardous materials requiring 
TPS agree to comply with all shipment requirements contained in 
paragraph 9 of the Agreement Between the Military Traffic Management 
Command and Motor Common Carriers Governing the Transportation of 
Shipments Which Require a Transportation Protective Service (TPS) for 
and on Behalf of the U.S. Department of Defense.
    11. Documentation.
    a. The carrier agrees to accept GBLs and CBLs on which 73 freight 
charges will be paid by the Government, and bound by all terms stated on 
the SF1103, Government Bill of Lading, regardless of the type of bill of 
lading tendered.
    b. The carrier agrees to comply with the documentation prelodge 
procedures in effect at Military Ocean Terminals when cargo is consigned 
for further movement overseas. (Prelodging is the submission of advance 
shipment documents which identifies the shipment to the Military Ocean 
Terminal or the installation prior to delivery of the cargo at the 
terminal.) Instructions will be provided by the consignor to furnish 
certain data at least 24 hours in advance of cargo delivery to the 
terminal.
    12. Loss or Damage. The carrier agrees to be liable for loss or 
damage to cargo in accordance with the provisions of 49 U.S.C. 11707 
(the Carmack Amendment to the Interstate Commerce Act). Carrier agrees 
to promptly settle uncontested claims for loss or damage.
    13. Standard Tender of Service.
    a. The carrier agrees to comply with the preparation and filing 
instructions and applicable freight traffic rules publications issued by 
MTMC. Carrier understands that MTMC will reject tenders not in 
compliance with these instructions.
    b. Carrier agrees to provide a street address where the company 
office is located in lieu of a post office box number. Carrier will 
provide the address prior to or in conjunction with submission of any 
tenders or other rate schedules. The carrier agrees to also advise MTMC 
of any change in address prior to

[[Page 559]]

the effective date of the change. Failure to-do so is grounds to 
discontinue use of the carriers.
    c. Carrier understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this agreement, the 
provisions contained in the standard Tender of Freight services (MT Form 
364-R), or the applicable MTMC Freight Traffic Rules Publication, and 
supplements thereof, will be subject to immediate removal or nonuse 
until corrections are made. The issuing carrier will be advised when 
tenders are removed under these circumstances.
    14. Rates.
    a. Carrier agrees to transport Government shipments at the lowest 
tender rate specifically applicable to the department or agency 
involved.
    b. The carrier's rates must be on file with MTMC, HQ, Eastern Area, 
ATTN: MTE-IN, Bayonne, New Jersey 07002-5302. The agent must publish all 
rates, charges, and accessorial services on a ``Department of Defense 
standard Tender of Freight Services'', MT Form 364-R and must comply 
with the tender preparation instructions. (Only services annotated with 
a charge in the tender will be paid by the shipper.)
    15. Carrier Performance. Carrier agrees that carrier's equipment, 
performance, and standards of service will conform with its obligations 
under Federal, State and local law and regulation as well as with the 
guidelines found in the Defense Traffic Management Regulation (DTMR) and 
this Agreement. The carrier fully understands its obligation to remain 
current in its knowledge of service standards. The carrier accepts the 
Government's right to revoke approval, declare ineligible, nonuse, or 
disqualify the carrier for unsatisfactory service subsequent to approval 
or for any other operating deficiency, or for noncompliance with terms 
of the Agreement or terms of negotiated agreements, tariffs, tenders, 
bills of jading or similar arrangements determining the relationship of 
the parties, or for the publication or assessment of unreasonable rates, 
charges, rules, descriptions, classifications, practices, or other 
unreasonable provisions of tariffs/tenders. Rules governing the Carrier 
Performance Program are found in MTMC Regulation 15-1, and Army 
Regulation 55-355, DTMR. If a carrier is removed or disqualified for 6 
months or more, it will have to be requalified.
    16. General Provisions. The carrier agrees to possess a valid 
Standard Carrier Alpha Code (SCAC). When a company holding the 
appropriate authority has operating divisions each with its own unique 
SCAC, each such division is required to execute a separate agreement 
with MTMC governing the transportation of protected commodities.
    17. Terms of the Agreement.
    a. The terms of this Agreement will be applicable to each shipment.
    b. This agreement shall be effective from the date of approval by 
MTMC, until terminated. Termination is effective upon receipt of written 
notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    d. The carrier agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and carrier name. Carrier understands that failure to notify MTMC shall 
be grounds for immediate revocations of carriers approval and their 
participation in movement of DOD freight.
    18. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    19. Inquiries. Inquiries may be referred to: Commander, Military 
Traffic Management Command, ATTN: MTIN-FF, 5611 Columbia Pike, Falls 
Church, Virginia 22041-5050.
    20. Carrier Acknowledgment and Acceptance. The certifying carrier 
official agrees to ensure that the appropriate company officials and 
employees are familiar with the requirements, terms and conditions of 
this Agreement and are in full compliance with the applicable provisions 
herein. Any information found to be falsely represented in the Motor 
Carrier Qualification Form, the attachments or during the qualification 
procedures, to include additional requirements of this Agreement, shall 
be grounds for automatic revocation of this Agreement and immediate non-
use of the carrier, the affiliated companies, division and entities.
 I,_____________________________________________________________________
(Typed Name and Title of Carrier Official)

verify under penalty of perjury under the laws of the United States of 
America, that the information contained in the carrier qualification 
application packet and this Agreement is true, correct and complete. If 
representing a company or organization, I certify that I am qualified 
and authorized to offer this information. I know that willful 
misstatements or omissions of material facts constitute Federal criminal 
violations punishable under 18 U.S.C. 1001 by up to 5 years imprisonment 
and fines up to $10,000 for each offense, or punishable as perjury under 
18 U.S.C. 1621 by fines up to $2,000 or imprisonment up to 5 years for 
each offense. Further I understand the requirements of this Agreement 
and on behalf of ____________________
 _______________________________________________________________________
(Typed Name of Carrier and MC Number)

agree to comply with the terms and conditions contained herein.
 Signature of Carrier Official and Title________________________________

[[Page 560]]

 _______________________________________________________________________
Date____________________________________________________________________
 Carrier Address________________________________________________________
 Telephone Number_______________________________________________________
 24 Hr Emergency Number_________________________________________________
 Interstate Operating Authority Certificate Number--MC__________________
 Intrastate Operating Authority_________________________________________
 Certificate Number(s) (Include Issuing State--for example______________
 PAI--#12345)___________________________________________________________
 Military Traffic Management Command Acknowledgment/Acceptance Signature 
and Title_______________________________________________________________
 Date Approved:_________________________________________________________

     Appendix D to Part 619--Agreement Between the Military Traffic 
       Management Command and Motor Common Carriers Governing the 
 Transportation of Shipments Which Require a Transportation Protective 
    Service (TPS) for and on Behalf of the U.S. Department of Defense

 1. The undersigned, who is duly authorized and empowered to act on 
behalf of_______________________________________________________________
 _______________________________________________________________________
(Name of Company, Typed or Legibly Printed)

(hereinafter called the carrier), as a prerequisite for approval to 
transport classified materials, protected and sensitive material, 
weapons and ammunition, munitions or other hazardous material as defined 
in 49 Code of Federal Regulations (CFR) 172.3 which are designated 
sensitive by the U. S. Department of Defense (DOD), (hereinafter 
referred to as ``protected commodities''), which require a 
Transportation Protective Service (TPS) for the account of the DOD and 
the Military Traffic Management Command (MTMC) (hereinafter called the 
Government), agree to comply with all additional requirements, terms and 
conditions as set forth in this Agreement. Carrier further acknowledges 
that it is in full compliance with the basic qualification standards 
either for general commodities, hazardous materials (other than class A 
and B explosives), or class A and B ammunition and explosives, has 
executed the appropriate MTMC agreement, and is required to maintain and 
will maintain in a current status, all basic requirements, in addition 
to requirements established by this Agreement. Noncompliance by the 
carrier with any provision of this Agreement will be sufficient grounds 
for immediate revocation of the carrier's approval to participate in the 
movement of protected commodities which require a TPS. The carrier may 
also be subject to further action under the Carrier Performance Program 
as set forth in MTMC Regulation 15-1, Transportation and Travel, 
Procedure for Disqualifying and Placing Carriers in Non-Use, which could 
result in nationwide disqualification on all DOD freight shipments.
    2. Approval and Revocation.
    a. Carrier understands that its initial approval and retention of 
approval are contingent upon establishing and maintaining, to MTMC's 
satisfaction sufficient resources to support its proposed scope of 
operations and services. Sufficient resources include the equipment, 
personnel, facilities, and finances to handle the traffic anticipated by 
DOD/MTMC under the carrier's proposed scope of operations in accordance 
with the service requirements of the shipper.
    b. The carrier understands that MTMC may revoke approval at any time 
upon discovery of grounds for ineligibility or disqualification.
    c. In addition to the initial evaluation, the carrier agrees that it 
will cooperate with MTMC follow-up evaluations at any time subsequent to 
signing this Agreement to confirm continued eligibility.
    d. Carrier agrees to execute a DD Form 4415 (Certificate Pertaining 
to Foreign Interests) as a precondition to providing any TPS for the 
DOD. Only one DD Form 4415 must be executed by a carrier regardless of 
the number or type of TPS provided.
    e. Carrier agrees to allow a National Agency Check (NAC) on all 
management and operational personnel involved in the performance of Dual 
Driver Protective Service with National Agency Checks (DN). The results 
of the NAC must be favorable as determined by MTMC under DOD criteria as 
a precondition to the carrier providing Satellite Monitoring (SM) with 
DN. Management personnel include: owners (including partnership where 
applicable), principal deputies, board members (where applicable), and 
company managers responsible for liaison with DOD operations. 
Operational personnel include: drivers, handlers, and terminal and 
security personnel hired permanently or temporarily by the company to 
protect the DOD cargo under SM with DN.
    f. Carrier providing Protective Security Service (PS) and/or 
Security Escort Vehicle Service (SE) accompanying a PS shipment must 
have been cleared by the Defense Investigative Service (DIS) under the 
DOD Industrial Security Program.
    3. Lawful Performance. Carrier agrees it will comply with all rules, 
regulations and requirements set forth in any and all agreements which 
may be applicable to the shipment/commodity transported requiring a TPS.
    4. Agreements. When applicable, carrier agrees to execute a separate 
agreement with MTMC governing the transportation of hazardous materials, 
ammunition and explosives, or Class A and B explosives, as defined in 49 
CFR part 173.
    5. Security.

[[Page 561]]

    a. Carrier agrees to designate a ``qualified carrier 
representative'' when handling shipments requiring a TPS. This 
representative will be employed by the carrier, or the terminal 
involved, aware of the sensitivity of the shipment, knowledgeable of the 
safety, security and emergency procedures to be followed, authorized and 
capable of moving a transportation conveyance and, when providing PS, 
cleared by DIS.
    b. Carrier agrees to ensure that trailers containing protected 
commodities are always connected to tractors during shipment except when 
stopped at a DOD activity for loading or unloading, a carrier's terminal 
for servicing, a carrier-designated point where driver(s) or qualified 
carrier representative maintains continuous surveillance over the 
shipment, or a qualified safe haven-or refuge location.
    c. When requested by the shipper for reasons of security, carrier 
agrees to cover the shipment with a carrier-provided tarpaulin. 
Protective tarping for security reasons is an accessorial service.
    6. Safety.
    a. A ``satisfactory'' safety rating will be maintained with the 
Federal Highway Administration, Department of Transportation and/or with 
the appropriate state agency or commission in the case of intrastate 
transport. Safety ratings which are ``unsatisfactory,'' ``conditional,'' 
``insufficient information,'' or ``not rated'' will not be accepted.
    b. Carrier agrees to notify the consignor and the consignee named on 
the GBL immediately by telephone of an accident, incident or significant 
delay. The information to be reported will include origin/destination, 
GBL/CBL number, shipping paper information, time and place of occurrence 
and other pertinent accident details. Carrier will notify the MTMC area 
command annotated on the GBL within one half (1/2) hour after 
notification of the consignor and consignee, and provide status updates 
as required. The MTMC HOTLINE telephone numbers are as follows:

--Eastern Area: 800-524-0331; New Jersey only: 800-624-1361
--Western Area: 800-331-1822; California only: 800-348-4639 When 
requested, carrier will furnish MTMC a copy of accident reports 
submitted to Department of Transportation on Form MCS 50-T (Property).

    c. Carrier agrees to provide the driver(s) transporting protected 
commodities an emergency telephone number (indicated on the last page of 
this Agreement) which, when used at any time (24 hours a day, 7 days a 
week), will reach a qualified carrier representative who will be able to 
provide information and assistance. MTMC will be immediately notified if 
this telephone number should be changed. Carrier also agrees to equip 
the vehicle transporting the material with communications equipment (CB 
radio, mobile phone, etc.) capable of being used to obtain assistance in 
an emergency.
    7. Driver Requirements. a. Carrier agrees to ensure that the 
driver(s) employed to transport protected commodities requiring a TPS be 
21 years of age and have a minimum of one year of experience driving 
tractor/trailer equipment under various driving conditions.
    b. Carrier agrees to ensure that the driver(s) employed to transport 
protected commodities requiring a TPS carry a valid motor vehicle 
operator's license issued by his/her state of domicile, a certificate of 
physical examination issued during the preceding 24 months, and an 
employee record card, or similar document, one of which must contain the 
driver's photograph.
    c. Carrier agrees to ensure driver(s) will carry a company picture 
identification card to verify affiliation with the carrier named on the 
Government Bill of Lading (GBL). The driver identification requirements 
for those carriers cleared to handle SECRET shipments will be in 
accordance with Paragraph 5-410 of the DOD Industrial Security Manual 
(DOD 5220.22-M) and Paragraph 11a(10) of the Carrier Supplement to the 
DOD Industrial Security Manual (DOD 5220.22-C).
    8. Equipment. a.Trip-leased equipment, with or without drivers, will 
not be used to transport protected commodities for the account of the 
DOD. Exceptions for the use of intermittent or occasional drivers in 49 
CFR 391.63 will not apply to any DOD movement. Any equipment, with or 
without drivers, leased to augment carrier-owned equipment will be on a 
not less than 90-day noncancellable basis.
    b. A copy of the equipment lease agreement must be carried in the 
vehicle of the unit transporting these commodities. (Facsimile, Xerox, 
or otherwise reproduced copies, are not acceptable.) Interchange 
agreements which originate at origin will not be accepted. The lease 
must be complete at time of pick up and should require no further 
information to be completed by the driver. Failure to comply with this 
requirement or attempted abuse of this requirement could result in the 
carrier's participation in this type traffic to be immediately revoked 
and up to nationwide disqualification on all DOD freight shipments 
should further action under the Carrier Performance Program be deemed 
appropriate.
    9. Shipment. a. Carrier agrees to provide the appropriate TPS when 
requested by a DOD shipper. Carrier further agrees to perform the TPS as 
defined in the applicable Military Traffic Management Command Freight 
Traffic Rules Publication (MFTRP No. 1A) or reissues thereto. A TPS is 
any one of the following services or any combination thereof:

--DOD Constant Surveillance Service (CS)

[[Page 562]]

--Dual Driver Protective Service (DD)
--Dual Driver w/National Agency Check Protective Service (DN)
--Motor Surveillance Service (MS)
--Protective Security Service (PS)
--DTTS Satellite Motor Surveillance Service (SM)
--Security Escort Vehicle Service (SE)

    b. Carrier agrees that all shipments of protected commodities D14 
and/or PS will only be moved in direct single line-haul service. 
Transportation involving an interchange service may be used, however, if 
the shipment is under DD or CS.
    c. Carrier agrees to provide exclusive use of vehicle or dromedary 
service for all shipments requiring SM with DN and/or PS. The motor 
vehicle or dromedary furnished will be devoted exclusively to the 
transportation of the tendered shipment without seal or lock breakage, 
and without transfer of jading for the convenience of the carrier.
    d. Carrier agrees to maintain an Signature and Tally Record (ST) (DD 
Form 1907) for all shipments of protected commodities requiring a TPS. 
Furnishing of the ST is an integral part of a TPS to be provided by the 
carrier. Carrier agrees to ensure that each person responsible for the 
proper handling of the shipment signs the ST at the time he/she assumes 
responsibility. All drivers transporting such shipment must sign the ST. 
When used with DD, both drivers are required to sign the ST upon 
original receipt.
    e. Carrier agrees to be responsible for shipments from origin to 
ultimate destination. The carrier also remains responsible for shipments 
placed in a safe haven or refuge location. Carrier agrees not to 
disclose any information to unauthorized persons concerning the nature, 
kind, quantity, destination, consignee or routing of any protected 
commodities shipment tendered to it. The carrier further agrees to 
provide, at no additional cost to the Government, the status of any 
shipment within 24 hours after an inquiry is made.
    10. Carrier Performance. Carrier agrees that carrier's equipment, 
performance, and standards of service will conform with its obligations 
under Federal, State and local law and regulation as well as with the 
guidelines found in the Defense Traffic Management Regulation (DTMR) and 
this Agreement. The carrier fully understands its obligation to remain 
current in its knowledge of service standards. The carrier accepts the 
Government's right to revoke approval, declare ineligible, nonuse, or 
disqualify the carrier for unsatisfactory service subsequent to approval 
or for any other operating deficiency, or for noncompliance with terms 
of-the Agreement or terms of negotiated agreements, tariffs, tenders, 
bills of lading or similar arrangements determining the relationship of 
the parties, or for the publication or assessment of unreasonable rates, 
charges, rules, descriptions, classifications, practices, or other 
unreasonable provisions of tariffs/ tenders. Rules governing the Carrier 
Performance Program are found in MTMC Regulation 15-1, and Army 
Regulation 55-355, DTMR. If a carrier is removed or disqualified for 6 
months or more, it will have to be requalified.
    11. Terms of the Agreement. a. The terms of this Agreement will be 
applicable to each shipment.
    b. This agreement shall be effective from the date of approval by 
MTMC, until terminated. Termination is effective upon receipt of written 
notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    d. The carrier agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and carrier name. Carrier understands that failure to notify MTMC shall 
be grounds for immediate revocation of the carrier's approval and their 
participation in the movement of DOD freight.
    12. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    13. Inquiries. Inquiries may be referred to: Commander, Military 
Traffic Management Command, ATTN: MTIN-FF, 5611 Columbia Pike, Falls 
Church, Virginia 22041-5050.
    14. Carrier Acknowledgment and Acceptance. The certifying carrier 
official agrees to ensure the appropriate company officials and 
employees are familiar with the requirements, terms and conditions of 
this Agreement and are in full compliance with the applicable provisions 
herein. Any information found to be falsely represented in the Motor 
Carrier Qualification Form, the attachments or during the qualification 
procedures, to include additional requirements of this Agreement, shall 
be grounds for automatic revocation of this Agreement and immediate non-
use of the carrier, the affiliated companies, division and entities.
    I, ______________ (Typed Name and Title of Carrier Official), verify 
under penalty of perjury under the laws of the United States of America, 
that the information contained in the carrier qualification application 
packet and this Agreement is true, correct and complete. If representing 
a company or organization, I certify that I am qualified and authorized 
to offer this information. I know that willful misstatements or 
omissions of material facts constitute Federal criminal violations 
punishable under 18 U.S.C. 1001 by up to 5 years imprisonment and fines 
up to $10,000 for each offense, or punishable as perjury under 18 U.S.C. 
1621 by fines up to $2,000

[[Page 563]]

or imprisonment up to 5 years for each offense. Further I understand the 
requirements of this Agreement and on behalf of ______________  (Typed 
Name of Carrier and MC Number) agree to comply with the terms and 
conditions contained herein.

 Signature of Carrier Official and Title________________________________

 _______________________________________________________________________
Date____________________________________________________________________
 Carrier Address________________________________________________________
 Telephone Number_______________________________________________________
 24 Hr Emergency Number_________________________________________________
 Interstate Operating Authority Certificate Number-MC___________________
 Intrastate Operating Authority_________________________________________
 Certificate Number(s) (Include)________________________________________

    Issuing State--for example--PA--#12345)

 Military Traffic Management Command Acknowledgment/Acceptance Signature 
and Title_______________________________________________________________
 Date Approved:_________________________________________________________

     Appendix E to Part 619--Agreement Between the Military Traffic 
      Management Command Surface Freight Forwarders Governing the 
  Transportation of General Commodities for and on Behalf of the U.S. 
                          Department of Defense

    1. The undersigned, who is duly authorized and empowered to act on 
behalf of __________, (Name of Forwarder, Typed or Legibly Printed) 
hereinafter referred to as the forwarder, as a prerequisite for 
consideration for participation in the transport of general commodities 
as an exempt surface freight forwarder, for the U.S. Department of 
Defense (DOD), agree to comply with all requirements, terms and 
conditions as set forth in this Agreement. Noncompliance with any 
provision of this Agreement will be sufficient grounds for immediate 
revocation of the forwarder's privilege to participate in the movement 
of DOD freight. For the purpose of this Agreement, a surface freight 
forwarder is defined as a person or company who acts as a common 
carrier, that is, a carrier which holds itself out to the general public 
to provide transportation of property for compensation, assembles and 
consolidates less-than-truckload freight, as defined in the Instruction 
for preparation of Department of Defense Standard Tender of Freight 
Services, MT Form 364-4 (and revisions thereto), Part II, and uses for 
the whole or any part of the line-haul transportation the services of 
regulated motor or rail carriers, breaks bulk, and delivers the less-
than truckload freight holding out in its own name and under its own 
responsibility a through transportation service from point of receipt to 
destination. Forwarders may participate in truckload movements under 
extraordinary circumstances, but not on a regular basis nor as their 
main business.
    2. Approval and Revocation. a. Forwarder understands that its 
initial approval and retention of approval are contingent upon 
establishing and maintaining, to MTMC's satisfaction, sufficient 
resources to support its proposed scope of operations and services. 
Sufficient resources include personnel, facilities, carriers with 
adequate equipment, and finances to handle the traffic anticipated by 
DOD/MTMC under the forwarder's proposed scope of operations in 
accordance with the service requirements of the shipper.
    b. The forwarder understands that MTMC may revoke approval at any 
time upon discovery of grounds for ineligibility or disqualification. 
The forwarder further understands that it will not be authorized to 
participate in any traffic which requires a Transportation Protective 
Service.
    c. In addition to the initial evaluation, the forwarder agrees that 
it will cooperate with MTMC follow-up evaluations at any time subsequent 
to signing this Agreement to confirm continued eligibility.
    d. The forwarder agrees and certifies that neither the owners, 
company, corporate officials, nor any affiliation or subsidiary thereof 
are currently debarred or suspended, disqualified by a MTMC General 
Freight Board, or placed in non-use by MTMC from doing business with 
DOD.
    3. Lawful Performance. a. Forwarder agrees to comply with all 
applicable federal, state, municipal and other local laws and 
regulations. No fines, charges, or assessments for overloaded vehicles 
or other violations of applicable laws and regulations will be passed 
to, or be paid by any agency of the Federal Government.
    b. The forwarder agrees to keep current and on file a list of all 
carriers to be used in the transport of DOD freight shipments. This list 
will contain, as a minimum, the company's name, president/vice 
president's name, operating authority number, corporate office address, 
telephone number and a designated 24-hour on-call point of contact in 
the event of an accident or emergency situation. MTMC can direct 
forwarder not to use specific carriers in the movement of DOD freight 
shipments.
    c. The forwarder further agrees and certifies that it will not use 
any carrier which has been debarred, suspended by the Government or 
which has been placed in non-use or disqualified by MTMC from doing 
business with the DOD for the movement of any DOD freight shipments.
    4. Operations. The forwarder agrees and certifies that it is 
operating as a forwarder as defined herein. If incorporated, evidence of 
incorporation, bearing the official seal of

[[Page 564]]

the state in which filed, Articles of Incorporation, listing all the 
officers of the corporation are attached and certified to be true, 
correct and current.
    5. Insurance. a. The forwarder agrees to maintain a minimum of 
$1,000,000 public liability insurance and $250,000 cargo insurance for 
loss and damage of Government freight. A copy of the certificate of 
insurance must be on file with MTMC, ATTN: MTIN-FF, prior to any 
performance of service by the forwarder.
    b. The insurance, carried in the name of the forwarder, will be in 
force at all times while this Agreement is in effect or until such time 
as the forwarder cancels all tenders. The forwarder agrees to ensure 
that the policies include a provision requiring the insurer to notify 
MTMC prior to any performance of service by the carrier. The certificate 
holder block of the form will indicate that MTMC, 5611 Columbia Pike, 
Falls Church, Virginia 22041-5050, ATTN: MTIN-FF, will be notified in 
writing, 30 days in advance of any change or cancellation. The 
deductible portion will be shown on the certificate.
    c. The insurance underwriter must have a policyholder's rating in 
the Best's Insurance Guide, listed in the Fiscal Service Treasury 
Department Circular 570, Listing of Surety Companies. self-Insurance 
will not be accepted.
    6. Performance Bond. Forwarder agrees to provide MTMC with a 
Performance Bond. The bond secures performance and fulfillment of the 
forwarder's obligation. It will cover default, abandoned shipments, 
bankruptcy and reprocurement costs. The bond will not be utilized for 
operational problems such as late pick up or delivery, excessive transit 
time, refusals, no shows, improper/inadequate equipment or claims for 
lost or damaged cargo. The bond must be issued by a surety company 
listed in the Fiscal service, Treasury Department Circular No. 570. The 
sum of the bond shall be no less than $100,000. The bond must be 
completed on the form provided by MTMC and will be continuous until 
cancelled. MTMC will be notified, in writing, 30 days in advance of any 
change or cancellation. A letter of intent by the surety company is 
required with the initial application. Upon MTMC approval forwarder 
agrees to submit the performance bond before the Tender of Service will 
be accepted.
    7. Safety. a. The forwarder agrees not to use any carrier that has 
an ``unsatisfactory'' safety rating with the Federal Highway 
Administration, Department of Transportation, and if it is an intrastate 
motor carrier, with the appropriate state agency.
    b. Shipments will be delivered in direct service without delay to 
the destination shown on the Government Bills of Lading unless consignee 
or consignor directs diversion of the shipment to a new or different 
destination. Deliveries will be made during the shipper's normal 
business hours.
    c. The forwarder agrees to not divulge any information to 
unauthorized persons concerning the nature and movements of any shipment 
tendered to it.
    d. The forwarder agrees to notify within 24 hours, the consignor and 
consignee named by the Government bill of Lading (GBL) or Commercial 
Bill of Lading (CBL) of cargo loss, damage, or unusual delay. 
Information reported will include origin/ destination, GBL/CBL number, 
shipping paper information, time and place of occurrence, and other 
pertinent details. Upon request, the forwarder agrees to ensure MTMC is 
furnished a copy of accident reports submitted to Department of 
Transportation on Form MCS 50-T (Property).
    e. The forwarder agrees to have in place a company-wide safety 
management program. Forwarder safety program will comply with applicable 
Federal, State and local statutes or requirements. Safety programs at 
the company-wide or terminal level may be subject to evaluation by DOD 
representatives. The forwarder further agrees to permit unannounced 
safety inspections of its facilities, terminals, equipment, employees, 
and procedures by DOD civilian, military personnel, or DOD contract 
employees.
    8. Reserved.
    9. Equipment. The forwarder agrees to ensure equipment is spotted 
for loading at the time and place requested. The Government reserves the 
right to reject the utilization of any equipment placed for loading by 
the forwarder if it does not, upon inspection, meet specifications and 
requirements for the particular shipment involved (size, cube, 
cleanliness, mechanical condition, etc.).
    10. Shipment. The Forwarder agrees to provide, at no additional cost 
to the government, the status of any shipment within 24 hours after an 
inquiry is made. Further, the forwarder agrees to not divulge any 
information to unauthorized persons concerning the nature and movement 
of any DOD shipment.
    11. Documentation. a. Forwarder agrees to accept Government Bills of 
Lading on which freight charges will be paid by the Government, and will 
be bound by all terms and conditions stated thereon.
    b.The forwarder agrees to comply with the provisions of 
documentation prelodging in effect at Military Ocean Terminals which 
cargo is consigned for further movement overseas. (Prelodging is the 
submission of advance shipment documents which identifies the shipment 
to the Military Ocean Terminal prior to arrival of the cargo at the 
terminal to permit preparation of the terminal documentation.) 
Instructions will be provided by the consignees to furnish certain data 
at least 24-hours in advance of cargo arrival at the terminal.

[[Page 565]]

    12. Loss & Damage. The forwarder agrees to be fully liable for 
delivery of all cargo in the same condition as received at origin, 
except loss or damage caused by act of God, public enemy act, omission 
of shipper, inherent vice or detrimental changes due to nature of 
commodity, or natural shrinkage. Forwarder agrees to settle promptly, 
claims for loss or damage. The forwarder also agrees to provide the 
status of any shipment tendered to them within 24-hours after an inquiry 
is made.
    13. Standard Tender of Service. a. The forwarder agrees to comply 
with the preparation and filing instructions and applicable freight 
traffic rules publications issued by MTMC. Forwarder understands that 
MTMC will reject tenders not in compliance with these instructions.
    b. Forwarder agrees to publish a street address where the company 
office is located in lieu of a post office box number. The Military 
Traffic Management Command must be advised of any change in address. 
Failure to do so is grounds to discontinue the use of the forwarder.
    c. Forwarder understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this agreement, the 
provisions contained in the standard Tender of Freight Services (MT Form 
364-R), or the applicable MTMC Freight Traffic Rules Publication, and 
supplements thereof, will be subject to immediate removal or non-use 
until corrections are made. The issuing forwarder will be advised when 
tenders are removed under these circumstances.
    14. Rates. a. Forwarder agrees to transport Government shipments at 
its lowest effective charge named in the tender applicable on the 
commodity transported, whether or not the rate tender is referenced on 
the Government bill of lading.
    b. The forwarder agrees to publish through rates guaranteed for at 
least 30 days. These rates must be filed with MTMC HQ, Eastern Area, 
ATTN: MTE-IN, Bayonne, New Jersey 07002-5302. The forwarder must publish 
all rates, charges, and accessorial services on a ``Department of 
Defense standard Tender of Freight Services'', MT Form 364-R and must 
comply with the tender preparation instructions. (Only services 
annotated with a charge in the tender will be paid by the shipper.)
    c. The forwarder agrees to promptly refund all uncontested 
overcharges to the Government and authorizes the Government to deduct 
the amount of overcharges from any amount subsequently found to be due 
the forwarder.
    d. The Government reserves the right to pursue administrative claims 
directly with forwarders under the Interstate Commerce Act or other 
authorities.
    15. Carrier Performance. a. Forwarder agrees that its performance, 
and standards of service will conform with its obligations under 
Federal, State and local law and regulation as well as with the 
guidelines found in the Defense Traffic Management Regulation (DTMR) and 
this Agreement. The forwarder fully understands its obligation to remain 
current in its knowledge of service standards. The forwarder accepts the 
Government's right to revoke approval, declare ineligible, non-use, or 
disqualify the carrier for unsatisfactory service for any operating 
deficiency, noncompliance with terms of this Agreement or terms of any 
negotiated agreements, tariffs, tenders, bills of lading or similar 
arrangements determining the relationship of the parties, or for the 
publication or assessment of unreasonable rates, charges, rules, 
descriptions, classifications, practices, or other unreasonable 
provisions of tariffs/tenders. Rules governing the Carrier Performance 
Program are found in MTMC Regulation 15-1, and Army Regulation 55-355, 
DTMR-  . If a forwarder is removed or disqualified for 6 months or more, 
it will have to be re-qualified.
    b. Failure or nonperformance by the forwarder with any of the terms 
or conditions of service will constitute a breach of this Agreement. The 
Government reserves the right to disqualify the forwarder for 
unsatisfactory service until such time as the forwarder establishes to 
the satisfaction of DOD that the operating or other deficiency(s) has 
been corrected.
    16. General Provisions. That the forwarder must have a valid 
Standard Carrier Alpha Code (SCAC) and use it on all DOD billing 
documents to identify the forwarder. When a company holding the 
appropriate authority has operating divisions each with its own unique 
SCAC, each such division is required to execute a separate agreement 
with MTMC governing the transportation of protected commodities.
    17. Terms of the Agreement. a. The terms of this Agreement will be 
applicable to each shipment.
    b. This Agreement shall be effective from the date of acknowledgment 
by the Military Traffic Management Command, until terminated upon 
receipt of written notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    d. The forwarder agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and forwarder name. Forwarder understands that failure to notify MTMC 
shall be grounds for immediate revocation of the forwarder's approval 
and their participation in the movement of DOD freight.
    18. Additional specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or

[[Page 566]]

added requirements for other types of service and/or commodities.
    19. Inquires. Inquiries may be referred to Commander, Military 
Traffic Management Command, Attention: MTIN-FF, 5611 Columbia Pike, 
Falls Church, VA 22041-5050.
    20. Forwarder Acknowledgment and Acceptance. a. The undersigned 
forwarder official, by affixing signature hereto, states that he has 
read and understands the general and specific terms and conditions of 
service outlined and agrees to provide service in accordance with such 
terms or conditions. Any information found to be falsely represented in 
the Qualification Form, the attachments or during the qualification 
procedures, to include additional requirements of this Agreement, shall 
be grounds for automatic revocation of this Agreement and immediate non-
use of the forwarder, the affiliated companies, division and entities.

                  Forwarder's Acknowledgment/Acceptance

    I, ______________ (Typed Name and Title or Forwarder Official) 
verify under penalty of perjury under the laws of the United States of 
America, that the information contained in the forwarder qualification 
application packet and this Agreement is true, correct and complete. If 
representing a company or organization, I certify that I am qualified 
and authorized to offer this information, know that willful 
misstatements or omissions of material facts constitute Federal criminal 
violations punishable under 18 U.S.C. 1001 by up to 5 years imprisonment 
and fines up to $10,000 for each offense, or punishable as perjury under 
18 U.S.C. 1621 by fines up to $2,000 or imprisonment up to 5 years for 
each offense. Further I understand the requirements of this Agreement 
and on behalf of ______________ of, ______________ agree (Type Name of 
Forwarder) agree to comply with the terms and conditions contained 
herein.

 Signature of Forwarder Official and Title______________________________

 _______________________________________________________________________
Date____________________________________________________________________
 Forwarder Address______________________________________________________

Telephone Number (______________)
24 Hr Emergency Number (______________)

 Military Traffic Management Command Acknowledgement/Acceptance 
Signature and Title_____________________________________________________
 Date Approved:_________________________________________________________

     Appendix F to Part 619--Agreement Between the Military Traffic 
 Management Command and Shipper Agents Governing the Transportation of 
 General Commodities for and on Behalf of the U.S. Department of Defense

    1. The undersigned, who is duly authorized and empowered to act on 
behalf of ____________________, (Name of Shipper Agent, Typed or Legibly 
Printed), a shipper agent, hereinafter referred to as the agent, as a 
prerequisite for consideration for participation in the transport of 
general commodities as an exempt shipper agent, for the U.S. Department 
of Defense (DOD), agree to comply with all requirements, terms and 
conditions as set forth in this Agreement. Noncompliance with any 
provision of this Agreement will be sufficient grounds for immediate 
revocation of the agent's privilege to participate in the movement of 
DOD freight. For the purpose of this Agreement, an exempt shipper agent 
is defined as a person or company who for compensation provides a 
service by acting as an internodal intermediary handling truck or 
container load shipments. The agent also handles drayage on both ends of 
the movement and other services performed in a terminal area. The agent 
may not act in its capacity as a broker when charged with the 
responsibility of moving DOD freight shipments.
    2. Approval and Revocation. a. Agent understands that its initial 
approval and retention of approval are contingent upon establishing and 
maintaining, to MTMC's satisfaction, sufficient resources to support its 
proposed scope of operations and services. Sufficient resource include 
personnel, facilities, carriers with adequate equipment, and finances to 
handle the traffic anticipated by DOD/MTMC under the agent's proposed 
scope of operations in accordance with the service requirements of the 
shipper.
    b. The agent understands that MTMC may revoke approval at any time 
upon discovery of grounds for ineligibility or disqualification. The 
agent further understands that it will not be authorized to participate 
in any traffic which requires a Transportation Protective Service.
    c. In addition to the initial evaluation, the agent agrees that it 
will cooperate with MTMC follow-up evaluations at any time subsequent to 
signing this Agreement to confirm continued eligibility.

[[Page 567]]

    d. The agent agrees and certifies that neither the owners, company, 
corporate officials, nor any affiliation or subsidiary thereof are 
currently debarred or suspended disqualified by a MTMC General Freight 
Board, or placed in non-use by MTMC from doing business with DOD.
    3. Lawful Performance. a. The agent agrees to comply with all 
applicable federal, state, municipal and other local laws and 
regulations. No fines, charges, or assessments for overloaded vehicles 
or other violations of applicable laws and regulations will be passed 
to, or be paid by any agency of the Federal Government.
    b. The agent agrees to keep current and on file a list of all 
carriers to be used in the transport of DOD freight shipments. This list 
will contain, as a minimum, the company's name, president/vice 
president's name, operating authority number, corporate office address, 
telephone number and a designated 24-hour on-call point of contact in 
the event of an accident or emergency situation. MTMC can direct agent 
not to use specific carriers in the movement of DOD freight shipments.
    c. The agent further agrees and certifies that it will not use any 
carrier which has been debarred, suspended by the Government or which 
has been placed in non-use or disqualified by MTMC from doing business 
with the DOD for the movement of any DOD freight shipments.
    4. Operations. The agent agrees and certifies that it is operating 
as a shipper agent as defined herein. If incorporated, evidence of 
incorporation, beading the official seal of the state in which filed, 
Articles of Incorporation, listing all the officers of the corporation 
are attached and certified to be true, correct and current.
    5. Insurance. a. The agent agrees to maintain a minimum of 
$1,000,000 public liability insurance and $250,000 cargo insurance for 
loss and damage of Government freight. A copy of the certificate of 
insurance must be on file with MTMC, ATTN: MTIN-FF, prior to any 
performance of service by the agent.
    b. The insurance must be carried in the name of the agent and will 
be in force at all times while this Agreement is in effect or until such 
time as the agent cancels all tenders. The agent agrees to ensure that 
the policies include a provision requiring the insurer to notify MTMC 
prior to any performance of service by the carrier. Changes, renewal and 
cancellation notices must also be sent to MTMC, 5611 Columbia Pike, 
Falls Church, Virginia 22041-5050, ATTN: MT-INFF. The Government will be 
given 30 days notice prior to any cancellation or material changes in 
insurance coverages.
    c. The insurance underwriter must have a policyholder's rating in 
the Best's Insurance Guide, listed in the Fiscal Service. Treasury 
Department Circular 570, Listing of Surety Companies. Self-Insurance 
will not be accepted.
    6. Performance Bond. Agent agrees to provide MTMC with a Performance 
Bond. The bond secures performance and fulfillment of the agent's 
obligation. It will cover default, abandoned shipments, bankruptcy and 
re-procurement costs. The bond will not be utilized for operational 
problems such as late pick up or delivery, excessive transit time, 
refusals, no shows, improper/inadequate equipment or claims for lost or 
damaged cargo. The bond must be issued by a surety company listed in the 
Fiscal Service, Treasury Department Circular No. 570. The sum of the 
bond shall be no less than $100,000. The bond must be completed on the 
form provided by MTMC and will be Continuous until cancelled. MTMC will 
be notified, in writing, 30 days in advance of any change or 
cancellation. A letter of intent by the surety company is required with 
the initial application. Upon MTMC approval agent will submit the 
Performance Bond before the Tender of Service will be accepted.
    7. Safety. a. The agent agrees not to use any carrier that has an 
``unsatisfactory'' safety rating with the Federal Highway 
Administration, Department of Transportation, and if it is an intrastate 
motor carrier, with the appropriate state agency.
    b. Shipments will be delivered in direct service without delay to 
the destination shown on the Government Bills of Lading unless consignee 
or consignor directs diversion of the shipment to a new or different 
destination. Deliveries will be made during the shipper's normal 
business hours.
    c. The agent agrees not to divulge any information to unauthorized 
persons concerning the nature and movements of any shipment tendered to 
it.
    d. The agent agrees to notify the consignor and consignee named by 
the Government Bill of Lading (GBL) or Commercial Bill of Lading (CBL) 
of cargo loss, damage, or unusual delay. Information reported will 
include origin/destination, GBL/CBL number, shipping paper information, 
time and place of occurrence, and other pertinent details. Upon request, 
the agent agrees to ensure MTMC is furnished a copy of accident reports 
submitted to Department of Transportation on Form MCS 50-T (Property).
    e. The agent agrees to have in place a company-wide safety 
Management program. Agent safety program will comply with applicable 
Federal, State and local statutes or requirements. Safety programs at 
the company-wide or terminal level may be subject to evaluation by DOD 
representatives. The agent further agrees to permit unannounced safety 
inspections of its facilities, terminals, equipment, employees, and 
procedures by DOD civilian, military personnel, or DOD contract 
employees.
    8. Reserved.

[[Page 568]]

    9. Equipment. The agent agrees to ensure equipment is spotted or 
loading at the time and place requested. The Government reserves the 
right to reject the utilization of any equipment placed for loading by 
the agent if it does not, upon inspection, meet specifications and 
requirements for the particular shipment involved (size, cube, 
cleanliness, mechanical condition, etc.).
    10. Shipment. The agent agrees to provide, at no additional cost to 
the government, the status of any shipment within 24 hours after an 
inquiry is made. Further, the agent agrees to not divulge any 
information to unauthorized persons concerning the nature and movement 
of any DOD shipment.
    11. Documentation. a. Agent agrees to accept Government bills of 
lading on which freight charges will be paid by the Government, and will 
be bound by all terms and conditions stated thereon.
    b. The agent agrees to comply with the provisions of documentation 
prelodging in effect at Military Ocean Terminals which cargo is 
consigned for further movement overseas. (Prelodging is the submission 
of advance shipment documents which identifies the shipment to the 
Military Ocean Terminal prior to arrival of the cargo at the terminal to 
permit preparation of the terminal documentation.) Instructions will be 
provided by the consignees to furnish certain data at least 24-hours in 
advance of cargo arrival at the terminal.
    12. Loss & Damage. The agent agrees to be fully liable for delivery 
of all cargo in the same condition as received at origin, except loss or 
damage caused by act of God, public enemy act, omission of shipper, 
inherent vice or detrimental changes due to nature of commodity, or 
natural shrinkage. Agent agrees to settle promptly, claims for loss or 
damage. The agent also agrees to provide the status of any shipment 
tendered to them within 24-hours after an inquiry is made.
    13. Standard Tender. a. The agent agrees to comply with the 
preparation and filing instructions and applicable freight traffic rules 
publications issued by MTMC. The agent understands that MTMC will reject 
tenders not in compliance with these instructions.
    b. Agent agrees to publish a street address where the company office 
is located in lieu of a post office box number. The Military Traffic 
Management Command must be advised of any change in address. Failure to 
do so is grounds to discontinue the use of the agent.
    c. Agent understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this agreement, the 
provisions contained in the Standard Tender of Freight Services (MT Form 
364-R), or the applicable MTMC Freight Traffic Rules Publication MFTRP 
No. 1A, and supplements thereof, will be subject to immediate removal or 
non-use until corrections are made. The issuing agent will be advised 
when tenders are removed under these circumstances.
    14. Rates. a. Agent agrees to transport Government shipments at its 
lowest effective charge named in the tender applicable on the commodity 
transported, whether or not the rate tender is referenced on the 
Government bill of lading.
    b. The agent agrees to publish through rates guaranteed for at least 
30 days. These rates must be filed with MTMC, HQ, Eastern Area, ATTN: 
MTE-IN, Bayonne, New Jersey 07002-5302. The agent must publish all 
rates, charges, and accessorial services on a ``Department of Defense 
Standard Tender of Freight Services'', MT Form 364-R and must comply 
with the tender preparation instructions. (Only services annotated with 
a charge in the tender will be paid by the shipper. )
    c. The agent agrees to promptly refund all uncontested overcharges 
to the Government and authorizes the Government to deduct the amount of 
overcharges from any amount subsequently found to be due the agent.
    d. The Government reserves the right to pursue administrative claims 
directly with agents under the Interstate Commerce Act or other 
authorities.
    15. Carrier Performance. a. Agent agrees that its performance, and 
standards of service will conform with its obligations under Federal, 
State and local law and regulation as well as with the guidelines found 
in the Defense Traffic Management Regulation (DTMR) and this Agreement. 
The agent fully understands its obligation to remain current in its 
knowledge of service standards. The agent accepts the Government's right 
to revoke approval, declare ineligible, non-use, or disqualify the agent 
for unsatisfactory service for any operating deficiency, noncompliance 
with terms of this Agreement or terms of any negotiated agreements, 
tariffs, tenders, bills of lading or similar arrangements determining 
the relationship of the parties, or for the publication or assessment of 
unreasonable rates, charges, rules, descriptions, classifications, 
practices, or other unreasonable provisions of tariffs/tenders. Rules 
governing the Carrier Performance Program are found in MTMC Regulation 
15-1, and Army Regulation 55-355, DTMR. If an agent is removed or 
disqualified for 6 months or more, it will have to be re-qualified.
    b. Failure or nonperformance by the agent with any of the terms or 
conditions of service will constitute a breach of this Agreement. The 
Government reserves the right to disqualify the agent for unsatisfactory 
service until such time as the agent establishes to the satisfaction of 
DOD that: the operating or other deficiency(s) has been corrected.
    16. General Provisions. That the agent must agree to have a valid 
Standard Carrier Alpha Code (SCAC) and use it on all DOD billing 
documents to identify the agent.

[[Page 569]]

When a company holding the appropriate authority has operating divisions 
each with its own unique SCAC, each such division is required to execute 
a separate agreement with MTMC governing the transportation of protected 
commodities.
    17. Terms of the Agreement. a. The terms of this Agreement will be 
applicable to each shipment.
    b. This Agreement shall be effective from the date of acknowledgment 
by the Military Traffic Management Command, until terminated upon 
receipt of written notice by either party.
    c. Nothing in this Agreement will be construed as a guarantee by the 
Government of any particular volume of traffic.
    18. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    19. Inquiries may be referred to Commander, Military Traffic 
Management Command, Attention: MTIN-FF, 5611 Columbia Pike, Falls 
Church, VA 22041-5050.
    20. Agent Acknowledgment and Acceptance. a. The undersigned 
official, by affixing signature hereto, states that he has read and 
understands the general and specific terms and conditions of service 
outlined and agrees to provide service in accordance with such terms or 
conditions. Any information found to be falsely represented in the 
Qualification Form, the attachments or during the qualification 
procedures, to include additional requirements of this Agreement, shall 
be grounds for automatic revocation of this Agreement and immediate non-
use of the agent, the affiliated companies, division and entities.

                    Agent's Acknowledgment/Acceptance

    I, ______________, (Typed Name and Title of Agent Official), verify 
under penalty of perjury under the laws of the United States of America, 
that the information contained in the agent qualification application 
packet and this Agreement is true, correct and complete. If representing 
a company or organization, I certify that I am qualified and authorized 
to offer this information. I know that willful misstatements or 
omissions of material facts constitute Federal criminal violations 
punishable under 18 U.S.C. 1001 by up to 5 years imprisonment and fines 
up to $10,000 for each offense, or punishable as perjury under 18 U.S.C. 
1621 by fines up to $2,000 or imprisonment up to 5 years for each 
offense. Further I understand the requirements of this Agreement and on 
behalf of ______________, (Typed Name of Agent), agree to comply with 
the terms and conditions contained herein.

 Signature of Agent Official and Title__________________________________

 _______________________________________________________________________
Date____________________________________________________________________
 Address________________________________________________________________
Telephone Number (______________)
24 Hr Emergency Number (______________)

 Military Traffic Management Command Acknowledgment/Acceptance Signature 
and Title_______________________________________________________________
 Date Approved:_________________________________________________________

     Appendix G to Part 619--Agreement Between the Military Traffic 
      Management Command and Air Freight Forwarders Governing the 
  Transportation of General Commodities for and on Behalf of the U.S. 
                          Department of Defense

    1. The undersigned, who is duly authorized and empowered to act on 
behalf of:

 I,_____________________________________________________________________
(Name of forwarder, typed or legibly printed)

hereinafter referred to as the Forwarder, as a prerequisite for 
consideration for participation in the transport of general commodities 
as an exempt Air Freight Forwarder, for the U.S. Department of Defense 
(DOD), agree to comply with all requirements, terms and conditions as 
set forth in this Agreement. Noncompliance with any provision of this 
Agreement will be sufficient grounds for immediate revocation of the 
forwarder's privilege to participate in the movement of DOD freight. For 
the purpose of this Agreement, an Air Freight Forwarder is defined as a 
person or company who acts as a common carrier. That is, a carrier who 
holds itself out to the general public to provide transportation of 
property for compensation, assembles and consolidates less-than-
truckload freight, as defined in the Instruction for Preparation of 
Department of Defense Standard Tender of Freight Services, MT form 364-4 
(and revisions thereto), Part II, uses for the whole or any part of the 
line-haul transportation the services of regulated motor or air 
carriers, break bulk and delivers the less-than-truckload freight 
holding out in its own name and under its own responsibility a through 
transportation service from point of receipt to destination.
    2. Approval and Revocation.
    a. Forwarder understands that its initial approval and retention of 
approval are contingent upon establishing and maintaining to MTMC's 
satisfaction, sufficient resources to support its proposed scope of 
operations and services. Sufficient resources include equipment, 
personnel, facilities, and finances to handle traffic anticipated by 
DOD/MTMC under the Forwarder's proposed scope of operations in 
accordance with the service requirements of the shipper.

[[Page 570]]

    b. The Forwarder understands that MTMC may revoke approval at any 
time upon discovery of grounds for ineligibility or disqualification.
    c. In addition to the initial evaluation, the forwarder agrees that 
it will cooperate with MTMC follow-up evaluations at any time subsequent 
to signing this Agreement to confirm continued eligibility.
    d. Forwarder agrees and certifies that neither the owners, company, 
corporate officials, nor any affiliation or subsidiary thereof are 
currently debarred or suspended, disqualified by a MTMC Carrier Review 
Board (CRB), or placed in non-use by MTMC from doing business with DOD.
    3. Lawful Performance.
    a. Forwarder agrees to comply with all applicable Federal, State, 
municipal, and other local laws and regulations. No fines, charges, or 
assessments for overloaded vehicles or other violations of applicable 
laws and regulations will be passed to or be paid by any agency of the 
Federal Government.
    b. The Forwarder agrees to keep current and on file a list of all 
carriers to be used in the transport of DOD freight shipments. This list 
will contain, as a minimum, the company's name, president/vice 
president's name(s), operating authority number, corporate office 
address, telephone number and a designated 24-hour on call point of 
contact in the event of an accident or emergency situation. MTMC can 
direct the Forwarder not to use specific carriers in the movement of DOD 
freight shipments.
    c. Forwarder further agrees and certifies that it will only use 
carriers that are approved through the Carrier Qualification Program 
(CQP) to transport DOD freight, and will not use any carrier that had 
been debarred, suspended by the Government or which has been placed in 
nonuse or disqualified any MTMC from doing business with the DOD for the 
movement of any DOD freight shipments.
    4. Operations. Forwarder agrees and certifies that it is operating 
as a forwarder as defined herein. If incorporated, evidence of 
incorporation, bearing the official seal of the state in which filed, 
Articles of Incorporation, listing all the officers of the corporation 
is attached and certified to be true, correct and current.
    5. Insurance.
    a. The Forwarder agrees to maintain a minimum of $1 million public 
liability insurance and $250,000 cargo insurance for loss and damage of 
Government freight. A copy of the certificate of insurance must be on 
file with MTMC, ATTN: MTOP-QQ prior to any performance of service by the 
forwarder.
    b. The insurance, carried in the name of Forwarder, will be in force 
at all times while this Agreement is in effect or until such time as the 
Forwarder cancels all tenders. Forwarder agrees to ensure that the 
policies include a provision requiring the insurer to notify MTMC prior 
to any performance of service by the carrier. The certificate holder 
block of the form will indicate that MTMC, 5611 Columbia Pike, ATTN: 
MTOP-QQ, Falls Church, VA 22041-5050, will be notified in writing, 30 
days in advance of any change or cancellation. The deductible portion 
will be shown on the certificate.
    c. The insurance underwriter must have a policy holder's rating in 
the Best's Insurance Guide, listed in the Fiscal Service Treasury 
Department Circular 570, Listing of Surety companies. Self-Insurance 
will not be accepted.
    6. Performance Bond.
    a. Forwarder agrees to provide MTMC with a Performance Bond. The 
bond secures performance and fulfillment of the Forwarder's obligation 
to deliver DOD freight to destination. It will cover default, abandoned 
shipments, bankruptcy and reprocurement costs. The bond will not be 
utilized for operational problems such as late pickup or delivery, 
excessive transit time, refusals, no shows, improper or inadequate 
equipment or claims for lost or damaged cargo. The bond must be issued 
by a surety company listed in the Fiscal Service Treasury Department 
Circular No. 570. The sum of the bond shall be no less than $100,000. 
The bond must be completed on the form provided by MTMC and will be 
continuous until cancelled. MTMC will be notified, in writing, 30 days 
in advance of any change or cancellation. A letter of intent (LOI), by 
the surety company, is required with the initial application. Upon MTMC 
approval, the Forwarder will submit the performance bond before the 
Tender of Service will be accepted.
    7. Safety.
    a. Forwarder agrees not to use any carrier that has an 
``unsatisfactory'' safety rating with the Federal Highway Administration 
(FHWA), Department of Transportation (DOT), and if it is an intrastate 
motor carrier, with the appropriate state agency.
    b. Shipments will be delivered in direct service without delay to 
the destination shown on the Government Bill of Lading (GBL) unless 
consignor or consignee directs diversion of the shipment to a new or 
different destination. Deliveries will be made during the shipper's 
normal business hours.
    c. Forwarder agrees to not divulge any information to unauthorized 
persons concerning the nature and movement of any movement of shipment 
tendered to it.
    d. The Forwarder agrees to notify, within 24-hours, the consignor 
and consignee named by GBL or Commercial Bill of Lading (CBL) of cargo 
loss, damage, or unusual delay. Information reported will include 
origin/destination, GBL/CBL number, shipping paper information, time and 
place of occurrence, and other pertinent details. Upon request, the 
Forwarder agrees to furnish MTMC a

[[Page 571]]

copy of accident reports submitted to the DOT on Form MCS 50-T 
(property).
    e. Forwarder agrees to have in place a company-wide safety 
management program. Forwarder safety program will comply with applicable 
Federal, State and local statutes or requirements. Safety programs at 
the company-wide or terminal level may be subject to evaluation by DOD 
representatives. The Forwarder further agrees to permit unannounced 
safety inspections of its facilities, terminals, equipment, employees, 
and procedures by DOD civilian, military personnel, or DOD contract 
employees.
    8. [Reserved.]
    9. Equipment.
    a. Forwarder agrees to ensure equipment is spotted for loading at 
the time and place requested. Civil Reserve Air Fleet (CRAF) carriers 
will be utilized to the maximum extent possible for the movement of DOD 
freight. The Government reserves the right to reject the utilization of 
any equipment placed for loading by the Forwarder if it does not, upon 
inspection meet the specifications and requirements for the particular 
shipment involved (sizes, cube, cleanliness, mechanical condition, 
etc.).
    10. Shipment.
    a. Further, the Forwarder agrees to not indulge any information to 
unauthorized persons concerning the nature and movement of any DOD 
shipment.
    11. Documentation.
    a. Forwarder agrees to accept GBLs and CBLs on which freight charges 
will be paid by the Government, and be bound by all terms stated 
thereon.
    b. Forwarder agrees to comply with documentation prelodging 
procedures in effect at military terminals in which cargo is consigned 
for further movement overseas. (Prelodging is the submission of advance 
shipment documents that identify the shipments to the military terminals 
prior to arrival of the cargo at the terminal to permit preparation of 
the terminal documentation.) Instructions will be provided by the 
consignors to furnish certain data at least 24-hours in advance of cargo 
arrival at the terminal.
    12. Loss and Damage.
    a. The Forwarder agrees to be fully liable for delivery of all cargo 
in the same condition as received at origin, except loss or damage 
caused by an Act of God, public enemy act, omission of shipper, inherent 
vice or detrimental changes due to nature of commodity, or natural 
shrinkage. Forwarder agrees to settle promptly, claims for loss or 
damage. Forwarder also agrees to provide the status of any shipment 
tendered to them within 24-hours after an inquiry is made.
    13. Standard Tender of Service.
    a. The Forwarder agrees to comply with the preparation and filing 
instructions in applicable freight traffic rules publications issued by 
MTMC. Forwarder understands that MTMC will reject tenders not in 
compliance with these instructions.
    b. The Forwarder agrees to publish a street address where the 
company office is located in lieu of post office box number. MTMC must 
be advised of any change in address. Failure to do so is grounds to 
discontinue use of the Forwarders.
    c. Forwarder understands that tenders inadvertently accepted and 
distributed for use and not in compliance with this Agreement, the 
provisions continued in the Standard Tender of Freight Services MT Form 
364-R, or the application MTMC Freight Rules Publication, and 
supplements thereof, will be advised when tenders are removed under 
these circumstances.
    14. Rates.
    a. Forwarder agrees to transport Government shipments at the lowest 
effective charge named in the tender applicable on the commodity 
transported, whether or not the rate tender is referenced on the GBL.
    b. The Forwarder agrees to publish through rates guaranteed for at 
least 30 days. These rates must be filed with USTRANSCOM. The rates for 
movement of DOD cargo by air will be filed with the Air Mobility Command 
(AMC). The Forwarder must publish all rates, changes, and accessorial 
services on a DOD Standard Tender of Freight Services, MT Form 364-R and 
must comply with the tender preparation instructions. (Only services 
annotated with a charge in the tender will be paid by the shipper.)
    c. The Forwarder agrees to promptly refund all uncontested 
overcharges to the Government and authorizes the Government to deduct 
the amount of overcharges from any amount subsequently found to be due 
the Forwarder.
    d. The Government reserves the right to pursue administrative claims 
directly with Forwarders under the Interstate Commerce Act (ICC) or 
other authorities.
    15. Carrier Performance.
    a. The Forwarder agrees that it's equipment, performance, and 
standards of service will conform with its obligations under Federal, 
State and local law and regulation as well as with the guidelines found 
in the Defense Traffic Regulation (DTR) and this Agreement. The 
Forwarder fully understands its obligation to remain current in its 
knowledge of service standards. The Forwarder accepts the Government's 
right to revoke approval, declare ineligible, non-use, or disqualify the 
Forwarder for unsatisfactory service for any operating deficiency, 
noncompliance with terms of this Agreement or terms of any negotiated 
agreements, tariffs, tenders, bills of lading or similar arrangements 
determining the relationship of the parties, or for the publication or 
assessment of unreasonable rates, charges, rules, descriptions, 
classifications, practices, or other unreasonable provisions of tariffs 
and

[[Page 572]]

tenders. Rules governing the Carrier Performance Program (CPP) are found 
in MTMC Regulation 15-1, and Army Regulations 55-355 DTMR. If a 
Forwarder is removed or disqualified for 6 months or more, it will have 
to be requalify.
    b. Failure or nonperformance by the Forwarder with any of the terms 
or conditions of service will constitute a breach of this Agreement. The 
Government reserves the right to disqualify the Forwarder for 
unsatisfactory service until such time as the Forwarder establishes, to 
the satisfaction of DOD that the operating or other deficienc(ies) have 
been corrected.
    16. General Provisions. That the Forwarder must have a valid 
Standard Carrier Alpha Code (SCAC) and use it on all DOD billing 
documents to identify the Forwarder. When a company holding the 
appropriate authority has operating divisions each with its own unique 
SCAC, each such division is required to execute a separate agreement 
with MTMC governing the transportation of protected commodities.
    17. Terms of the Agreement.
    a. The terms of this Agreement will be applicable to each shipment.
    b. This Agreement shall be effective from the date of acknowledgment 
by the MTMC, until terminated upon receipt of written notice by either 
party.
    c. Nothing in this Agreement will be construed as a guarantee, by 
the Government, of any volume traffic.
    d. The Forwarder agrees to immediately notify MTMC of any changes in 
ownership, in affiliations, executive officers, and/or board members, 
and forwarder name. Forwarder understands that failure to notify MTMC 
shall be grounds for immediate revocation of the Forwarder's approval 
and their participation in the movement of DOD freight.
    18. Additional Specialized Requirements. The terms of this Agreement 
will not prevent different or additional requirements with respect to 
negotiated agreements or added requirements for other types of service 
and/or commodities.
    19. Inquiries. Inquiries may be referred to Commander, MTMC, 5611 
Columbia Pike, Falls Church, Virginia 22041-5050, ATTN: MTOP-QQ.
    20. Forwarder Acknowledgment and Acceptance.
    a. The undersigned forwarder official, by affixing signature hereto, 
states that he has read and understands the general and specific terms 
and conditions of service outlined and agrees to provide service in 
accordance with such terms or conditions. Any information found to be 
falsely represented in the Qualification Form, the attachments or during 
the qualification procedures, to include additional requirements of this 
Agreement, shall be grounds for automatic revocation of this Agreement 
and immediate non-use of the carrier, the affiliated companies, division 
and entities.

                   Forwarder's Acknowledge/Acceptance

 I,_____________________________________________________________________
(Typed name and title of carrier official)

verify under penalty of perjury, under the laws of the United States of 
America, that the information contained in the forwarder qualification 
application packet and this Agreement is true, correct and complete. If 
representing a company or organization, I certify that I am qualified 
and authorized to offer this information. I know that willful 
misstatements or omissions of material facts constitute Federal criminal 
violations punishable under 18 U.S.C. 1001 by up to 5 years imprisonment 
and fines up to $10,000 for each offense, or punishable as perjury under 
18 U.S.C. 1621 by fines up to $2,000 or imprisonment up to 5 years for 
each offense. Further, I understand the requirements of this Agreement 
and on behalf of:

 _______________________________________________________________________
(Name of forwarder, typed or legibly printed)

comply with the terms and conditions contained herein.

 _______________________________________________________________________
(Signature of carrier official and title)

 _______________________________________________________________________
(Signature of agent official and title)

 Date:__________________________________________________________________

 Address:_______________________________________________________________

 Telephone Number:______________________________________________________

 24-Hr. Emergency Number:_______________________________________________
    Military Traffic Management Command Acknowledgment/Acceptance 
Signature and Title:
 _______________________________________________________________________

Date Approved:__________________________________________________________
[61 FR 49062, Sept. 18, 1996]

[[Page 573]]



                  SUBCHAPTER H--SUPPLIES AND EQUIPMENT





PART 621--LOAN AND SALE OF PROPERTY--Table of Contents




Sec.
621.1  Loan of Army/Defense Logistics Agency (DLA) owned property for 
          use at national and State conventions.
621.2  Sales of ordnance property to individuals, non-Federal government 
          agencies, institutions, and organizations.
621.3  [Reserved]
621.4  Issues, loans, and donations for scouting.

    Authority: Pub. L. 81-193; 10 U.S.C. secs. 2574, 4308, 4506, 4507, 
4627, and 4655, and Pub. L. 92-249.

    Source: 44 FR 5651, Jan. 29, 1979, unless otherwise noted.

    Editorial Note: For figures referred to in this part, see 42 FR 
43807, Aug. 31, 1977.



Sec. 621.1  Loan of Army/Defense Logistics Agency (DLA) owned property for use at national and State conventions.

    (a) General. This section--
    (1) Prescribes procedures for loan of Army-owned property to 
recognized National Veterans' Organizations for National or State 
conventions as authorized by Pub. L. 81-193.
    (2) Request for loans for National Youth Athletic or recreation 
tournaments sponsored by veterans' organizations listed in the 
``Veterans Administration Bulletin 23 (ALPHA),'' will be processed by 
parent veterans' organizations.
    (3) Loans are not authorized for other types of conventions or 
tournaments.
    (b) Items authorized for loan. If available, the following items may 
be loaned for authorized veterans' organizations requirements.
    (1) Unoccupied barracks.
    (2) Cots.
    (3) Mattresses.
    (4) Mattress covers.
    (5) Blankets.
    (6) Pillows.
    (7) Chairs, folding.
    (8) Tentage, only when unoccupied barracks are not available.
    (c) Requests for loan. (1) Requests by authorized veterans' 
organizations for loan of authorized Government property will be 
submitted to the appropriate CONUS Army Commander of the area in which 
the convention will be held or the Commander, Military District of 
Washington (MDW) if within his area.
    (2) The tenure of loan is limited to 15 days from the date of 
delivery, except under unusual circumstances. A narrative explanation 
will be provided to support loan requests for more than 15 days 
duration.
    (3) Loan requests should be submitted by letter at least 45 days 
prior to required date, if practicable.
    (4) Requests for loans will contain the following information:
    (i) Name of veterans' organization requesting the loan.
    (ii) Location where the convention will be held.
    (iii) Dates of duration of loan.
    (iv) Number of individuals to be accommodated.
    (v) Type and quantity of equipment required.
    (vi) Type of convention, (State or National).
    (vii) Complete instructions for delivery of equipment and address of 
requesting organizations.
    (viii) Other pertinent information necessary to insure prompt 
delivery.
    (d) Responsibilities. The Army or MDW Commander will:
    (1) When the availability of personal and real property is 
determined, notify the requesting veterans' organization of the 
following:
    (i) The items and quantities available for loan and the source of 
supply.
    (ii) No compensation will be required by the Government for the use 
of real property.
    (iii) No expense will be incurred by the United States Government in 
providing equipment and facilities on loan.
    (iv) Costs of packaging, packing, transportation and handling from 
source of supply to destination and return will be borne by the 
requesting organization.
    (v) All charges for utilities (gas, water, heat, and electricity) 
based on meter readings or such other methods

[[Page 574]]

determined will be paid by the veterans' organization.
    (vi) Charges which may accrue from loan of DLA/GSA material in 
accordance with paragraph III, AR 700-49/DSAR 4140.27, and GSA Order 
4848.7 and Federal Property Management Regulations, subparagraph 101-
27.5.
    (vii) The Army will be reimbursed for any material not returned.
    (viii) Costs of renovation and repair of items loaned will be borne 
by the requesting organization. Renovation and repair will be 
accomplished in accordance with agreement between the Army Commander and 
the loanee to assure expeditious return of items.
    (ix) Transportation costs in connection with the repair and 
renovation of property will also be at the expense of the using 
organization.
    (x) Assure that sufficient guards and such other personnel necessary 
to protect, maintain, and operate the equipment will be provided by the 
loanee.
    (xi) The period of loan is limited to 15 days from date of delivery, 
except as provided for in paragraph (c) of this section.
    (xii) Any building or barracks loaned will be utilized in place and 
will not be moved.
    (xiii) Upon termination of use, the veterans' organization will 
vacate the premises, remove its own property therefrom, and turn over 
all Government property.
    (2) Specify a bond in an amount to insure safe return of real and 
personal property in the same condition as when borrowed. (In the case 
of personal property, this amount will be equal to the total value of 
the items based on current acquisition costs.)
    (i) An agreement will be executed between the Army Commander and the 
Veterans' Organization if the terms of the loan are acceptable. A sample 
loan agreement is shown at figure 7-5 of this subchapter.
    (ii) When the agreement has been executed and the bond furnished, 
requisitions will be submitted to the appropriate source of supply. 
Requisitions will indicate shipping destination furnished by the 
veterans' organization. Transportation will be by commercial bills of 
lading on a collect basis.
    (iii) Appoint a Property Book Officer to maintain accountability for 
the Government property furnished under this regulation.
    (3) Property Book Officer will:
    (i) Assume accountability from the document used in transferring 
property to the custody of the veterans' organization.
    (ii) Perform a joint inventory with the veterans' organization 
representative. Survey any shortage or damages disclosed by the joint 
inventory in accordance with AR 735-11.
    (iii) Maintain liaison with the veterans' organization during the 
period of the loan.
    (iv) Prepare, in cooperation with the veterans' organization 
representative, an inventory of property being returned. Certify all 
copies of the receipt document with the veterans' organization 
representative.
    (v) Insure the return of all property at the expense of loanee to 
the supply source or to repair facilities.
    (vi) Obtain a copy of receipted shipping document from the 
installation receiving the property.
    (vii) Determine cost and make demand on the loanee for:
    (A) Items lost, destroyed, or damaged.
    (B) Costs of repair or renovation. Estimated costs will be obtained 
from the accountable activity.
    (C) Comply with instructions contained in AR 700-49/DSAR 4140.27 in 
the application of condition A and/or B, C, and T items utilized.
    (D) Ascertain that items lost in transit are reconciled prior to 
assessing charges. Where the loss is attributable to other than the 
loanee, charges should not be borne by the borrower.
    (viii) Request payment from the loanee. Checks are to be made 
payable to the Treasurer of the United States. Upon receipt of payment, 
appropriate fiscal accounts will be credited. The Property Transaction 
Record will be closed and the Stock Record Accounts audited.
    (ix) Deposit collections in accordance with instructions contained 
in AR 37-103. In the event payment is not received within a reasonable 
period, Report of Survey Action will be initiated in accordance with AR 
735-11.

[[Page 575]]

    (x) Reimburse DLA/GSA for the cost of any repair, reconditioning 
and/or materiel not returned.



Sec. 621.2  Sales of ordnance property to individuals, non-Federal government agencies, institutions, and organizations.

    (a) General. This section--
    (1) Cites the statutory authority for, and prescribes the methods 
and conditions of sale of certain weapons, ammunition, and related items 
as specified herein.
    (2) Applies to all sales of weapons and related material to 
individuals, organizations, and institutions, when authorized by the US 
Army Armament Materiel Readiness Command (ARRCOM), and overseas 
commanders.
    (3) Provides that sales under this section will be limited to 
quantities of an item which authorized purchasers can put to their own 
use. It is not intended that property be sold under the provisions of 
this section for the purpose or resale or other disposition.
    (4) Does not apply to sales of property determined to be surplus. 
(See AR 755 series.)
    (b) Price. Except as noted below, when sales of the Army property 
are made and the title thereto passes from the US Government, the prices 
charged will be the standard list price contained in the SC 1305/30 
Management Data List series, plus cost of packing, crating, and handling 
and administrative charges.
    (c) Condition of sale. Provisions apply to sales under this section, 
as follows:
    (1) Sales will be made without expense to the Government.
    (i) All costs incident to sales (including packing, crating, 
handling, etc.) will be paid in advance by the purchaser.
    (ii) All costs incident to shipment (transportation, parcel post 
charges, etc.) will also be paid by the customer.
    (iii) Payment for items and charges incident to sale will be made 
only by cashier's check, certified check, bank money order, or postal 
money order made payable to the Treasurer of the United States.
    (iv) For other than items of ammunition and ammunition components, 
cash will be acceptable when consignee pickup is authorized or purchase 
is made in person.
    (2) All financial transactions will be accomplished in accordance 
with applicable Department of the Army directives and regulations. 
Moneys collected for cost of items, as well as packing, crating, and 
handling, will be deposited as an appropriate reimbursement as 
prescribed in applicable regulations.
    (3) Generally, all sales are final and, normally, the US Government 
assumes no obligation or responsibility for repair, replacement, or 
exchange, except as provided in AR 920-20. Purchasers will be so advised 
prior to making the sale. All weapons sold, however, will be safe for 
firing.
    (4) Weapons sold at standard price will be supplied with equipment. 
Weapons sold at less than standard price will be supplied less 
equipment.
    (5) Sales of specific items may be suspended at any time by the 
direction of CDR, ARRCOM.
    (d) Purchasing procedure. (1) Except as provided in paragraph (e) of 
this section, all requests originating within CONUS for the purchase of 
small arms weapons, repair parts, cleaning, preserving, and target 
material will be submitted to the Commander, ARRCOM, Rock Island, IL 
61201.
    (i) Upon approval, these items will be shipped from Army depots 
stocking such material, based upon availability of material. Customers 
will be furnished instructions for submission of remittance.
    (ii) Upon receipt of proper remittance from eligible customers 
ARRCOM will issue the necessary documents directing shipment from an 
Army depot where the items are available.
    (2) In implementing the subchapter, oversea commands should 
designate installations within the oversea command to which requests for 
purchase of ammunition and related material will be directed.
    (3) Depots shipping weapons to individuals, Director of Civilian 
Marksmanship (DCM) affiliated rifle and pistol ``clubs'', museums, 
veterans organizations, and other US Government agencies will annotate 
shipping documents with the serial number of all the weapons they ship. 
Firearms shipped will be reported to Commander,

[[Page 576]]

ARRCOM, ATTN: DR SAR-MMD-D, Rock Island, IL 61202, using DA Form 3535 
(Weapons Sales Record), DA Form 3535 may be obtained from Commander, 
Letterkenny Army Depot, ATTN: DRXLE-ATD, Chambersburg, PA 17201.
    (i) The transportation officer will ascertain estimated 
transportation costs, to include DA transportation security measures 
(costs) for shipment to destination. Such information will be 
transmitted by letter to consignee with request for acknowledgement that 
shipment will be accepted based on costs submitted.
    (ii) Shipment will not be made unless consignee agrees to accept 
shipments. Refusal to accept shipment shall be reported to ARRCOM.
    (4) CDR, ARRCOM is responsible for maintaining a record by serial 
number of all weapons reported by depot in accordance with paragraph 
(d)(3) of this section. He will establish procedures to screen purchase 
requests to insure compliance with any limitations established by this 
section.
    (e) Sales to individuals, organizations, and institutions. (1) Sales 
of small arms weapons and ammunition are limited by statute (10 U.S.C. 
4308). Such sales will be made in accordance with the provisions of this 
paragraph and with other rules and regulations approved by the Secretary 
of the Army.
    (2) Sales will be limited to M1 service rifles, either national 
match grade or service grade. Only one such rifle and spare parts for it 
will be sold to an individual. No ammunition will be sold to 
individuals.
    (3) Junior marksmanship clubs and junior marksmanship division 
affiliated within the Director of Civilian Marksmanship (DCM) pursuant 
to AR 920-20 may purchase limited quantities of .22 caliber ammunition.
    (4) The DCM will determine the maximum quantity of such ammunition 
that clubs will be permitted to purchase in each fiscal year.
    (5) Approved, non-profit summer camp organizations that are of a 
civic nature are allowed to purchase from the DCM at cost plus shipping 
and handling charges, 300 rounds of .22 caliber ammunition for each 
junior who is participating in a summer camp marksmanship program.
    (6) Requests for purchase of ammunition by marksmanship clubs and 
summer camp organizations will be submitted to the DCM for approval. If 
he approves, the application will be forwarded to ARRCOM for processing. 
If it is disapproved, it is returned to applicant with reason(s) stated 
for disapproval.
    (f) Eligibility of purchasers. In order to purchase a rifle under 
this program, an individual must:
    (1) Be a member of a marksmanship club affiliated with the DCM (AR 
920-20).
    (2) Based upon regular competitive shooting, have an established 
status as a marksman as determined by the DCM.
    (g) Purchase procedure. (1) Individuals desiring to purchase 
National Match Grade M1 service rifles will submit requests to the 
Director of Civilian Marksmanship, Department of the Army, Washington, 
DC 20314-0110. The request should contain the name and address of the 
shooting club with which the purchaser is affiliated and appropriate 
evidence of status as a competitive marksman.
    (2) Upon receipt of a request, the Director of Civilian Marksmanship 
will forward to the individual a Certificate for Purchase of Firearms in 
the suggested format at figure 5-1 to be completed, notarized and 
returned. When returned with check or arrangements for payment, the 
Certificate will be referred for appropriate verification in the records 
of US Government agencies and for other investigation as required. This 
is done to insure that the sale of a weapon to the applicant is not 
likely to result in a violation of law. The Privacy Act Statement for 
Certificate of Purchase of Firearms (figure 5-2) will be made available 
to the individual supplying data on the Certificate for Purchase of 
Firearms (suggested format, figure 5-1). Prior to requesting the 
individual to supply data on the Certificate for Purchase of Firearms 
(suggested format, figure 5-1) the Privacy Act Statement for Certificate 
will be made available to the individual concerned. (The Privacy Act 
Statement will be reproduced locally on 8 x 10\1/2\ inch paper.)

[[Page 577]]

    (i) A purchase application will be denied if the applicant fails to 
meet all the conditions required in the Certificate.
    (ii) If an application is denied, the applicant will be informed of 
the action and will be given an opportunity to submit additional 
information justifying approval of the application.
    (iii) If the results of the investigation are favorable, the 
application will be forwarded to ARRCOM for processing.
    (h) Marksmanship clubs affiliated with the DCM and individuals who 
are members of those clubs are authorized to purchase from the Army 
targets of types not otherwise available from commercial sources. 
Request for such purchases will be submitted to the Director of Civilian 
Marksmanship for approval and processing. Individuals who have in the 
past purchased rifles from the Army under the authority of 10 U.S.C. 
4308(a)(5), may purchase spare parts for those rifles if the parts are 
available. Requests for purchase of spare parts will be submitted to the 
Director of Civilian Marksmanship for approval. If he/she approves the 
application, she/he will forward it to ARRCOM for processing. If he/she 
disapproves the application, she/he will return it to the applicant 
stating the reasons for disapproval. Current DA transportation security 
measures for weapons will be applied under procedures contained in 
paragraphs (d)(1) (i) and (ii) of this section.
    (i) Cadets, US Military Academy. (1) When approved by the CDR 
DARCOM, the Superintendent, US Military Academy may sell to cadets upon 
graduation from the Academy those sabers which no longer meet prescribed 
standards of appearance and/or serviceability.
    (2) Application to purchase sabers under these provisions will be 
made in accordance with procedures established by the Superintendent.
    (j) Reserve Officer's Training Corps (ROTC) and National Defense 
Cadet Corps (NDCC). Supplies required by educational institution for the 
training of units and individuals of the Reserve Officer's Training 
Corps and National Defense Cadet Corps, in addition to authorized items 
normally furnished to ROTC and NDCC schools, may be sold when available 
by the activities listed in paragraph (g) of this section (10 U.S.C. 
4627). Such purchases will be in accordance with AR 145-2.
    (k) Manufacturers and designers. (1) Under the provisions of 10 
U.S.C. 4506, the Secretary of the Army is authorized to sell to 
contractors or potential contractors such samples, drawings, and 
manufacturing and other information as he considers best for national 
defense. Procedures for such sale are contained in APP 13-1502.
    (2) Under the provisions of 10, U.S.C. 4507, the Secretary of the 
Army may sell to designers who are nationals of the United States, 
serviceable ordnance and ordnance stores necessary in the development of 
designs for the Armed Forces. Designers will submit application to 
purchase to the appropriate Commodity Command.
    (3) If any item normally requiring demilitarization pursuant to the 
Defense Disposal Manual (DoD 4160.21-M) and the AR 755-series is sold, a 
special condition of sale will prohibit further disposition by the 
purchaser without prior approval of the Deputy Chief of Staff for 
Logistics, Department of the Army.
    (l) Sales of individual pieces of U.S. armament for sentimental 
reasons. Under the provisions of 10 U.S.C. 2574, individual pieces of 
U.S. armament, which are not needed for their historical value and can 
be advantageously replaced, may be sold at a price not less than cost 
when there exists for such sale sentimental reasons adequate in the 
judgment of the Secretary of the Army.
    (m) Method of sale. (1) Applications to purchase under the 
provisions of this act will be submitted to Deputy Chief of Staff for 
Logistics, ATTN: DALO-SMS, Department of the Army, with a complete 
identification including serial number, and location of desired item, if 
known.
    (2) Approved applications for major items will be forwarded through 
Commander, U.S. Army Materiel Development and Readiness Command, ATTN: 
DRCMM-SP, to the Commander, U.S. Army Armament Materiel Readiness 
Command.
[44 FR 5651, Jan. 29, 1979, as amended at 54 FR 48097, Nov. 21, 1989]

[[Page 578]]



Sec. 621.3  [Reserved]



Sec. 621.4  Issues, loans, and donations for scouting.

    (a) General. This section provides information relative to issue, 
loan or donation of Government property to the Boy Scouts of America and 
the Girl Scouts of America.
    (b) Guidance. (1) Issues are made under the provisions of the loan 
agreement and reimbursement is made for adjusted shortages and damages.
    (2) Provisions for donations of surplus property to Scout 
organizations, including lists of classes of donable property, are 
contained in chapter III, part 3, Defense Disposal Manual (DOD 
4160.21M).
    (3) The loan of certain Army, Navy, Air Force and DLA equipment and 
the provision of transportation and other services for Jamborees is 
initially provided for by Pub. L. 92-249. Implementation on a current 
basis is made in DOD Directive 7420.1. Army implementation is provided 
as follows:
    (i) Army stock fund in paragraph 2-6b(4), AR 37-111, Working Capital 
Fund-Army Stock Fund Uniform Policies, Principles and Procedures 
Governing Army Stock Fund Operations.
    (ii) Non-stock fund in paragraph 2-18, AR 310-34, Equipment 
Authorization Policies and Criteria, and Common Table of Allowances.
    (c) Procedure. Loan agreements are mutually developed preceding the 
actual lending of the equipment. Paragraph 1-16, AR 735-5, General 
Principles, Policies and Basic Procedures, is used as the guide for 
preparation of loan agreements. Authority for commanders to participate 
in World and National Jamborees is included in paragraph (d) of this 
section; Procedure for Loan of Equipment and Providing of Transportation 
and Other Services to the Boy Scouts of America for World and National 
Jamborees is included in paragraph (j) of this section; and sample loan 
agreement to be executed by area commanders is included as figure 7-5.
    (d) World and National Boy Scout Jamborees. The Act of 10 March 1972 
(Pub. L. 92-249; 86 Stat. 62) and (86 Stat. 63) authorized the Secretary 
of Defense to lend equipment and provide transportation and other 
services to the Boy Scouts of America in support of World and National 
Jamborees. The Secretary of Defense has delegated his authority and 
responsibility for the support of Jamborees to the Secretary of the 
Army. The Commander DARCOM ATTN: DRCMM-SP has been assigned to monitor 
the program for the Secretary of the Army.
    (e) Group travel and visits. Many Scouts and Leaders will travel in 
groups and their itinerary will provide for visits to places of interest 
in CONUS en route to and from Jamborees. Such group travel may begin in 
June and extend into September and October of the Jamboree year. In 
keeping with Department of the Army policies, commanders of Army 
installations may extend an invitation to and honor requests from Scout 
groups enroute to and from the Jamboree to visit and encamp at their 
installation.
    (f) Commissary and post privileges. Installation commanders are 
authorized to provide commissary and post exchange privileges to Scout 
groups en route to and from the Jamboree for food items such as bread, 
meat, and dairy products. These privileges will be extended only to 
Scout groups which are en route to or from the Jamboree and who are 
encamped or quartered at the installation or the Jamboree site. 
Commissary and post exchange privileges extended to Scout groups while 
encamped at the Jamboree site for supply and food items will only be 
honored upon-application by officials of the Boy Scouts of America to 
supplement supplies and rations not considered adequate for American 
Scouts or Scouters.
    (g) Arrangements. Regional Scout Executives have been informed by 
the National Headquarters of the contents of this subchapter and that 
arrangements pursuant to this subchapter must be made in advance 
directly with the installation commanders. However, commanders will 
consider factors of extenuation or emergency which may preclude advance 
arrangements.
    (h) Hospitalization. Boy Scouts and Scout Leaders attending 
Jamborees are considered designees of the Secretary of the Army for the 
purpose of receiving medical care at US Army Medical facilities. The 
reciprocal rate will not

[[Page 579]]

be charged. Subsistence charges will be at the rate of $1.80 per day for 
hospitalized patients, but will not be collected locally. Each Boy Scout 
and Leader participating in Jamborees and hospitalized in Army medical 
treatment facilities will be reported to The Surgeon General, ATTN: 
DASG-SGRE-SSC, Department of the Army, Washington, DC 20314, on DD Form 
7 (Report of Treatment Furnished Pay Patients; Hospitalization Furnished 
(part A)). No local collections are authorized.
    (i) Service coordination. (1) The Departments of the Navy and the 
Air Force and the Defense Logistics Agency will assist the Department of 
the Army in providing necessary equipment, transportation, and services 
in support of the Boy Scouts of America attending Jamborees. The 
Secretary of the Army or his designee will maintain liaison, as 
appropriate, with such agencies to avoid duplication of effort.
    (2) Other departments (agencies) of the Federal Government are 
authorized under such regulations as may be prescribed by the Secretary 
(Administrator) thereof, to provide to the Boy Scouts of America (BSA), 
equipment and other services, under the same conditions and restrictions 
prescribed for the Secretary of Defense.
    (j) Procedure for loan of equipment and providing of transportation 
and other services to the Boy Scouts of America for world and national 
jamborees. Preliminary actions. (1) In accordance with the provisions of 
Pub. L. 92-249, H.R. 11738, 10 March 1972, and Secretary of Defense Memo 
of 17 May 1972, Subject: Loan of Equipment and Providing of 
Transportation and Other Services to the Boy Scouts of America for Boy 
Scout Jamborees; Memo of 23 January 1973, Subject: Military 
Transportation Support for Boy Scout Jamborees; and Memo of 19 August 
1974, Subject: Military Transportation Support for Boy Scout Jamborees, 
the DOD is authorized to lend certain items and provide transportation 
and certain other services to such Jamborees. Prior to the loan of 
property and providing transportation and other services, an appropriate 
agreement will be executed between the United States of America and the 
activity to be supported. A bond (fig. 7-6), in an amount specified by 
the Commander, DARCOM, based on statute taken by the Commander-in-Chief/
Commander, Major Army Command (MACOM), and held until termination of the 
encampment and final settelment is made for each Jamboree.
    (2) The Commander-in-Chief/Commander, MACOM designated, on behalf of 
the Commander, DARCOM, representing the Secretary of Defense will enter 
into legal arrangements with the Boy Scouts of America for the loan of 
equipment and the providing of transportation and certain other services 
for Boy Scouts World and National Jamborees. National Jamborees include 
Jamborees conducted by and within the United States and also those 
conducted by and within foreign nations.
    (3) The Commander-in-Chief/Commander, MACOM, will appoint a Property 
Book Officer who will maintain separate stock records in order to 
provide for a single final billing to the supported activity (Boy Scouts 
of America) for items consumed, lost, damaged or destroyed. The 
Department of the Army will not be billed for items obtained from other 
than Army sources, except medical supply losses. Bills for medical 
supply losses will be submitted to the US Army Area Surgeon for payment. 
He will establish liaison with the activity to be supported. The 
property book account will be established in accordance with section II, 
chapter 2, AR 710-2.
    (4) The Commander - in - Chief, MACOM, will task the Army Area 
Surgeon for Medical Supply Support to the Jamborees. Each Surgeon 
designated should appoint an accountable officer and furnish the name, 
location, and routing identifier of a project office wherein medical 
supply problems can be resolved.
    (5) The Property Book Officer is authorized direct communication 
with the source of supply, other military department liaison personnel 
and DARCOM ICP's to resolve routine supply problems.
    (k) Preparing bills of material. (1) The activity (BSA) will submit 
a list of equipment  and supplies desired to the Commander-in-Chief/
Commander, MACOM. This list will be edited during

[[Page 580]]

and subsequent to preliminary conferences with representatives of the 
activity and furnished to Commander, DARCOM, ATTN: DRCMM-SP.
    (2) HQ, DARCOM will convert the informal list to a tentative Bill of 
Material and will furnish the respective Commodity Command that part of 
the Bill of Material for their items of logistical responsibility. A 
suggested format for the Bill of Material is included as figure 7-1. 
Local reproduction is authorized. Copies of the entire tentative Bill of 
Material will also be furnished to each of the military departments 
authorized to participate in the support of the encampments. The Bill of 
Material forwarded to the Commander - in - Chief / Commander, MACOM will 
be screened to determine inhouse availability prior to placing 
requisitions on CONUS supply points.
    (3) At such time as item availability information is on hand and the 
sources to be used are determined (paragraph (m) of this section, a Bill 
of Material (figure 7-1) will be prepared by HQ, DARCOM, and forwarded 
to the Commander-in-chief/Commander, MACOM.
    (4) The Bill of Material will list, by commodity command (military 
department), all items desired, identified by National Stock Number 
(NSN) description, quantity desired and required delivery date. The NSN 
will provide identification of the items required. Items will be 
identified by the Property Book Officer to the responsible commodity 
command or military department as indicated below:

                                                                        
                                                                        
------------------------------------------------------------------------
(i) CERCOM.........................  1 US Army Communications and       
                                      Electronics Materiel Readiness    
                                      Command.                          
(ii) TSARCOM.......................  2 US Army Troop and Aviation       
                                      Materiel Readiness Command.       
(iii) ARRCOM.......................  3 US Army Armament Materiel        
                                      Readiness Command.                
(iv) TARCOM........................  4 U.S. Army Tank-Automotive        
                                      Materiel Readiness Command.       
(v) DLA............................  5 Defense Logistics Agency.        
(vi) Navy..........................  N Department of the Navy.          
(vii) Air Force....................  F Department of the Air Force.     
(viii) Other Installations.........  A                                  
------------------------------------------------------------------------


The Bill of Material will be screened to insure that radioactive items 
restricted for military use are not included.
    (l) Establish property transaction records. (1) A Property 
Transaction Record reflecting complete information about each item 
loaned to the activity will be established and maintained by the 
Property Book Officer (figure 7-2) and the respective commodity command 
military department (figure 7-3). Suggested formats for the Property 
Transaction Records are found in figures 7-2, 7-3, and 7-4, Local 
reproduction is authorized.
    (2) The Property Book Officer will also establish and maintain 
separate Property Transaction Records for items obtained from supply 
sources other than Army commodity commands, i.e., other Army 
installations, Department of the Navy, Department of the Air Force 
(figure 7-4).
    (3) Each entry on the Property Transaction Record will be supported 
by appropriate documentation (commodity command: copies of shipping 
documents, copies of return documents and copies of surveillance 
inspection report--Property Book Officer: Requisition voucher files and 
hand receipt cards). This is particularly important for reconciliation 
purposes in order that all property received from each source will be 
returned to that source upon termination of each encampment.
    (m) Locating and obtaining equipment and supplies. (1) The 
respective commodity commands (military departments) will screen the 
tentative Bill of Material (paragraph (k)(2) of this section) and 
determine availability and source of supply identified by Routing 
Identifier Code. They will advise HQ, DARCOM, ATTN: DRCMM--SP of 
availability, appropriate substitute items when the requested items are 
not available in sufficient quantity, and the source of supply for 
requisitioning purposes.
    (2) Concurrently, the Bill of Material will be screened within the 
MACOM to determine those items that can be obtained from assets 
available in the command.
    (3) The Property Book Officer will requisition equipment and 
supplies from the source of supply as indicated by Commander, DARCOM in 
accordance with AR 725-50 or other separately furnished instructions. 
The requisition number, quantity requisitioned, stock number and source 
of supply will be entered in the Property Transaction

[[Page 581]]

Record. Requisitions will cite the appropriate project code assigned and 
appropriate activity address code on all requisitions submitted. Project 
codes will be assigned by Commander, Logistic Systems Support Activity, 
ATTN: DRXLS-LCC, Chambersburg, PA, 17201 and distributed by message to 
all interested addressees.
    (4) Loan of General Services Administration (GSA) General Supply 
Fund Material--The Federal Property and Administrative Services Act of 
1949, as amended, authorizes the Administrator, GSA to loan GSA General 
Supply Fund Material to the Department of Defense and other federal 
agencies. Loan shall be made to the extent that items are readily 
available and that such loans will not jeopardize the GSA stock 
inventory. The loan of GSA General Supply Fund Material shall normally 
be limited to 90 Calendar days. Requisitions for GSA material should be 
submitted to the nearest GSA Regional Office by the CINC/CDR MACOM.
    (5) Formal accountability for all items shipped to the site of the 
activity will be retained by the appropriate accountable activity. 
Property and financial accounting will be in accordance with respective 
military department regulations governing loans.
    (6) The shipping depot or other source will furnish a copy of the 
shipping document to the respective commodity command (military 
department) where the quantity charged, date shipped, condition of the 
property and total value will be posted to the Property Transaction 
Record.
    (7) Upon receipt of the advance copy of the shipping document, the 
commodity command (military department) will post information to his 
Transaction Record, by source as in paragraph (l)(1) of this section.
    (8) When the shipment is received, the Property Book Officer will 
inspect the property. A narrative statement of condition will be 
prepared if condition of the property is other than that indicated on 
the shipping document and referenced to the condition entry on the 
Property Transaction Record. The source of supply, as appropriate, will 
be immediately notified of overages or shortages and verified in 
condition, as provided in chapter 8, AR 735-11. The Property Book 
Officer will enter on the shipping document the quantity actually 
received when it differs from quantity shown as shipped and will post 
the quantities received to the property book record.
    (9) Discrepancies between the quantity shipped by the depot and that 
received by the Property Book Officer and variance in condition will be 
reconciled as rapidly as possible and appropriate records will be 
brought into agreement. When shortage or damage is not attributable to 
the carrier, the Property Book Officer will immediately contact the 
responsible source of supply, furnishing the stock number and document 
number involved, together with an explanation of the discrepancy. 
Reconciliation is particularly important in order to ensure a common 
point of departure in determining charges to be assessed upon 
termination of the activity. Replacement shipments, when required, will 
be covered by appropriate shipping documents.
    (10) Special Instructions for Defense Logistics Agency, Clothing and 
Textile Items. (See DSAR 4140.27/AR 700-49).
    (n) Transportation. (1) Transportation of equipment and supplies--
The responsibility of coordinating movement of equipment and supplies 
placed on loan to the Boy Scouts of America during National and World 
Jamborees is delegated to the Commander, US Army Materiel Development 
and Readiness Command, ATTN: DRCMM-ST.
    (2) All requisitions for items in question, will cite the 
appropriate project code and will be shipped by commercial bill of 
lading on a collect basis to all National Jamborees and World Jamborees 
held in the United States.
    (3) Shipments to Boy Scout contingents at World Jamborees in foreign 
countries will be by Government bills of lading, unless otherwise 
specified by the Boy Scouts of America.
    (4) All shipments directed to Boy Scout Jamborees will be routed by 
the most feasible means as determined by the shipper. Shipments will be 
consolidated to the maximum extent possible to assure the lowest charges 
available to the Boy Scouts of America.

[[Page 582]]

    (5) Separate shipping instructions will be provided for each 
Jamboree to assure that correct consignee and railhead addresses are 
furnished.
    (6) Movement of Boy Scouts, Scouters, and officials living in the 
United States of America to a Jamboree within the United States of 
America or to a Jamboree in an oversea area shall be the responsibility 
of the Boy Scouts of America or the individuals concerned.
    (7) No authority exists under Pub. L. 92-249 for the movement of Boy 
Scouts, Scouters, and officials via military capabilities other than 
those of the Military Airlift Command or the Military Sealift Command.
    (o) Transportation by vessels of the Military Sealift Command (MSC). 
(1) The MSC does not operate any ships suitable for carriage of 
passengers on transoceanic routes. Although pertinent directives and 
Pub. L. 92-249 authorize the movement of Boy Scouts on Military Vessels, 
the MSC has no capability to provide such transportation.
    (2) The MSC is an industrial-funded organization and charges the 
military service for sealift services provided in accordance with 
established rates. The host command will be responsible to compensate 
the MSC for any equipment or material moved on MSC ships. The 
limitations inherent in Pub. L. 92-249 stipulate that transportation 
support provided will be at no cost to the Government. Under these 
directions, Boy Scout equipment or materiel is not authorized movement 
on a space available basis without prior approval of the Secretary of 
Defense. Such approval is not anticipated.
    (3) All billings for transportation provided by MSC will be 
forwarded to the appropriate Commander-in-Chief/Commander of the support 
major Army command (MACOM). Reimbursement will be requested by the MACOM 
Commander from the Boy Scouts of America.
    (p) Transportation of oversea based scouts, scouters, and other 
authorized personnel by military airlift to national or international 
jamborees. (1) Space required reimbursable transportation by Military 
Airlift Command (MAC) airlift over established MAC channels is 
authorized from points outside the Continental United States (OCONUS) to 
aerial ports within CONUS, or to other oversea locations and return. 
Such transportation will be provided only to the extent that it does not 
interfere with the requirements of military operations, and only to 
those Boy Scouts, Scouters, and officials residing overseas and 
certified by the Boy Scouts of America (BSA) as representing the BSA at 
the Jamboree. Certification by the BSA will be in the form of a letter 
identifying each such individual as their authorized representative at 
the Jamboree. This letter of authorization must be presented to the 
sponsoring overseas command.
    (2) Boy Scouts, Scouters, officials and their equipment will be 
moved after all space-required traffic, but before any space-available 
traffic.
    (3) Each passenger is authorized the normal accompanying free 
baggage allowance of 66 pounds while traveling on MAC aircraft. It is 
not contemplated that any excess baggage allowance will be authorized.
    (4) Transportation of Boy Scouts, Scouters, officials, and their 
equipment provided by MAC controlled aircraft will be reimbursed at the 
common user tariff rates assessed U.S. Government Traffic, as contained 
in AFR 76-11.
    (5) On the basis of letters of authorization issued by the BSA, the 
BSA will monitor services provided by the Department of Defense. One 
copy of each BSA letter of authorization will be forwarded to the 
Commander, US Army Materiel Development and Readiness Command, ATTN: 
DRCMM-SP, 5001 Eisenhower Avenue, Alexandria, VA 22333, for planning 
purposes. This letter of authorization should specify whether one way or 
round trip transportation is requested.
    (6) DACROM responsibilities include the following:
    (i) Compiling a passenger forecast to be submitted to MAC in 
accordance with AR 59-8/OPNAVINST 4630.18C/AFR 76-38/MCO 4630.6B.
    (ii) Providing Military Traffic Management Command (MTMC) an 
information copy of the passenger forecast.
    (iii) Submitting all passenger requirements for one way and round 
trip transportation originating overseas to the appropriate overseas 
command.

[[Page 583]]

    (7) The responsibilities of the sponsoring overseas command include:
    (i) Verifying that Scout passengers are officially authorized 
representatives of BSA in accordance with paragraph (p)(1) of this 
section.
    (ii) Making all necessary passenger reservations with MAC, for 
transportation originating overseas, in accordance with AR 55-6/AFR 76-
5/OPNAVINST 4630.23/MCO P4630.11. The oversea command will submit CONUS 
outbound return passenger requirements to Commander, Military Traffic 
Management Command, ATTN: MTMC-PTO-P, Washington, DC 20315.
    (iii) Issuing each passenger a MAC Transportation Authorization (DD 
Form 1482) for transportation from the overseas location and return, 
when round trip transportation has been requested. The customer 
identification code, item (7) of the DD Form 1482, should be 
designated--JBWJ--which was approved by MAC as the permanent CIC for 
direct billing purposes to HQ, Boy Scouts of America, North Brunswick, 
New Jersey, 08902.
    (iv) Ensuring that each Scout passenger has a completed DD Form 
1381, signed by a parent, guardian or other legally responsible 
individual.
    (v) Evaluating the use and necessity of military airlift within or 
between overseas locations. This evaluation will include such factors as 
reasonable travel time, number of connections required, and assurance of 
Scout group integrity. Surface transportation will normally be used for 
travel within an overseas area.
    (8) The responsibilities of the MTMC include:
    (i) Evaluating the return outbound passenger requirements and making 
the necessary transportation arrangements so as to maintain Scout group 
integrity at all times.
    (ii) Assisting the BSA in completing required documentation and 
insuring that passengers are ready prior to the return flight.
    (iii) Pub. L. 92-249 does not provide authorization for the use of 
the Department of Defense transportation by Scouts, Scouters, and 
Officials of foreign nations. All requests to transport such persons 
should be forwarded through the unified command channels to the Office 
of the Assistant Secretary of Defense (Public Affairs). However, DOD 
does not contemplate authorization for the use of MAC aircraft for other 
than U.S. Scouts, Scouters, and Officials.
    (iv) Use of military helicopters in support of medical evacuation, 
VIP, press and photo-services--The Director of Army Aviation, the 
Department of the Army Staff Judge Advocate, and the Comptroller of the 
Army have furnished the general opinion that Pub. L. 92-249 authorizes 
the use of Military helicopters in support of the above described 
services to the extent they are reasonably available and permits the use 
of appropriated funds.
    (q) Determination of charges and settlement. (1) All property on 
which repair cost is claimed will be held at the depot or post, camp or 
station until final charges are determined and a release is given by 
CDR, DARCOM, Department of the Army.
    (2) The commodity command (military department) will prepare the 
following information and statement, and forward them, to CDR, DARCOM, 
Department of the Army, for final review:
    (i) Complete Property Transaction Record and supporting documents.
    (ii) Proper accounts for which reimbursement received for shortages 
and repairs are to be deposited.
    (iii) The following statement: ``The losses and/or damages indicated 
on the Property Transaction Report in the amount of $------ represent 
the total claim by (appropriate commodity command or military 
department) relative to commodity command or military deparment property 
loaned to (Boy Scouts of America). Upon settlement and deposit to the 
proper account, the CDR of the commodity command or military department 
releases the (Boy Scouts of America) from further obligations.''
    (iv) Statements as to the general type of repair (e.g., tentage, 
repair tears, insert new panels, replace grommets) will be reported on 
separate addendum to the Property Transaction Record for items requiring 
repair.
    (3) The CINC/CDR, MACOM, will prepare the following information and 
statement for property furnished for

[[Page 584]]

assets in the command and will forward this to CDR, DARCOM:
    (i) Same as (q)(2)(i) of this section.
    (ii) Same as (q)(2)(ii) of this section.
    (iii) The following statement: The losses and/or damages indicated 
on the Property Transaction Record in the amount of $------ represent 
the total claim by (appropriate Army) relative to (appropriate Army) 
property loaned to (Boy Scouts of America). Upon settlement and deposit 
to the proper account, the CINC/CDR, MACOM releases the (Boy Scouts of 
America) from further obligations.
    (iv) Same as (q)(2)(iv) of this section.
    (4) CDR, DARCOM, will review the charges, inspect property to be 
repaired, if necessary, reconcile any discrepancies and determine final 
charges to be levied against the supported activity. Approved list of 
charges will be forwarded to the CINC/CDR, MACOM, for collection, and 
property being held for repair will be released.
    (5) The CINC/CDR, MACOM, will prepare and dispatch a letter to the 
supporting activity and request payment made payable to the Treasurer of 
the United States. Upon receipt of payment, collection documents will be 
prepared and appropriate fiscal accounts, as furnished by the commodity 
command (military departments) ((q)(2) and (3) of this section) 
credited. The MACOM Surgeon will take action to reimburse the DLA stock 
fund for expendable medical supply losses reported. The CINC/CDR, MACOM, 
will close the Property Transaction Record Account.
    (6) The CINC/CDR, MACOM, will advise the CDR, commodity command 
(military departments and CDR, DARCOM, DA) that settlement has been 
accomplished. Commodity command (military department) Property 
Transaction Records will be closed upon receipt of the foregoing advice.
    (7) The CDR, DARCOM will advise the CINC/CDR, MACOM, to return the 
bond to Boy Scouts of America.
    (8) In the event of unsatisfactory settlement, the proceeds of the 
bond will be used to satisy the claim. The Power of Attorney executed in 
connection with the agreement will be invoked and proceeds collected 
from the bond (fig. 7-7).



PART 623--LOAN OF ARMY MATERIEL--Table of Contents




Sec.
623.1  General.
623.2  Loan policies.
623.3  Submission of requests for loan of Army materiel.
623.4  Accounting procedures.
623.5  Loan of arms and accouterments.
623.6  Reimbursement for loan of Army materiel.
623.7  Reports.


Appendix A to Part 623--Explanation of Terms
Appendix B to to Part 623--Approving Authority Addresses/Telephone 
          Numbers
Appendix C to Part 623--Agreement for Loan of US Army Materiel (DA Form 
          4881-R)
Appendix D to Part 623--Certificate for Signature by an Alternate (DA 
          Form 4881-1-R)
Appendix E to Part 623--Surety Bond (DA Form 4881-3-R)
Appendix F to Part 623--Power of Attorney (DA Form 4881-4-R)
Appendix G to Part 623--Continental US Army Boundaries
Appendix H to Part 623--References

    Authority: 10 U.S.C. 2571; 31 U.S.C. 686; 10 U.S.C. 2667.

    Source: AR 700-131, 45 FR 62038, Sept. 18, 1980, unless otherwise 
noted.



Sec. 623.1  General.

    (a) Purpose. This part sets forth policies and procedures for loan 
of Army materiel. As used in this regulation, the term ``loan'' includes 
a lease.
    (b) Applicability. (1) This regulation applies to all Department of 
the Army (DA) agencies, commands, installations, and activities.
    (2) This regulation applies to the Army National Guard (ARNG) only 
when the procedure for the loan of equipment under the procedure of 
National Guard Regulation (NGR) 735-12 does not apply.
    (3) This regulation does not apply to loans governed by the DOD 
Military Assistance and Sales Manual, DOD 5105.38-M.
    (4) This regulation does not apply to loans governed by the Defense 
Acquisition Regulation (DAR).
    (c) Scope. This part outlines when loans of Army materiel may be 
made. It gives general procedures for requesting and processing loans, 
and sets forth

[[Page 585]]

responsibilities, including requirements for reimbursement.
    (d) Explanation of terms. (1) The terms ``loan,'' ``lease'' and 
``bailment'' are contractual terms and are frequently used 
interchangeably. They have no meaning by themselves. It is necessary to 
study the statute to see what is required. Usually, a ``loan'' is 
thought of as a short-term transfer of property, sometimes with 
reimbursement; a ``lease'' is a more formal transfer, often long-term 
and requiring a fair monetary rental; and a ``bailment'' is a loosely-
used term, generally reserved for a delivery of property to another in 
trust for the purpose of doing something to the property and then 
returning the property to the owner. The term ``issue'' is frequently 
used in the sense of a transfer of property which will be consumed in 
use. The terms ``gift,'' meaning a permanent transfer of property 
without reimbursement, and ``sale,'' meaning a permanent transfer with 
reimbursement, are outside the scope of this regulation.
    (2) For additional definitions, see appendix A.
    (3) The words ``he, him, his'' when used in this publication 
represent both the masculine and feminine genders, unless otherwise 
specifically stated.
    (e) Loan restrictions. (1) Army materiel is not normally used for 
other than the Army's primary mission; however, under conditions 
described herein materiel not immediately needed to support mission 
requirements may be loaned to--
    (i) Army and other Department of Defense (DOD) elements.
    (ii) Non-DOD Federal departments and agencies.
    (iii) Civil governments (State and local).
    (iv) Special activities, agencies, and others.
    (2) Table 2-1 lists various circumstances where loan of Army 
materiel might be requested. It identifies the applicable Federal laws 
or other authority which would authorize such loans.
    (f) Statutory authorities. There are three basic federal laws which 
authorize the loan of Army property. There are also numerous specific 
statutes which authorize particular types of loans in limited 
situations. Unless there is a reason to use the specific statute, one of 
the basic statutes will be used.
    (1) The following are the basic statutes:
    (i) 10 U.S.C. 2571--Authority for loan of property within DOD.
    (ii) 31 U.S.C. 686 (The Economy Act)--Authority for loans to other 
Federal departments and agencies.
    (iii) 10 U.S.C. 2667 (The Leasing Statute)--Authority for loans/
leases, including leases to activities outside the Federal Government.
    (2) Following are some of the specific authorizing statutes:
    (i) 10 U.S.C. 331--Federal aid for State governments as result of 
insurrection.
    (ii) 10 U.S.C. 332--Use of militia and Armed Forces to enforce 
federal authority.
    (iii) 10 U.S.C. 333--Use of militia or Armed Forces to suppress 
interference with state and federal law.
    (iv) 10 U.S.C. 2541--Loan of equipment and barracks to national 
veterans organizations.
    (v) 10 U.S.C. 2542--Loan of equipment to the American National Red 
Cross for instruction and practice.
    (vi) 10 U.S.C. 2543--Loan of equipment to US Presidential Inaugural 
Committee.
    (vii) 10 U.S.C. 2544--Loan of equipment and services to the Boy 
Scouts of America, for national and world jamborees.
    (viii) 10 U.S.C. 2572--(See AR 870-20.) Loan of books, manuscripts, 
works of art, drawings, plans, models, and condemned or obsolete combat 
materiel not needed to--
    (A) A municipal corporation.
    (B) A soldiers monument association.
    (C) A state museum.
    (D) A nonprofit incorporated museum.
    (E) Posts of Veterans of Foreign Wars of the USA.
    (F) American Legion Posts.
    (G) A local unit of any other recognized war veterans association.
    (H) A post of the Sons of Veterans Reserve.
    (ix) 10 U.S.C. 4308--Establishment and support of civilian rifle 
ranges.

[[Page 586]]

    (x) 10 U.S.C. 4311--Issue of rifles and ammunition for conducting 
rifle instruction and practice.
    (xi) 10 U.S.C. 4651--Issue of arms, tentage, and equipment to 
support educational institutions that do not have ROTC but maintain a 
course in military training prescribed by the Secretary of the Army.
    (xii) 10 U.S.C. 4652--Loan of rifles and issue ammunition for target 
practice to educational institutions having corps of cadets.
    (xiii) 10 U.S.C. 4653--Issue of ordnance and ordnance stores to 
District of Columbia high schools.
    (xiv) 10 U.S.C. 4654--Issue of quartermaster supplies at educational 
institutions that maintain a camp for military instruction of its 
students.
    (xv) 10 U.S.C. 4655--Loan of arms and issue ammunition to other 
agencies and departments of the US Government.
    (xvi) 10 U.S.C. 4656--Loan of aircraft and ancillary equipment to 
accredited aviation schools at which DA or Air Force personnel pursue 
courses of instruction.
    (xvii) 10 U.S.C. 4683--Loan of obsolete or condemned rifles and 
accouterments to local units of recognized national veterans 
organizations for certain ceremonial purposes.
    (xviii) 10 U.S.C. 4685--Loan of obsolete ordnance to educational 
institutions and state soldiers and sailors orphans' homes for purpose 
of drill and instruction.
    (xix) 32 U.S.C. 702--Issue of supplies to State National Guard.
    (xx) 33 U.S.C. 701n (Pub. L. 84-99 as amended)--Flood emergency 
preparation; emergency supplies of drinking water.
    (xxi) 33 U.S.C. 1251 et seq (Pub. L. 92-500)--Federal Water 
Pollution Control Act.
    (xxii) 42 U.S.C. 5121 et seq (Pub. L. 93-288)--Disaster Relief Act.
    (3) Other statutory guidance:
    (i) 10 U.S.C. 4307--Authorizes the establishment of a Director of 
Civilian Markmanship (DCM).
    (ii) 18 U.S.C. 1385--Unlawful use of Armed Forces in local law 
enforcement.
    (iii) 18 U.S.C. 3056 (as amended by Pub. L. 91-651)--Powers and 
duties of Secret Service.
    (g) Responsibilities. (1) The Commanding General (CG), US Army 
Materiel Development and Readiness Command (DARCOM), through the 
Materiel Readiness Commands' (MRC) commanders, is responsible for loans 
of materiel controlled by DARCOM wholesale supply points.
    (2) Major Army commands (MACOM) CGs and commanders in chief (CINCs) 
of unified commands (UCOMs) are responsible for loans of materiel from 
supporting units and installations.
    (3) The Director of Military Support, Office of the Deputy Chief of 
Staff for Operations (ODCSOPS), is the DOD point of contact for the 
Federal Disaster Assistance Administration (FDAA), other Federal 
agencies, and the National Red Cross in disaster assistance matters.



Sec. 623.2  Loan policies.

    (a) Loan and approval policy--(1) Basic policies. (i) Materiel is 
not loaned to non-DOD activities as a routine procedure. However, 
materiel in the Army inventory is available for loan for special 
purposes if approved. Approving authorities are listed in table 2-1; 
their addresses are in appendix B.
    (ii) Loans will be approved or disapproved based on the purpose, 
duration of the loan, and consideration of the following factors which 
can take precedence over any loan.
    (A) Military requirements and priorities.
    (B) Continuity of military operations, troop survival, and the 
rehabilitation of essential military bases.
    (C) Stocks and programed Army requirements. This includes 
prepositioned mobilization reserve stocks.
    (D) Type classification with pending changes.
    (E) Minimum diversion of Army stocks.
    (F) The adequacy of the borrower's resources. Requesters will be 
encouraged to use their own resources.
    (iii) Loan requests from civilian authorities or activities will 
normally enter Army channels at the installation or MACOM levels. If on-
post or off-

[[Page 587]]

post units receive loan requests, they will refer them to unit's 
supporting installation commander at once. Emergency loan requests will 
be relayed by telephone or electrically transmitted message.
    (iv) When routine handling of a loan request would result in loss of 
human life, grave bodily harm, or major destruction of property, and 
when the lack of communication facilities prevents use of normal 
procedures, loans otherwise permitted by this regulation can be made 
with local approval. However, normal policy should be followed to the 
extent possible. If procedural requirements cannot be fully complied 
with, they must be met as soon as possible after the loan is made.
    (v) Army materiel loaned under this part will be delivered to 
borrower ``as is, where is'' available.
    (vi) Stocks of the least serviceable condition which are still 
suitable for the loan's purpose will be used. Logistic control code 
``C'' materiel will be loaned before logistic control code ``B'' 
materiel. Logistic control code ``B'' materiel will be loaned before 
logistic control code ``A'' materiel. (Ref chap 9, AR 708-1.)
    (vii) Commanders of medical treatment facilities (MTF) are subject 
to all the requirements of this regulation, including the requirement 
for reimbursement. However, in accordance with AR 360-61 which 
implements DOD Instruction 5410.19,
    (A) Emergency loans of medical supplies (drugs, vaccines, etc.) may 
not be made without reimbursement, but the loan may not exceed 30 days 
and the medical supplies must be replaced in kind by the borrowing 
agency or activity; and
    (B) Emergency loans of medical equipment not to exceed 15 days may 
be made without reimbursement if it is the practice in the community for 
other hospitals to make such loans. Equipment loans which exceed 15 days 
must be approved, in writing, by the MACOM commander and are subject to 
all the requirements of 10 U.S.C. 2667, including reimbursement.
    (viii) Army property loaned to non-DOD activities will not be 
further loaned without approval of the original approving authority.
    (ix) There will be no procurement or redistribution of assets to 
offset the effects of loans. Material will not be set aside, earmarked, 
assembled, or stockpiled to be available for use related to loans.
    (x) Army materiel may be recalled from the borrower at any time to 
meet Army requirements.
    (xi) Stock record accounting and financial transactions for loans 
will conform with existing regulations.
    (xii) Borrowers are responsible for the care, custody, and proper 
use of materiel borrowed. Except as stated in this regulation, 
reimbursement will be required for damage, destruction, loss, fair 
depreciation in value, and for any Army repair, care, transportation, 
preservation, and protection of loaned equipment.
    (xiii) Care, renovation, and repair of borrowed materiel will 
conform with the loan agreement.
    (xiv) As indicated below, borrowers must provide signed loan 
agreements, provide surety bonds, and vehicular insurance prior to 
receipt of materiel. Loan agreements and bonds will be prepared in 
accordance with paragraphs (b) and (c) of this section.

                                                                        
------------------------------------------------------------------------
                                    Loan                      Vehicular 
           Borrower               agreement    Surety bond    insurance 
                                  required      required      required  
------------------------------------------------------------------------
Army or other DOD activities..  No \1\......  No..........  No.         
Non-DOD Federal departments     Yes.........  No..........  No.         
 and Agencies.                                                          
Civil Authorities (State and    Yes.........  Yes \2\.....  Yes.\2\     
 Local Governments).                                                    
Civilian Activities (veterans'  Yes.........  Yes.........  Yes.        
 organizations, youth groups,                                           
 etc.).                                                                 
------------------------------------------------------------------------
\1\ A hand receipt or other document assigning responsibility will      
  suffice.                                                              
\2\ In emergency disaster relief cases, bonds and insurance may be      
  provided after receipt of the materiel. (See paragraph (a)(4) of this 
  section.)                                                             

    (2) Loans to DOD organizations. Army materiel may be loaned to DOD 
activities for projects, programs, and mission requirements that support 
basic functions of the borrowing activity. Examples are field exercises, 
maneuvers, training exercises, including annual training (AT) of Reserve 
Components, and research development, test, and evaluation (RDTE).

[[Page 588]]

    (i) Loans of major end items belonging to MACOMs are approved by 
MACOM or UCOM commanders. Loans of materiel other than major end items 
are approved at commander/installation level.
    (ii) Loans of materiel belonging to DARCOM (wholesale level) are 
approved as follows:
    (A) Materiels other than major end items. By the director or deputy 
director of an MRC.
    (B) All other items. By HQ DARCOM or commanders of MRCs unless loan 
would interfere with issue against DA Master Priority List (DAMPL) 
priorities, then by HQDA ODCSLOG (DALO-SMD).
    (3) Loans to federal departments/agencies. Loans to Federal 
activities outside the DOD are usually provided under provisions of the 
Economy Act, 31 U.S.C. 686. Federal agencies borrowing DOD materiel 
using the provisions of this act are responsible for reimbursing the DOD 
for all DOD costs incident to the delivery, return, and repair of the 
materiel. The borrower is also responsible for reimbursing the DOD for 
depreciation if the depreciation cost is significant.
    (4) Disaster relief.
    (i) CONUS/OCONUS.
    (A) In disaster situations local civil authorities must provide 
relief from their own resources. If this is not sufficient, and the 
American National Red Cross has a team at the disaster, requests for 
further assistance should be made to them. If the President has declared 
a major disaster or emergency, requests should be made to the regional 
director of the Federal Disaster Assistance Administration (FDAA). (See 
AR 500-60 for guidance.)
    (B) The commanding General, US Army Forces Command (FORSCOM), acting 
for the Secretary of the Army (SA), is responsible for Army materiel 
support of disaster relief operations within the United States and the 
District of Columbia. UCOMs are responsible for disaster relief 
operations in US possessions and trust territories. These commanders are 
authorized to task DOD agencies and commands, consistent with defense 
priorities, to provide materiel in support of operations. A military 
representative will be appointed by the appropriate command to act as 
the DOD point of contact with the Housing and Urban Development (HUD) 
Federal Coordinating Officer (FCO) when military assistance is required 
during a Presidential declared disaster or emergency. When a disaster or 
emergency is of such magnitude, the disaster area may be geographically 
subdivided. A military representative will then be appointed for each 
FCO. All requests for military assistance will be passed through the FCO 
to the DOD military representative at the disaster area.
    (C) The Director of Military Support (ODCSOPS), HQDA, acts at the 
DOD point of contact for the Administrator, FDAA, other Federal 
agencies, and the American National Red Cross in all disaster assistance 
matters.
    (ii) Foreign. (A) The Department of State is responsible for 
deciding when emergency foreign disaster relief operations will be 
undertaken. This authority is delegated to Chiefs of Diplomatic Missions 
for disaster relief operations whose total costs will not exceed 
$25,000.
    (B) Send queries on foreign disaster relief to HQDA (DAMO-ODS) (para 
4, app B).
    (5) Civil disturbances. The maintenance of law and order is 
primarily the responsibility of local and state authorities. In civil 
disturbance situations, a basic goal of the Federal Government is to 
minimize the involvement of active military forces. One of the most 
effective means of keeping Federal forces off the streets is to loan US 
Army civil disturbance type equipment to Federal, State, and local law 
enforcement agencies and also to the National Guard. (For specific 
guidance see AR 500-50.)
    (i) Requests for loan of Army materiel during or for expected civil 
disturbances are of three types with approval authority as follows:
    (A) Group one. Arms, ammunition, tank-automotive equipment, and 
aircraft. Loans will be approved by the SA or his designee.
    (B) Group two. Riot control agents, concertina wire, and similar 
military equipment which is not included in group one. Loans will be 
approved by the SA (or his designee), or by an Army

[[Page 589]]

task force commander employed at an objective are during a civil 
disturbance.
    (C) Group three. Protective equipment such as masks and helmets; 
body armor vests; other equipment not included in group one or two such 
as clothing, communications equipment, and searchlights; and the use of 
DOD facilities. Such loans will be approved by the SA (or his designee); 
by MACOMs; by the CGs of CONUS armies, MDW, and by commanders of UCOMs 
outside CONUS as applicable. (NOTE: Firefighting equipment will not be 
used for riot control).
    (ii) Queries concerning loans in support of civil disturbances will 
be forwarded to the Director of Military Support, HQDA(DAMO-ODS), WASH 
DC 20310. (See app B.)
    (6) Terrorism. (i) The Department of the Army is the DOD Executive 
Agent for support to the FBI in combating terrorism. Existing civil 
disturbance loan procedures, including categories of equipment, apply to 
equipment loans to the FBI for combating terrorism. Military resources 
will be provided only upon request of the Director, FBI, or the Senior 
FBI official present at the scene of a terrorist incident. It may be 
difficult in some situations to determine whether a practical incident 
fits the definition of terrrorism. In these cases, commanders are 
authorized to accept the judgment of the FBI official making the request 
if it is supported by the available facts. (See para 3, table 2-1.)
    (ii) For requests from the FBI in connection with terrorist 
incidents, any commander in the chain of command down to and including 
commanders of military installations are authorized to approve loans of 
group two and group three resources. (See paragraphs (a)(4)(1) (B) and 
(C) of this section.) Requests for equipment which involve technical/
operating personnel, excluding fire-fighting equipment and explosive 
ordnance disposal, will be processed as a group one resource. For 
example, approval authority is retained by the DOD Executive Agent.
    (7) Aircraft piracy. Assistance to other federal agencies in the 
protection of airways is provided through loans under guidance in 
paragraph 3, table 2-1. Specific limitations on such support are covered 
in AR 500-1.
    (8) Loan/lease to activities outside the Federal Government. Title 
10, U.S.C. 2667, authorizes the lease of Army materiel to non-DOD 
departments, agencies, activities, or individuals when it is determined 
that the materiel is not, for the period of the lease, needed for public 
use, is not excess property, and that the loan will promote the national 
defense or be in the public interest, (See AR 360-61.) Such a lease must 
not be for more than 1 year (or be renewed/extended for a total period 
of more than 5 years); it must provide that the lessee will pay a fair 
monetary rental. The fair monetary rental will be determined on the 
basis of prevailing commercial rates or computed according to sound 
commercial accounting practices for the fixing of rental on such 
property. This will include a return on capital investment and 
administrative cost as well as depreciation. The delegation of authority 
to lease is SAOSA-71-6, paragraph 1-5103, ADARS, the prescribed lease 
agreement is at paragraph 16-553, ADARS.
    (b) Loan agreements. (1) Upon approval of a loan request and before 
shipment or issue of the materiel, the approving authority will complete 
a written loan agreement, DA Form 4881-R. In all cases, the statutory 
basis for the loan will be cited. The approving authority is acting for 
the DOD on loans to other Federal agencies, and for the United States on 
loans to civil authorities and special activities. The agreement will be 
signed by the approving authority and the borrowing activity. When 
emergency loans have been made as authorized by this AR, follow-up 
action will be taken at once to formalize the loan by completing a loan 
agreement.
    (2) Loan agreements are mutually developed by the approving 
authority and the chief of the borrowing activity (or their designees). 
The agreements identify the responsibilities of all parties. They 
include terms and conditions of the loan. Appendix C illustrates a 
sample loan agreement, DA Form 4881-R (Agreement for the Loan of US Army 
Materiel), and specifies what the loan agreements will stipulate and 
contain. Also illustrated at appendix C is DA

[[Page 590]]

Form 4881-2-R, which will be completed and appended to the loan 
agreement as ``Exhibit I.''
    (3) Loan agreements will be held by the approving authority until 
termination and final settlement of each loan.
    (4) If the loan agreement is signed by someone other than the chief 
borrowing official, than a Certificate for Signature by an Alternate 
will be completed. (See appendix D for DA Form 4881-1-R.) It will be 
attached to the signed (by the borrower) copy of the agreement that is 
retained by the approving authority. DA Forms 4881-R, 4881-1-R, and 
4881-2-R are reproduced locally on 8\1/2\ by 11-inch paper.
    (c) Surety bonds. (1) Some borrowers of Army materiel must post a 
surety bond. (See table 2-1 and DA Form 4881-3-R at app E.) Bonds ensure 
safe return of the borrowed materiel or reimbursement for any loss of or 
damage to the materiel. The bond will consist of --
    (i) A properly executed surety bond with a certified bank check, 
cash, or negotiable US Treasury bonds, or
    (ii) Notice of bond by a reputable bonding company deposited with 
the approving authority for the loan. Bonds will equal the total price 
of the borrowed items as shown in exhibit I to the loan agreement (app 
C, DA Form 4881-R). A ``double'' bond (bond equal to twice the value of 
the borrowed item(s)) will be required--
    (A) For Army materiel loaned to the Red Cross for instruction and 
practice to aid the Army, Navy, or Air Force in time of war (10 U.S.C. 
2542).
    (B) For ordnance and ordnance stores loaned to high schools in the 
District of Columbia (10 U.S.C. 4653).
    (2) The bond need not be posted by the borrowing agency itself. The 
source or originating agency for the bond is immaterial if the bond is 
valid. For example, to secure a loan, a State may post bond on behalf of 
a city, county, or other governmental body or authority within the 
State.
    (3) In an emergency, when posting a bond would delay approval of an 
urgent loan request and when the total price is less than $1,000, the 
approval authority may approve the request. The approval is on the 
condition that the bond be posted within 5 days.
    (4) Bond forfeitures or exceptions to mandatory forfeitures can only 
be made with the concurrence of the Secretary of the Army. Forfeitures 
will be based on actual expense incurred. Forfeitures do not release the 
borrowing agency from returning borrowed materiel or affect ownership. 
Bonds are normally forfeited under the following conditions:
    (i) Materiel is not returned at the termination of a loan period or 
when return has been directed by the Army.
    (ii) The borrowing agent refuses to pay for damages or other Army 
expenses.
    (5) Surety bonds will be held by the approving authority until the 
loan is terminated and final settlement is made. At that time, the bond 
will be returned to the borrower.
    (6) If US treasury bonds are posted as surety bond, the borrower 
must execute a power of attorney (DA Form 4481-4-R, app F). This will 
enable cashing of the treasury bonds if some forfeiture is required. DA 
Form 4881-3-R (Surety Bond) and DA Form 4881-4-R (Power of Attorney) 
will be reproduced locally on 8\1/2\ by 11-inch paper.
    (d) Loan duration. (1) Loan periods and extensions will be shown in 
table 2-2.
    (2) Materiel will be loaned only for the number of days needed for 
the specific purpose for which borrowed. Loan extensions must be 
justified. The reason(s) why other means or other than Army materiel 
cannot be used must be included. Approval of loan extensions will be 
based on the merit of the reasons given.
    (3) Loan extensions authorized beyond 1 year will not be approved 
unless the lender of the loaned materiel has inspected and inventoried 
the materiel to insure completeness and serviceability.
    (e) Types of DA materiel available for loan. Examples of types of 
items that may be loaned, and examples of the types of organizations 
that may borrow Army materiel, are listed in table 2-1. Most loans will 
be nonexpendable items or expendable items not forecast to be consumed 
(durable items). Expendable items (e.g., expendability code X) will not 
be loaned unless approved as an exception.

[[Page 591]]



                                      Table 2-1--Loan Authority and Purpose                                     
                                         [See footnotes at end of table]                                        
----------------------------------------------------------------------------------------------------------------
                                                                                          Examples of materiel  
          Requester            Authority and guidance     Normal approving authority           authorized       
----------------------------------------------------------------------------------------------------------------
1. DOD Activities...........  10 U.S.C. 2571..........  Secretary of the Army (or       Materiel, supplies, and 
                                                         designee).                      equipment.             
2. Department of Agriculture  31 U.S.C. 686; Memo of    Secretary of the Army (or       Communications,         
 (U.S. Forest Service)         Understanding (MOU),      designee).                      earthmoving, and       
 protection against wildfire   Apr. 24, 1975; AR 500-                                    vehicular equipment.   
 \2\ (see AR 500-60 for        60.                                                                              
 guidance) \3\.                                                                                                 
    Avalanche Control \3\...  10 U.S.C. 4655; 31        Secretary of the Army (or       Communications,         
                               U.S.C. 686; AR 735-5;     designee).                      howitzers, etc.        
                               MOU Nov. 29, 1973.                                                               
3. Department of Justice      10 U.S.C. 331; 10 U.S.C.  ..............................  Transport aircraft,\1\  
 (FBI).                        332; 10 U.S.C. 333.                                       helicopters, flares,   
                                                                                         parachutes,            
                                                                                         communications         
                                                                                         equipment, arms,       
                                                                                         vehicles, etc.         
  Aircraft Piracy \1\ (see    10 U.S.C. 4655; 18        DOD General Counsel \1\ or                              
   AR 500-1 for guidance).     U.S.C. 1385; 31 U.S.C.    designee; in urgent cases,                             
                               686; DODD 3025.12; AR     Deputy Director for                                    
                               500-1.                    Operations, NMCC.                                      
  Terrorism \2\.............  AR 500-50...............  See item 7 below for \2\        See item 8 below for \2\
                                                         approval authority by           classification         
                                                         equipment classification.       equipment.             
  Drug Enforcement Agency     31 U.S.C. 686; AR 735-5,  Asst SECDEF (or designee).....  Same as above.          
   \1\.                        par. 1-16; CSR 1-25.                                                             
4. Treasury Department (U.S.  18 U.S.C. 3056; 31        Asst SECDEF (or designee); Mil  Same as above.          
 Custom Service) (U.S.         U.S.C. 686; AR 735-5,     Asst to the President;                                 
 Secret Service) \1\.          par. 1-16; DODD           followed by the Spec Asst to                           
                               3025.13; DODI 5030.34;    the SECDEF; (overseas) CINC,                           
                               AR 1-4.                   UCOM's.                                                
5. National Guard Equipment   AR 735-5; 10 U.S.C. 2571  Secretary of the Army HQDA; CG  Material, supplies, and 
 (loan to NG).                                           FORSCOM; DARCOM.                equipment.             
6. Other Federal agencies     31 U.S.C. 686; AR 735-5;  Spec Asst SECDEF; Secretary of  Material, supplies, and 
 emergency support \1\ to      AR 1-35; AR 500-60;       the Army.                       equipment for flood    
 Federal agencies (see AR 1-   DODD 4000.19.                                             fighting, rescue       
 35 and AR 500-60 for                                                                    operations, repair/    
 guidance).                                                                              restoration of flood   
                                                                                         control works, or      
                                                                                         hurricane flood        
                                                                                         protection works.      
  Support to FPA/GSA          AR 15-17; DODD 5100.74;   HQDA; CG FORSCOM; CG CONUSA...  Transportation,         
   Regional Field Boards \2\   OEP Civ 8500.6.                                           emergency power and    
   (see AR 15-17 for                                                                     fuel.                  
   guidance).                                                                                                   
  Support to Inaugural        10 U.S.C. 2543..........  SECDEF........................  Tents, flags, litters,  
   Committee.                                                                            ambulances, drivers,   
                                                                                         hospital furniture,    
                                                                                         camp appliances.       
7. Support for Search and     AR 500-2; FM 20-150; AR   CG FORSCOM; GC CONUSA.........  Search craft and crews. 
 Rescue.                       525-90.                                                                          
                                                                                                                

[[Page 592]]

                                                                                                                
8. Civil Authorities Civil    42 U.S.C. 5121 et seq.;   Group One: DOD Executive Agent  Group One: Arms,        
 Disturbance \2\ (see AR 500-  10 U.S.C. 331; DODD       or designee.                    ammunition, tank-      
 50 for guidance).             3025.12; AR 500-50; AR                                    automotive equipment,  
                               350-7; DACD Plan;                                         and aircraft.          
                               Garden Plot.                                                                     
                                                        Group Two: DOD Executive Agent  Group Two: Riot control 
                                                         or designee, or task force      agents, concertina     
                                                         command at objective area       wire, and other like   
                                                         during the civil disturbance.   military equipment to  
                                                                                         be employed in control 
                                                                                         of civil disturbances. 
                                ......................  Group Three: DOD Executive      Group Three:            
                                                         Agent or designee; CG MDW; CG   Firefighting resources,
                                                         CONUSA; and CINC's UCOM's,      equipment of a         
                                                         OCONUS.                         protective nature      
                                                                                         (masks, helmets, body  
                                                                                         armor vests) and use of
                                                                                         Army facilities.       
  Disaster Relief \2\.......  42 U.S.C. 5121 et seq.;   CG FORSCOM; CG DARCOM for       Same as 6 above.        
                               DODD 3025.1; AR 500-60    DARCOM stocks; and CINC's,                             
                               and AR 930-5; DODD        UCOM's, OCONUS.                                        
                               5100.46.                                                                         
  Civil Defense.............  DODD 3025.10; AR 500-70.  CG FORSCOM....................  Personnel, facilities,  
                                                                                         equipment, supplies,   
                                                                                         and services.          
  American National Red       MOU between DOD and       HQDA; The Adjutant General      Personnel, equipment,   
   Cross for support of Army   ANRC, June 24, 1975.      (DAAG-ASO-R).                   office space,          
   units in support of local                                                             equipment, supplies;   
   civil government disaster                                                             and custodial, utility,
   relief.                                                                               maintenance, and       
                                                                                         communication services.
9. Environmental Protection   33 U.S.C. 1251 et seq.;   Same as disaster relief.......  Personnel, facilities,  
 Agency and U.S. Coast Guard   DODD 5030-41; AR 500-60.                                  supplies, equipment,   
 (oil and hazardous                                                                      and transportation.    
 substances pollution                                                                                           
 spills).                                                                                                       
10. Boy and Girl Scouts of    10 U.S.C. 2544; AR 725-   MACOM CG on behalf of CG        Bedding, cots, chairs,  
 America (world or national    1, ch. 7.                 DARCOM.                         vehicles, buildings,   
 jamborees) \3\.                                                                         etc.                   
11. Civilian Marksmanship     10 U.S.C. 4308, 4311,     Secretary of the Army (or       Arms and accouterments. 
 Program (Clubs and Schools)   4651, 4652, 4653, 4685;   designee).                                             
 \3\.                          AR 920-15; AR 920-20.                                                            
12. Community Relations and   AR 28-19; AR 360-61; 42   Installation commanders.......  Equipment or buildings  
 Domestic Action Programs      U.S.C. 2701.                                              which may aid in       
 \1\ (Youth Conservation                                                                 instruction to the     
 Corps).                                                                                 disadvantaged.         
13. Veterans Organizations    10 U.S.C. 2541..........  MACOM CG and CG CONUSA........  Cots, bedding, chairs,  
 (State and National                                                                     tents, mattresses,     
 Conventions) \3\.                                                                       pillows, unoccupied    
                                                                                         barracks, etc.         

[[Page 593]]

                                                                                                                
  Burial Ceremonies.........  10 U.S.C. 4683..........  Secretary of the Army.........  Obsolete rifles.        
14. Armies of the United      10 U.S.C. 2667; AR 34-1.  CG DARCOM (those for equip      Equipment.              
 Kingdom, Canada, and                                    valued over $100,000 and                               
 Australia (Standardization                              those not favorably                                    
 Program).                                               considered by DARCOM will be                           
                                                         referred to the DCSRDA, HQDA,                          
                                                         for approval).                                         
15. Aid to District of        DODD 5030.46; CSR 500-4.  Secretary of the Army (or       Communications,         
 Columbia Government in                                  designee).                      vehicles, aircraft,    
 Combating Crime \2\.                                                                    arms, etc.             
16. Departments, agencies,    10 U.S.C. 2667; SAOSA-71- Heads of Procuring Activity...  Army property, not      
 municipalities,               6, par. 1-5103, ADARS.                                    excess requirements,   
 organizations, activities,                                                              but not needed for     
 and individuals.                                                                        period of lease. (See  
                                                                                         delegation of          
                                                                                         authority.)            
17. Red Cross (Aid to DOD in  10 U.S.C. 2602; AR 930-5  DAAG..........................  Office space, supplies  
 time of war).                                                                           and equipment;         
                                                                                         uniforms.              
18. Army Flying Clubs.......  AR 230-1; DODD 1330.2...  DAAG; CG FORSCOM..............  Army aircraft.          
19. Civilian Activities.....  10 U.S.C. 2572; AR 870-   Chief, Military History.......  Historical properties   
                               15; AR 870-20.                                            and military art.      
20. Civilian Educational      10 U.S.C. 4654..........  Secretary of the Army.........  Quartermaster supplies. 
 Institutions.                                                                                                  
----------------------------------------------------------------------------------------------------------------
\1\ DA DCSOPS, Director of Military Support, has responsibility for these staff functions.                      
\2\ DA DCSOPS, Director of Military Support, has responsibility for these executive agent functions. (See app. A
  for definition of this term.)                                                                                 
\3\ DA DCSLOG, Director of Supply and Maintenance, has responsibility for these staff functions.                


                                             Table 2-2--Loan Periods                                            
----------------------------------------------------------------------------------------------------------------
                                                                                             Loan periods \1\   
        Borrower/purpose                                  Initial                                extension      
----------------------------------------------------------------------------------------------------------------
1. DOD Activities...............  As needed for mission accomplishment..................  As needed for mission 
                                                                                           accomplishment.      
2. Army National Guard (loan of   For minimum essential period as determined by           For minimum essential 
 equipment).                       requirements.                                           period as determined 
                                                                                           by requirements.     
3. Department of Agriculture      90 days...............................................  90 days.              
 (U.S. Forest Service)                                                                                          
 (protection against wildfire).                                                                                 
4. Department of Justice (FBI)    For minimum essential period..........................  For minimum essential 
 (Aircraft piracy).                                                                        period.              
  (Drug Enforcement Agency).....  1 year or less as determined by requirements..........  1 year or less.       
5. Treasury Department (U.S.      1 year or less as determined by requirements..........  1 year or less.       
 Customs Service).                                                                                              
  (U.S. Secret Service).........  For minimum essential period as determined by           For minimum essential 
                                   requirements.                                           period as determined 
                                                                                           by requirements.     
6. Environmental Protection       For duration of requirements..........................                        
 Agency/U.S. Coast Guard.                                                                                       

[[Page 594]]

                                                                                                                
7. Other Federal Agencies.......  For minimum essential period..........................  1 year.               
8. Civil Agencies (Civil          15 days during actual disorder........................  15 days.              
 disturbances) Type I.                                                                                          
  Type II.......................  90 days in anticipation of a disorder.................  90 days.              
  (Disaster relief).............  For minimum essential period, no extension for use                            
                                   during rehabilitation unless requested by the FDAA.                          
9. Boy and Girl Scouts of         For duration of ``Jamboree'' plus period en route to                          
 America (World or National        or return from Jamborees.                                                    
 Jamborees).                                                                                                    
10. Civilian Marksmanship (Clubs  1 year................................................  1 year.               
 and Schools).                                                                                                  
11. Civilian Community            As justified by local requesters......................                        
 (Relations and Domestic Action                                                                                 
 Programs).                                                                                                     
12. American National Red Cross   Same as above for duration of requirements (office      Same as above.        
 for support of Army units in      equipment).                                                                  
 support of local civil                                                                                         
 Government disaster relief.                                                                                    
13. Veterans' Organizations.....  15 days...............................................  15 days.              
14. To Armies of the United       1 year or less as determined by requirements..........  As negotiated.        
 Kingdom, Canada, and Australia                                                                                 
 (Standardization Program).                                                                                     
15. Civilian Organizations:                                                                                     
  a. Arms and accouterments.....  1 year or less as determined by requirements..........  1 year.               
  b. DLA stock fund items.......  120 days..............................................  30 days.              
  c. Medical equipment..........  15 days...............................................  As negotiated.        
  d. Medical supplies (drugs,     30 days...............................................  As negotiated.        
   vaccines, etc. must be                                                                                       
   replaced in kind).                                                                                           
  e. All other items............  Requester justification...............................  As negotiated.        
16. DA materiel provided under    1 year................................................  1 year.               
 10 U.S.C. 2667.                                                                                                
----------------------------------------------------------------------------------------------------------------
\1\ All extensions or loan renewals which extends the overall loan period beyond 1 year must be approved by the 
  Secretary of the Army (or designee).                                                                          


[[Page 595]]



Sec. 623.3  Submission of requests for loan of Army materiel.

    (a) General. (1) Loan requests will be expedited according to the 
situation's urgency. A situation may be so serious that waiting for 
instructions or approval from a higher authority is unwarranted. 
Commanders will then take action as required to save human life, prevent 
human suffering, or reduce property damage or destruction. (See 
Sec. 623.2(b)(1).) Such emergency actions will be reported at once to 
higher authority according to Sec. 623.7.
    (2) Requests to the US Army for loan, or loan extension, will be 
promptly sent by the Army element that received the request through 
channels to the approving authority shown in table 2-1 or as specified 
in appropriate regulations.
    (3) Loan requests will be made by the head of the Federal agency, 
civil authority, or civilian activity desiring the materiel. An 
exception is that requests from the Federal Disaster Assistance 
Administration (FDAA) will normally be initiated by an FDAA regional 
director rather than by the administrator. The requests should be made 
directly to the approving authorities shown in table 2-1.
    (b) The Army National Guard (ARNG). Loan requests for property 
belonging to ARNG will be made under National Guard Regulation 735-12. 
(See para 5, table 2-1.)
    (c) General Procedures. (1) DOD activities. DOD activities will 
borrow Army materiel as follows:
    (i) Requests will be made in writing citing--
    (A) Detailed justification for loan to include urgency of need.
    (B) Duration of loan.
    (C) Funds to defray transportation and handling.
    (D) Serviceability requirements.
    (ii) Approving authority involved will--
    (A) Forward a loan agreement to requester. Loan agreements within 
DOD will often consist of letter requests, approving endorsements, and 
materiel issue document (DD 1348-1) transferring temporary 
accountability. Between units and activities, a hand receipt may be used 
as the loan agreement.
    (B) Furnish positive identification of item to be loaned.
    (C) Provide instructions for delivery of equipment.
    (iii) DOD recipient of loaned Army materiel will--
    (A) Forward accepted loan agreement to approving authority (all 
actions can be accomplished by electrically transmitted messages).
    (B) Provide geographic location of equipment and specific activity 
that is responsible for care and preservation of loaned equipment.
    (C) Return equipment to Army in condition received with normal 
allowance for fair wear and tear.
    (2) Non-DOD activities. Non-DOD activities, including Federal 
agencies will request loan of Army materiel as follows:
    (i) Non-DOD activities, and agencies, will send routine requests by 
letter 45 days before the materiel is required. Federal agencies may use 
Standard Form 344 (Multiuse Standard Requisitioning/Issue System 
Document). Requests will include the following:
    (A) The DA approving authority. See table 2-1.
    (B) Date request is submitted.
    (C) Title of requesting agency and/or person authorized to receive 
or pick up the borrowed materiel. Be specific; e.g., Special Agent in 
Charge John Doe, FBI, Anytown, USA, (telephone number with area code) 
123-456-7890.
    (D) Type of loan; e.g., Boy Scout National Jamboree, American Legion 
Convention, etc. (with a short summary of circumstances).
    (E) Statement that none of the requested materiel is internally 
available to the requesting activity.
    (F) Statement that this support is not reasonably available from 
local government or commercial sources.
    (G) Authority for the loan (if known); e.g., public law, US code, 
executive order, etc. See table 2-1.
    (H) Positive identification of the type and quantity of items 
required. If national stock numbers and nomenclature are not available, 
identify the items needed by type, model, size, capacity, caliber, etc.
    (I) Geographic location where the materiel will be located and used.
    (J) Proposed duration of the loan.

[[Page 596]]

    (K) Statement that the agency has, or will ensure capability to 
properly operate, maintain, secure, and care for the borrowed materiel.
    (L) If firearms are requested, a statement that adequate facilities 
are available to secure the arms. See Sec. 623.5(a)(4).
    (M) A statement that the borrowing activity will assume all 
responsibilities, liabilities, and costs related to the movement, use, 
care, security, loss, damage, and repair of the loaned materiel.
    (N) Citation of funds to cover reimbursable costs. Also, a statement 
that an adequate bond will be provided, if required.
    (O) A statement that the loan agreement prepared by the Army will be 
signed by the ``responsible official'' of the borrowing activity (or 
designee).
    (P) Name, address, and telephone number of the person who will serve 
as the point of contact for the requesting agency, authority, or 
activity.
    (Q) Complete instructions for delivery of the equipment to ensure 
that shipping instructions in the request are consistent with the 
urgency of the situation. State whether a small quantity shipped by air, 
express, or other fast means will satisfy immediate needs until bulk 
shipments can arrive. Also state quantity immediately required.
    (R) If applicable, the number of persons to be accommodated.
    (ii) Urgent requests may be made to meet expected or actual 
emergencies. Such requests may be made by telephone or by electrically 
transmitted message. Include information required in paragraphs 
(c)(2)(i) (A) through (R) of this section to the extent possible. The 
request will be presented to the approving authority. The borrower will 
then send a complete written request to formalize the emergency request.
    (iii) If approval of the loan is granted, approving authorities will 
contact accountable property officers at CONUS installations (equivalent 
level overseas), or MRC item managers to determine which items are 
available. Installation requests to MRCs will state that the 
installation resources could not meet the loan requirements. 
Availability decisions will be based on normal management criteria 
including past and anticipated demand, asset balances, order-ship time, 
repair rate and repair cycles, and procurement schedules. If requested 
items are available and approved for issue, the approving authority (or 
designee) will--
    (A) Negotiate and agreement;
    (B) Obtain surety bond from the borrower when required;
    (C) Provide reproduced copies of the signed documents to the 
appropriate accountable property office along with authorization to make 
the loan.
    (iv) Approving authorities will maintain a system of numerical 
control for all loans. The accountable property officer will enter this 
number on all transaction documents related to each specific loan to 
include requisition, issue, shipping, turn-in, and financial documents.
    (3) The US Secret Service (USSS).
    (i) Army regulation 1-4 provides policies and procedures for Army 
support to the Secret Service. Support will be provided only on the 
request of the Director, United States Secret Service or his authorized 
representative. It will be provided only to assist the United State 
Secret Service in performance of its statutory protective functions.
    (ii) Routine requests are sent by the United States Secret Service 
direct to the Office of the Special Assistant to the SECDEF for 
approval. Approved requests involving Army resources are tasked through 
HQDA (DAMO-ODS) to the proper command. Approved requests for resources 
of other Services are tasked direct to the proper Service.
    (iii) Approved requests for resources to be used in oversea areas 
(regardless of Service) will be passed from the Office of the Special 
Assistant to the SECDEF to the Joint Chiefs of Staff (JCS) for tasking 
of the proper unified command.
    (iv) In urgent situations, the United States Secret Service may 
request military resources from the nearest military commander who is 
authorized to take action consistent with the urgency. As soon as 
possible, they will seek guidance/approval through command channels to 
the approval authority (Spec Asst to the SECDEF).
    (4) Drug and narcotics interdiction activities. All non-DOD Federal 
agencies requesting DOD resource in support of

[[Page 597]]

drug or narcotics interdiction activities should send requests through 
their headquarters to DOD, ATTN: Deputy Assistant SECDEF (Program 
Management), WASH DC 20314. Concurrently, information pertaining to the 
request should be sent to HQDA (DAMO-ODS) (para 4, app B), or relayed by 
telephone (AUTOVON 225-2003 or the Army Operations Center 851-1800 
during nonduty hours). The Deputy Assistant SECDEF will pass approved 
request to HQDA (DAMO-ODS), through the Office, Under Secretary of the 
Army, for determination of availability and readiness impact. If 
approved by the Under Secretary of the Army, ODCSOPS (DAMO-ODS) will 
task the proper MACOM to provide support. Requests for extension or 
changes to agreements will be processed as noted in tables 2-1, 2-2 and 
paragraph (a)(2) of this section.
    (5) The Federal Bureau of Investigation. (i) Requests for aircraft 
piracy assistance, received from Federal authorities by Army field 
commands or activities, will be forwarded through command channels by 
telephone (confirmed by electrically transmitted message) to the 
Military Support Division, ODCSOPS (DAMO-ODS), AUTOVON 255-3848/7433/
2003 (WATS 202-695-2003). These requests will be approved by the DOD 
General Counsel (or designee).
    (ii) The requests will then be sent to the National Military Command 
Center (NMCC). It will coordinate between the lending accountable 
property officer and the borrower.
    (iii) In urgent cases, the Deputy Director for Operations, NMCC, may 
approve requests upon his or her own responsibility. This is subject to 
a later report to the chairman of the Joint Chiefs of Staff and the DOD 
General Counsel.
    (iv) Approved requirements will be passed to the Secretary of the 
Army by telephone and confirmed by electrically transmitted message. The 
Secretary of the Army will then assign the requirement to the proper 
command (or staff agency) which will contact the designated Federal 
civil official and confirm the details of the request. Modification of 
the requirement to better perform the mission is authorized if the 
Federal official agrees.
    (6) Enviromental Protection Agency (EPA), US Coast Guard (USCG), or 
National Response Team (NRT). Non-DOD Federal agency requests for loan 
of materiel to combat oil and hazardous substance pollution spills will 
be made directly to the Commanding General, FORSCOM. Requests will be 
made by an ``On Scene Coordinator'' (OSC) of the EPA, or by the USCG 
acting for the Department of Transportation. The pollution spill NRT may 
also initiate requests. Approval authority is shown in table 2-1.
    (d) Civil Authorities. Loans of materiel to civil authorities for 
use during civil disturbances and disasters will be made as follows:
    (1) Civil disturbances. Requests for Army materiel in anticipation 
of (or during) civil disturbances will be promptly sent through command 
channels to the approving authority (UCOM commanders will coordinate 
requests originating from areas outside CONUS) as follows:
    (i) Requests for resources that require Secretary of the Army 
approval will be sent through channels to HQDA (DAMO-ODS) (para 4, app 
B).
    (ii) Requests for group three resources (Sec. 623.2(a)(5)) that are 
not available to commanders having the approval authority will be sent 
through channels to HQDA (DAMO-ODS). Intermediate commands may approve 
and make available the requested resources.
    (iii) Requests received by other DOD agencies will be referred to 
local Army installation commanders for processing.
    (2) Disaster relief. Requests for loan of materiel to support 
disaster relief will be handled as follows:
    (i) Valid requests for disaster relief assistance (see 
Sec. 623.2(a)(4) for decisionmaking process) will be given to the DOD 
liaison (a military officer) assigned to the disaster; or forwarded to 
the CONUS Army commander in which the disaster occurs. (See appendix G.) 
If no Federal Disaster Assistance Administration (FDAA) official (HUD 
Federal Coordinating Officer (FCO)) is present at the disaster scene, 
requests may be received from the Red Cross.

[[Page 598]]

    (ii) HUD Regional Directors for FDAA, or FCOs, will send requests 
for loan of materiel to the Commanding General, FORSCOM, or to the 
proper CONUS Army commander. (Requests for Defense Civil Preparedness 
Agency (DCPA) resources will be sent to DCPA regional offices.)
    (e) Civilian Activities. (1) Veterans' Organizations. Loan requests 
by authorized veterans' organizations (as listed in VA Bulletin 23A) 
will be sent to the commander of the CONUS Army area (or Commander, 
MDW), for the area where the materiel will be required. (See appendix 
G.)
    (2) Scouting Loans. National and regional scout executives will send 
requests (restricted to DOD support of national and world jamborees) 
according to chapter 7, AR 725-1. (See Sec. 621.4 of this title.)
    (3) Loans/Leases Under the Provisions of Title 10 U.S.C. 2667. 
Requests for loans from other civil activities and organizations may 
come into the DOD through various channels; e.g., telephone call to 
local installation commander, letter to Congressmen, or directly to the 
Secretary of Defense or Army. Each request will be forwarded to the 
authority having the item and having the authority to approve the 
request. (See appendix B and table 2-1.) In cases where approval is 
questionable, the request may be submitted through channels to HQDA 
(DALO-SMD) WASH DC 20310 (para 2, app B) recommending approval/
disapproval action.
    (f) Loans to the United Kingdom (UK), Canada, and Australia. All 
requests for loans (restricted to materiel for use in the 
``Standardization Program'') to the UK, Canada, or Australia will be 
sent to Commander, DARCOM, ATTN DRC-IRD for approval. AR 795-204 
addresses loans to other allied governments. (See DOD Military 
Assistance and Sales Manual, DOD 5105.38-M.)
    (g) Special Materiel Requests.
    (1) Loan of Communications Security (COMSEC) Equipment. Subject to 
provisions of this regulation, requests for loan of COMSEC equipment 
will be sent to the Commander, US Army Communications Security Logistics 
Agency (para 24, app B) for approval, loan action, and establishment of 
loan records. All loans of Army COMSEC equipment to civilian authorities 
or activities will be according to Technical Bulletin 380-41. Standard 
Form 153 will be annotated to show purpose of the loan, expected date of 
return, and authority for the loan. A copy will be sent to the Director, 
National Security Agency (NSA), ATTN: S3, Fort George G. Meade, MD 
20755.
    (2) Loan of arms and accouterments. Requests for loan of arms and 
accouterments will be sent by requesting agencies directly to the 
Secretary of the Army, Military Support Division, HQDA (DAMO-ODS) (para 
4, app B). Requests received out of this channel will be returned to the 
originator for resubmission. The Secretary of the Army (or designee) is 
the approval authority. See Sec. 623.5 for procedures.
    (3) War reserves and operational project stocks. Regulatory guidance 
with respect to loan of war reserves and operational project stocks to 
DOD organizations is found in chapter 8, AR 710-1. Loans of war reserves 
and operational project stocks to non-DOD activities will be according 
to this regulation and must be approved by HQDA (DALO-SMW) (para 3, app 
B).
    (4) Loan of historical property and art. Requests for loans of Army 
historical property and military art will be sent to the Commander, US 
Army Center of Military History (para 4, app B). Specific information on 
such loans is found in AR 870-15 and AR 870-20.



Sec. 623.4  Accounting procedures.

    (a) Loan Document Format. (1) When the lending accountable property 
officer receives copies of the loan request, loan agreement, surety bond 
(if required), and written loan authorization from the approving 
authority, the loan request will be converted to Military Standard 
Requisitioning and Issue Procedures requisition formal (DD Form 1348) as 
follows: (NOTE: In emergencies, authorization may be made by telephone. 
The format request, agreement, bond, and authorization will follow. 
Informal records should be also maintained.)

                                                                        
------------------------------------------------------------------------
           Card columns                         Code or data            
------------------------------------------------------------------------
1-3...............................  ``AOE''.                            
4-6...............................  RIC of NICP (lender).               

[[Page 599]]

                                                                        
7.................................  Media and status code.              
8-22..............................  National stock number.              
23-24.............................  Unit of issue.                      
25-29.............................  Quantity.                           
30-43.............................  Document number.                    
(30-35)...........................  DODAAC of the requisitioner, if     
                                     applicable, otherwise DODAAC of    
                                     accountable property officer       
                                     (lender).                          
(36-39)...........................  Julian date.                        
(40-43)...........................  Serial number.                      
44................................  ``N'' for nonrecurring demand.      
45-50.............................  Supplemental address (loanee DODAAC)
                                     for DOD units. For non-DOD         
                                     activities enter the shipping      
                                     destination.                       
(45)..............................  ``Y''.                              
(46-49)...........................  Julian date of receipt of loan      
                                     request.                           
(50)..............................  Alphabetic (except I or O)          
                                     indicating which loan of the day is
                                     first; e.g., A-first, B-second,    
                                     etc.                               
51................................  ``M''.                              
52-53.............................  ``G4'' for loans to nonresearch and 
                                     development activities. ``G6'' for 
                                     loans to research and development  
                                     activities.                        
54-56.............................  Blank.                              
57-59.............................  Project code if applicable. Note:   
                                     This will be the same for all      
                                     loans. Project codes will be       
                                     assigned by Chief, Logistic Systems
                                     Support Activity, ATTN: DRXLS-LCC, 
                                     Chambersburg, PA 17201. It will be 
                                     sent by message to all interested  
                                     addresses.                         
60-61.............................  Priority.                           
62-64.............................  RDD.                                
65-66.............................  Blank.                              
67-69.............................  Depot RIC.                          
70................................  Purpose code.                       
71................................  Condition code.                     
72................................  Management code.                    
73-80.............................  Blank.                              
------------------------------------------------------------------------

    (2) Loaned property will be kept on the accountable records of the 
owning property account. The entry showing the quantities loaned will be 
supported by DD Form 1348-1 (receipt document), and copies of the loan 
agreement and surety bond (if required). The receipt document must be 
signed by the responsible official of the borrowing activity. It is then 
returned to the accountable property officer as a valid hand receipt for 
property accounting purposes.
    (3) Loans will be processed by accountable property officers 
according to normal supply procedures except as modified by this 
regulation.
    (4) Accountable property officers will keep loan files with enough 
documentation to provide an audit trail for loan transactions and a 
single source of accounting and billing for reimbursement. No separate 
property book accounts will be set up for these loans. Items, with dates 
shipped, will be identified by use of ``loan control numbers'' in loan 
jacket files and in supporting documentation. The files will include 
copies of--
    (i) The loan request. If the request was made by telephone (urgent), 
a copy of the Memorandum for Record prepared to summarize the call will 
be used.
    (ii) The loan agreement.
    (iii) The surety bond (with cash, certified check, US treasury 
bonds, or adequate bond from a bonding company).
    (iv) The approving authorization to make the loan.
    (v) DD Form 1348-1 used for shipping the items.
    (vi) A master loan register with the loan control number and 
shipping document number.
    (b) Shipment of Loaned Materiel. (1) Loaned Army materiel will be 
shipped only to the chief of the borrowing activity or to a designee 
authorized to receive and sign for the materiel. To keep the materiel 
out of unauthorized hands, consignees (receivers) will be advised of the 
items and quantities to be loaned; the source of supply; whether the 
items are to be picked up or shipped; and of shipments made.
    (2) All shipments of loaned equipment will be documented on DOD 
single line item ``release or receipt'' document (DD Form 1348-1). These 
will be initiated by the lending accountable property officer. Packing, 
crating, handling, estimated transportation costs, and serial numbers 
(if applicable) of items shipped will be shown on all copies. The 
consignee will be given advance copies of the DD Form 1348-1 as notice 
of shipment, and a list of DD Form 1348-1 document numbers. For loans to 
non-DOD activities two copies of the certificate below will be prepared 
by the accountable property officer (see fig. 1). It will accompany the 
DD Forms 1348-1.
    ``I certify receipt of and assume responsibility for the Army 
materiel listed on DD Form 1348-1. Control numbers on DD Form 1348-1 
follow. The items were received in good condition except as noted on the 
DD Form 1348-1. Serial numbers have been verified (omit if not 
applicable).''

 _______________________________________________________________________
Signature of responsible officer
 _______________________________________________________________________

[[Page 600]]

Typed name of responsible officer
 _______________________________________________________________________
Address of responsible officer
 _______________________________________________________________________
Date certificate was signed

                  Figure 1. Sample receipt certificate

    (3) One copy of each signed DD Form 1348-1 (for non-DOD activities, 
one copy of the signed certificate) will be returned to the accountable 
property officer. Also, one copy of each will be kept in the borrower's 
file.
    (4) The installation or depot transportation officer is responsible 
for coordinating movement of the items that must be shipped.
    (5) Shipments, including those to foreign countries, will be made on 
commercial bills of lading (CBL). Freight charges will be paid by the 
borrower. The CBL will cite proper project codes. NOTE: In emergencies 
where use of CBL would delay shipment, government bills of lading (GBL) 
may be used subject to later reimbursement. Shipments to Boy Scout World 
Jamborees in foreign countries will be by GBL unless otherwise specified 
by the Boy Scouts.
    (6) Shipments will be consolidated to the maximum to get the lowest 
charges available.
    (7) Separate shipping instructions will be provided for each 
recipient, convention, jamboree, etc., to ensure correct consignee and 
railhead addresses.
    (8) Transportation will be at no expense to the government. The 
Defense Transportation Services (Military Sealift Command, Military 
Airlift Command, and Military Traffic Management Command) will send all 
billings for such transportation costs to the US Army Finance and 
Accounting Center (USAFAC). The USAFAC will then bill the fiscal station 
servicing the accountable property office that made the loan. This 
fiscal station will then bill the borrower for these transportation 
costs. Army materiel loaned to non-DOD activities is not authorized for 
oversea movement on a space available basis by MSC or MAC without their 
prior approval.
    (c) Receipt of Borrowed Property. (1) The person authorized to 
receive the materiel (whether shipped or picked up) will check the 
quantities received against the quantities shown on the DD Form 1348-1. 
This person will also verify the condition of the materiel. Any 
variation in quantity or condition must be resolved at once. If the 
shortage or damage is not due to a common carrier, the borrower will 
give the accountable property officer the National Stock Number, 
document number, and an explanation of the variation at once. This 
establishes a basis for assessing charges on termination of the loan. 
Replacement shipments, when required, will be covered by a DD Form 1348-
1. All variations will be noted on the reverse side of the bill of 
lading.
    (2) When a DD Form 1348-1 has not been received by the borrower and 
does not accompany the shipment, an informal report will be made to the 
accountable property officer at once. It will include the nomenclature, 
quantities, condition, and if applicable, the model numbers and serial 
number of all material received.
    (3) When shipment has been verified, the borrower (or designee) will 
enter the quantity received on two copies of the DD Form 1348-1. Serial 
numbers will also be entered for serial numbered items. The completed 
copies of the DD Form 1348-1 will be signed by the authorized person. 
One copy of the DD Form 1348-1 and one copy of the signed certificate 
(receipt of the materiel) will be returned to the accountable property 
officer.
    (4) If shipments are received damaged or short, take action 
described in Sec. 623.4(g).
    (d) Accounting by Borrower. Non-DOD borrowing activities should 
maintain a system of jacket files. This should include copies of all 
documents that authorize the loan of materiel and relate to loan 
transactions. Such files will insure return of materiel within the 
approved loan period. Files should be retained for audit or any other 
purpose as required. These files may be destroyed upon turn in of the 
borrowed materiel, final completion of accounting, and reimbursement for 
Army costs related to the loan. DOD borrowers will conform to the 
requirements contained in existing regulations.
    (e) Return of Borrowed Materiel--(1) General. (i) Borrowed materiel 
will be returned to the Army in the condition received, less fair wear 
and tear, unless

[[Page 601]]

the terms of agreement specify otherwise.
    (ii) Property for which repair cost is claimed will be held at the 
Army depot or installation until final charges are determined and a 
release is given by respective property officers.
    (iii) Return of materiel loaned to rifle clubs and schools will 
conform with Sec. 623.5.
    (2) Accountable property officer actions.
    (i) At the end of a loan period, recall, or upon notice by the 
borrower that the loaned materiel is no longer needed, the accountable 
property officer will send a letter of instruction to the borrower for 
return of the materiel. He will verify or modify the turn-in 
instructions provided in the loan agreement.
    (ii) These procedures will be used by accountable property officers 
to terminate loans:
    (A) For loans up to 30 days no specific termination action is 
necessary except when materiel is not returned by the loan due date. 
Then, a written loan termination notice will be sent to the borrower. A 
follow-up notice will be sent every 15 days until the materiel is 
returned or other settlement is made.
    (B) For all other loans 15 days before the loan is due, a loan 
termination notice will be sent by the lending activity to the borrower 
verifying (or modifying) the turn-in instructions.
    (C) Follow-up of loan termination notice will be made every 15 days 
until the materiel is returned or other settlement is made.
    (iii) After receiving inspection reports (Sec. 623.4(e)(3)) and 
final shipment receipts, the accountable property officer will clear the 
loan records.
    (iv) The accountable property officer will then advise the borrower 
of the transaction completion by furnishing receipted copies of the 
receiving document(s).
    (v) The accountable property officer will notify the servicing 
finance and accounting office (FAO) of any reimbursement required.
    (3) Actions by the receiving installation, depot, or arsenal. (i) 
The installation, depot, or arsenal receiving activities will inspect 
returned materiel.
    (A) If the quantity received differs from the quantity shipped, the 
actual quantity received will be entered on the DD Form 1348-1.
    (B) If the condition of the property differs from that noted on the 
DD Form 1348-1, the variation will be stated.
    (ii) Loaned materiel returned in an unserviceable condition will be 
inspected by qualified technical inspectors at installation level and by 
quality assurance activities at depots to determine condition code.
    (A) If the condition of returned materiel is the same as noted on 
the receipt document or the prepositioned materiel receipt card, the 
item will be processed as a normal receipt.
    (B) If there is a discrepancy in the actual condition of the item or 
in the assigned code on the receipt document, obtain an estimate of 
repair cost and continue normal receipt documentation processing.
    (C) The receiving depot or installation will prepare an Inspection 
and Surveillance Report for each returned item that needs repair. Cards 
will also be prepared for shortages. The cards will include the cost of 
equipment repair or the value of shortage. A minimum of two copies of 
each report will be sent to the proper acountable property officer.
    (f) Loan Inventories. (1) If a loan has been approved or extended 
(by the SA) for a period longer than 1 year, the accountable property 
officer will inspect and reconcile loan accounts with the borrower at 
the end of each 12-month period.
    (2) If no discrepancies are noted, the accountable property officer 
will file the signed annual inventory form in the borrower's memorandum 
receipt jacket file.
    (3) If the inventory shows that amounts and kinds of Army materiel 
for which the borrower is responsible differ from that actually in his 
possession, the accountable property officer will--
    (i) For overages, assume accountability for the overages noted on 
the annual inventory form. Use a copy of the annual inventory form as a 
debit voucher to the account. No approval of this voucher is needed.

[[Page 602]]

    (ii) For shortages, act to obtain reimbursement for the value of the 
missing property or to adjust the discrepancy by report of survey.
    (g) Lost, Damaged, and Destroyed Materiel. (1) When loss or damage 
occurs during shipment, DOD and Federal agencies will refer to AR 55-38 
for specific instructions.
    (2) Damage or loss which is the fault of the carrier will be billed 
to the carrier after reconciliaton.
    (3) Army materiel lost, damaged, or destroyed while in the 
possession of rifle clubs or schools will be handled as described in 
Sec. 623.5.
    (4) Any Army materiel loaned at the request of an FDAA Regional 
Director which is not returned according to instructions in this chapter 
will be reported to the borrower and to the FDAA Regional Director. The 
latter will arrange for proper reconciliaton and reimbursement.



Sec. 623.5  Loan of arms and accouterments.

    (a) General. (1) Loan of arms and accouterments requires special 
processing and handling. Loans to DOD and non-DOD activities will be 
handled as a normal loan according to instructions in this section with 
the added requirement of maintaining serial number visibility. Loans of 
arms and accouterments as included herein are not applicable to Army 
National Guard (ARNG).
    (2) The Commanding General, Armament Readiness Command (ARRCOM) 
(ATTN: DRSAR-MMS) has been designated by Commanding General, Materiel 
Development and Readiness Command (DARCOM), as being responsible for 
keeping a centralized serial number visibility record for all small arms 
made for the Army. ARRCOM maintains accountable property records for 
loans to organizations such as the Director of Civilian Marksmanship 
(DCM); and for loans to non-DOD activities such as the Federal Bureau of 
Investigation (FBI), United States Secret Service (USSS), United States 
Customer Service (USCS); or rifle clubs, educational institutions, and 
veterans' organizations.
    (3) Requests for loan of arms which are type classified standard 
(logistics control code A or B) will be filled with the lowest type 
classified items available.
    (4) Borrowers of Army arms will be fully responsible for the care, 
custody, and proper use of loaned materiel. Physical security measures 
must be equal to or greater than the minimum requirements set forth in 
Army Regulation 190-11 and Army Regulation 190-49.
    (5) If borrowed arms are lost, stolen, or unaccounted for, the 
borrower must inform the lender (accountable property officer), the 
local police, and the FBI within 24 hours after discovery.
    (6) This regulation does not apply to arms issued to Reserve 
Officers Training Corps units under the National Defense Act. Army 
Regulation 710-2 is applicable.
    (b) Loans to Civilian Activities (Other Than Rifle Clubs and 
Educational Institutions). (1) Arms and accouterments may be loaned by 
the Army to civilian authorities and to civilian activities as follows: 
(Sec. 623.5(c) covers rifle clubs and institutions.)
    (i) For use in protection of public money and property (10 U.S.C. 
4655).
    (ii) Obsolete or condemed rifles (not more than 10), slings, and 
cartridge belts may be loaned to local units of any national veteran's 
organization for use by that unit in ceremonies. (For example, a funeral 
for a former member of the armed forces.) The organization must be 
recognized by the Veterans' Administration (VA) (10 U.S.C. 4683).
    (iii) Arms and accouterments loaned to organizations listed in 
Sec. 623.5(c)(1) for a period of 1 year or less will be accounted for by 
ARRCOM. Loans of items that exceed 1 year will be accounted for by the 
DCM under Sec. 623.5(c).
    (2) Requests for loan (or extension of loan) of Army arms and 
accouterments will be sent by requesting agencies through HQDA (DALO-
SMD), (para 2, app B) to the Secretary of the Army. Requests received 
outside of this channel will be returned to the originator for direct 
submission to the address above.
    (3) Requests approved by the Secretary of the Army (or Under 
Secretary) will be sent to ARRCOM, (para 12 app B) Rock Island, IL 
61299, for

[[Page 603]]

completion of a formal loan agreement and issue of items.
    (4) Requisitioning, accounting, and reimbursement procedures are 
given in Sec. 623.4. However, upon receipt of signed copies of DD Form 
1348-1 with the listing of verified serial numbers from the consignee, 
the ARRCOM Arms and Accouterments Property Officer will send the 
required transaction data to the DOD Small Arms Serialization Program 
(DODSASP) at ARRCOM. These data will indicate that the small arms on 
loan to other Government agencies are accounted for under DOD Activity 
Address Code W52P41.
    (5) Shipment and returns are described in Sec. 623.4 except as 
follows:
    (i) The responsible property officer for materiel or loan will 
request disposition instructions from the accountable property officer 
when loaned materiel is no longer needed or at the end of the loan 
period. Loaned materiel may be withdrawn from the borrowing activity at 
any time to satisfy military requirements.
    (ii) The accountable property officer will:
    (A) Issue shipping instructions for the return of property to a 
designated installation. The letter of instruction will contain a 
MILSTRIP document number (AR 725-50) for each line item scheduled for 
return to be used for the shipment. The shipper will be directed to cite 
this document number on the shipping document.
    (B) Prepare and submit to the receiving installation a prepositioned 
materiel receipt card (DOD Materiel Receipt Document (DD Form 1486)) 
(Document Identifier DWC) as advance notice of the shipment.
    (1) Exception data will be annotated as follows: ``Return of Loan 
from Other Government Agency--Report Receipt of Arms and Accouterments 
Accountable Property Officer, ATTN: DRSAR-MMD.''
    (2) A copy of the letter of shipping instructions (paragraph 
(b)(5)(ii) of this section) will be inclosed with the prepositioned 
materiel receipt card for information.
    (iii) Upon receipt at the receiving installation, property will be 
inspected immediately. Cost of repairing unserviceable items and cost of 
replacement, if irreparable, will be determined at time of inspection. 
The MILSTRIP receipt card will be mailed to the accountable property 
officer with estimated damage cost and detailed materiel condition as 
exception data.
    (iv) Upon notification of materiel receipt, the accountable property 
officer will:
    (A) Clear the loan record with a credit entry and process the 
receipt to the inventory records as an increase on hand to asset 
balance.
    (B) Furnish receipted copies of the receiving document to the 
consignor and the responsible property officer closing the transaction.
    (c) Loans to Rifle Clubs and Educational Institutions--(1) 
Authorization. Arms and accouterments may be loaned to rifle clubs and 
educational institutions for periods established in table 2-2 under the 
following conditions:
    (i) Rifled arms may be loaned to civilian rifle clubs for promotion 
of marksmanship training among able-bodied US citizens (10 U.S.C. 4308).
    (ii) Arms, tentage, and equipment, as the Secretary of the Army 
deems necessary, may be loaned to an educational institution to provide 
proper military training where there is no ROTC, but there is a course 
in military training prescribed by the Secretary of the Army and there 
are at least 100 physically fit males over 14 years of age (10 U.S.C. 
4651).
    (iii) Magazine rifles and appendages may be loaned to schools having 
a uniformed corps of cadets of sufficient number for target practice. 
Models loaned must not be in use at the time, or needed for a proper 
reserve supply (10 U.S.C. 4652).
    (iv) Ordnance and ordnance stores may be loaned to Washington, DC, 
high schools for military instruction and practice (10 U.S.C. 4653).
    (v) Obsolete ordnance and ordnance stores may be loaned to 
educational institutions and to State soldiers', sailors', and orphans' 
homes for drill and instruction if recommended by the Governor of the 
state or territory concerned (10 U.S.C. 4685).
    (2) Director of Civilian Marksmanship (DCM). The President may 
detail an officer of the Army or Marine Corps as

[[Page 604]]

Director of Civilian Marksmanship (10 U.S.C. 4307). The DCM is 
responsible for--
    (i) Control and accountability of Army materiel issued to civilian 
rifle clubs;
    (ii) Policies and procedures for the issue of arms and ammunition to 
civilian rifle clubs; and
    (iii) Ensuring proper bonding of clubs before issue of Army 
materiel. The Secretary of the Army has further made the DCM similarly 
responsible for loans to institutions (schools).
    (3) Property transactions. US Army Armament Materiel Readiness 
Command (ARRCOM) will transfer accountability for materiel shipped to 
civilian rifle clubs and institutions to the DCM. The DCM will keep a 
mission stock record account for these items as shown in Army Regulation 
710-2. In addition, the account will note all property transactions 
between the DCM and civilian rifle clubs and institutions as follows:
    (i) Loan and return of arms and accouterments to (from) civilian 
rifle clubs and institutions will not be posted to the accountable 
record as loss or gain vouchers. They will be posted as ``loan 
transactions'' with the DCM retaining accountability. In addition to 
debit, credit, and adjustment voucher files, the DCM accountable 
property officer will keep a ``loan voucher'' file in two sections; 
e.g., ``active'' and ``terminated.''
    (A) The active section (suspense for items on loan) will contain DD 
Form 1348-1 or a letter acknowledging receipt of the items. (The 
signature of the borrower will be according to paragraph (4) (v) or (vi) 
of this section.) This section will contain a folder for each activity 
serviced by the DCM. The active loan vouchers will be filed in National 
Stock Number and voucher number sequence. This section serves as the DCM 
loan record.
    (B) The terminated section (for items no longer on loan) will 
contain the original loan shipping document (loan voucher). The return 
receipt document which terminates the loan will be attached. The receipt 
document will contain the original shipping document number and the 
return advice code ``IQ.''
    (ii) Shipments of expendable items (e.g., ammunition, targets, etc.) 
will be posted as a credit to the accountable record. Accountability 
will be dropped (These items are deemed to have been consumed at the 
time of issue).
    (iii) Expendable items returned by rifle clubs and institutions will 
be posted to the accountable record as a debit voucher. The DCM will 
determine disposition of these items.
    (4) Requisition procedures. (i) The DCM will prepare requisitions 
based on information from the rifle clubs or institutions. DA Form 1273 
(Requisition for Articles Authorized for Issue to Civilian Rifle Clubs) 
will be used. Two completed copies of the requisition will be sent to 
the requester.
    (ii) The rifle club or institution will complete the form and return 
one signed copy to the DCM, HQDA, Secretary Field Directorate 
Marksmanship (SFDM), (para 7, app B) and keep one copy for file.
    (iii) On receipt of the signed copy of DA Form 1273, the DCM will 
take proper issue action. When more arms are required by the DCM, a DD 
Form 1348 will be prepared and sent to the Secretary of the Army for 
approval (AR 725-50).
    (iv) The supply source responsible for the loan will ship the 
materiel directly to the rifle club or school.
    (v) DD Forms 1348-1 received with the shipment or by mail, will be 
annotated and signed by the person authorized to receive and sign for 
property for the rifle club or school. The quantity and condition of the 
items received will be entered thereon. This entry will be based on a 
physical check and inspection of the materiel. Serial numbers of items 
received (if applicable and not noted) will also be entered. Two of the 
completed copies will be signed by the person authorized to sign for the 
club or institution. They will be mailed to the DCM, HQDA Secretary 
Field Directorate Marksmanship (SFDM). The third completed copy will be 
kept in the unit's file.
    (vi) If a DD Form 1348-1 is not received with the shipment or is not 
received by mail, a receipt letter will be sent to the DCM. It will set 
forth the nomenclature, quantities, condition, and serial numbers (of 
serial-numbered

[[Page 605]]

items) of all property received. This letter will be sent as soon as 
possible after receipt of the property. The receipt letter will be used 
by the DCM as a loan voucher. One copy will be recorded in the voucher 
register and placed in the voucher file. The loan action will be posted 
to the DCM stock record account.
    (5) Property returns. When property is returned by civilian rifle 
clubs or institutions, the DCM will prepare seven copies of the DD Form 
1348-1. Five copies will be mailed to the rifle club or institution; one 
will be kept in suspense in the club's or institution's jacket file; and 
one will be sent to the US Army Management Systems Support Agency 
(USAMSSA), Wash., DC 20310, to update the ``rifles intransit program.'' 
The rifle club or institution will enter on the five copies the shipment 
date, how shipped, the quantity shipped, and other necessary data not 
entered by the DCM and distribute the five copies as follows:
    (i) Two copies to the consignee (receiving depot, arsenal, or 
installation). One copy of the DD Form 1348-1 received by the consignee 
will be used to tally the shipment and to account for property received. 
The other copy will be signed by the accountable property officer (or 
representative) and will be sent to the DCM to terminate the open 
receipt in the loan voucher file.
    (ii) One copy with the shipment.
    (iii) One copy to the DCM, HQDA (SFDM), accompanied by the bill of 
lading (where available).
    (iv) One copy retained by the rifle club or institution.
    (6) Lost, damaged, or destroyed property. Loss, damage, or 
destruction of property in the possession of a rifle club or institution 
will be reported within 24 hours by telephone to the DCM (202-693-6460), 
the local police, and the FBI. All public and local laws must be 
complied with. Rifles and other equipment (except ammunition) that 
becomes unserviceable will be reported to the DCM by the club or 
institution. The DCM will give instructions for return of the equipment 
without expense to the government. Any equipment damage or loss that is 
the fault of the club or institution will be determined by a report of 
survey (AR 735-11). The club or institution must then reimburse the DCM. 
The DCM may replace damaged equipment after reimbursement. Government 
property lost or destroyed without fault or neglect on the club's part 
will be replaced, if replacements are available. The club will pay only 
shipping and handling charges.
[AR 700-131, 45 FR 62038, Sept. 18, 1980; AR 700-131, 61 FR 45890, Aug. 
30, 1996]



Sec. 623.6  Reimbursement for loan of Army materiel.

    (a) Reimbursement Policies and Procedures. (1) Policies. (i) DA 
elements do not program for costs related to loan of Army materiel.
    (ii) Loans to non-DOD Federal activities are made on the basis that 
there will be no extra cost to the Army. Costs that are in addition to 
normal Army operating expenses will be reimbursed by the borrower. This 
provision will be a part of the loan agreement.
    (iii) In cases of aircraft piracy, civil disturbance, disaster 
relief, or protection of the President or visiting dignitaries, 
emergency support will not be withheld for lack of a formal 
reimbursement agreement. In these cases, the supporting Army element 
will absorb initial costs (within existing fund availability). 
Reimbursement will be coordinated later.
    (iv) Loans made under the provisions of Title 10 U.S.C. 2667 will 
provide that the borrower must pay a fair monetary rental. The fair 
monetary rental will be determined on the basis of prevailing commercial 
rates or computed by sound commercial accounting practices including a 
return on capital investment and administrative cost as well as 
depreciation. Leases made under this code section will include a 
provision establishing the rental cost of the materiel and method of 
payment.
    (v) The Army National Guard (ARNG) is responsible for reimbursement 
of costs, over and above normal DA operating expenses, related to the 
borrowed Army materiel.
    (vi) Support to the United States Secret Service (USSS) will be on a 
reimbursable basis except for costs directly related to protection of 
the President

[[Page 606]]

or Vice President. Requests for reimbursement for all other support for 
USSS will be according to AR 37-27.
    (vii) The cost of emergency support will be billed directly to the 
recipient.
    (2) Procedures. (i) The Army accountable property officer handling 
the loan of DLA stock fund items will coordinate DLA billings and 
borrower reimbursement. The borrower can make payment directly to the 
Defense Stock Fund.
    (ii) Installation financial accounting for ``accounts receivable'' 
will conform with Army Regulation 37-108.
    (iii) The finance and accounting office (FAO) supporting the 
supplying accountable property officer will record all charges, 
including accounts receivable of Army Stock Fund offices (or branch 
offices), in separate ledger accounts for each borrower.
    (iv) Charges and collections recorded in each loan account will be 
reported per Army regulations and directives prescribing the reporting 
of the fund status in any current fiscal year.
    (v) Billing will be initiated on Standard Form 1080, and sent to the 
borrower within 30 days of turn-in of materiel and loan termination. For 
loans of arms and accouterments and issue of ammunition pursuant to 10 
U.S.C. 4655, the Standard Form 1080 will be annotated to show that 
collections are to reimburse DA appropriations.
    (vi) Special appropriations established to support disaster relief 
will be used promptly by Army commanders concerned to ensure that all 
direct expenses are charged to the special appropriation. Exclude those 
charges subject to reimbursement by the American National Red Cross 
(ANRC). ANRC reimburses for supplies, materiel, and services for which 
they are responsible in the disaster area.
    (b) Reimbursable Costs. Unless specifically stated, borrowing 
agencies, authorities, and activities will reimburse the Army for all 
costs related to loan of Army materiel to include but not limited to the 
following:
    (1) Any overtime pay and pay of additional civilian personnel 
required to accompany, operate, maintain, or safeguard borrowed 
equipment.
    (2) Travel and per diem expenses of Army personnel (military and 
civilian).
    (3) Packing, crating, handling, and shipping from supply source to 
destination and return. This includes port loading and off loading.
    (4) All transportation including return for repair or renovation.
    (5) Hourly rate for the use of Army aircraft.
    (6) Petroleum, oil, and lubricants (POL) (including aviation fuel).
    (7) The cost of materiel lost, destroyed, or damaged beyond 
economical repair except for Army aircraft, motor vehicles, or motor 
craft used in connection with aircraft piracy.
    (8) Utilities (gas, water, heat, and electricity). Charges will be 
based on meter readings or other fair method.
    (9) Any modification or rehabilitation of Army real property which 
affects its future use by DA. In such cases the borrower will also bear 
the cost of restoring the facility to its original form.
    (10) Repair/overhaul of returned materiel. Renovation and repair 
will conform with agreement between the Army and the borrower. (See 
paragraph (e)(1) of this section.)
    (11) Repair parts used in maintenance or renovation.
    (12) Price decline of borrowed stock fund materiel at which returned 
property can be sold.
    (c) Nonreimbursable Costs. The following costs are normal operating 
expenses of the Army for which no reimbursement is required:
    (1) Regular pay and allowances of Army personnel (except travel) and 
per diem costs.
    (2) Administrative overhead costs.
    (3) Annual and sick leave, retirement, and other military or 
civilian benefits except as provided in certain cases; e.g., Army 
Industrial Fund regulations.
    (4) Telephone, telegram, or other electrical means used to 
requisition items, replenish depot stocks, or coordinate the loan.
    (5) Charges for the use of Army motor vehicles and watercraft except 
POL and per diem costs (paragraph (b) of this section).
    (6) The use of real property (except as required for utilities, 
modification, etc.).

[[Page 607]]

    (d) Funding Records. (1) Records of all costs (other than normal 
operating expenses), related to loans of Army materiel, will be kept at 
the accountable property officer level by the supporting finance and 
accounting office. This will be done within existing Army financial 
accounting systems.
    (2) Separate subsidiary general ledger accounts and/or files of 
documents showing the total value of all issues and materiel returned 
for credit, and supporting documentation will be set up by the finance 
and accounting office. The accounts will be kept current for each loan 
action so reports may be made as prescribed; and so that accounts 
receivable can be processed for billing and collection action.
    (e) Determination of Charges and Settlement. (1) Returned materiel 
will be promptly classified by a qualified inspector with action as 
follows:
    (i) Materiel classified as unserviceable, uneconomically reparable 
will be billed at 100 percent of value.
    (ii) Materiel classified as unserviceable, economically reparable 
will be billed for reduced utility (if appropriate) as well as for 
repair/overhaul costs.
    (iii) The depreciation of borrowed materiel will be determined by 
technical inspectors according to Army Regulation 735-11. When qualified 
inspectors are not available, returned property will be received with 
``condition'' shown as ``subject to final classification by DA.'' 
Accountable property officers will complete classification promptly so 
charges and billing can be made within 30 days of return of materiel.
    (2) All returned property which needs repair will be examined by a 
technical inspector to find cost of repair. Then the accountable 
property officer will prepare a property transaction record with 
supporting documents. These records will be sent to the proper MACOM 
commander or CINC of UCOM for final review. They will include--
    (i) A statement on the transaction record identifying the financial 
account to which the reimbursement money is to be deposited.
    (ii) A statement on the transaction record (if appropriate) as 
follows: ``The losses and/or damages shown on the Property Transaction 
Record in the amount of $------ represent the total claim by the US Army 
for property loaned to ----------------. Upon settlement and deposit to 
the proper account, lender releases the ---------------- from further 
obligations.''
    (iii) A description of the type and degree of repair (separate 
addendum).
    (3) After the final review, an approved list of charges will be sent 
to the servicing finance office for collection. The property will be 
released for repair and returned to stock.
    (4) The finance office will send a letter to the borrower requesting 
payment (payable to the Treasurer of the United States). Upon payment, 
collection documents will be prepared and fiscal accounts credited. The 
MACOM or UCOM Surgeon will ensure the stock fund is reimbursed for 
expendable medical supply losses reported.
    (5) The finance office will advise the loaning accountable property 
officer that settlement has been made. Property transaction records will 
be closed.
    (6) The approving authority will then return the bond to the 
borrower.
    (7) The value of supplies and equipment returned to the Army will be 
credited to the account originally debited at the time of issue. FDAA 
Regional Directors may find that it is not in the public interest to 
return borrowed materiel that has not been consumed, lost, or damaged. 
They will negotiate with the CONUS Army concerned for proper 
reimbursement for the borrowed materiel not returned.
    (f) Delinquent and Uncollectable Accounts. (1) In cases of 
unsatisfactory settlement, bond proceeds will be used to satisfy the 
claim.
    (2) If this does not settle the account, then 6 months after the 
final report and after all collection efforts have failed--
    (i) Servicing finance offices will send delinquent ``accounts 
receivable'' reports to commanders of CONUS Armies and DARCOM readiness 
commands, and to CINCs of UCOMs, by forwarding--
    (A) Duplicate copies of Standard Form 1080 billing documents showing 
complete accounting classification to which reimbursement is to be 
credited.

[[Page 608]]

    (B) Duplicate copies of all supporting documents.
    (C) One copy of any correspondence showing the reason(s) for 
nonpayment of the account.
    (ii) The CONUS Army Commanding General, CINC of UCOM, or Commanding 
Generals of DARCOM Materiel Readiness Commands, will also try to collect 
for these delinquent accounts. If all efforts fail, these accounts, 
(with any delinquent accounts applicable to billings initiated within 
their own headquarters) will be sent to the Director of Comproller 
Systems, HQDA (DACA-BUS). (Para 1, app B). The letter of transmittal 
will state that the accounts are transferred according to this 
regulation. A copy will be sent to the FAO handling the accounts. The 
FAO will then transfer the account to inactive status. A Standard Form 
1017G (Journal Voucher) will be prepared showing a debit to account 3052 
(Transfer of Accounts Receivable) and a credit to the proper accounts 
receivable.
    (iii) Appropriations available to the accountable property officer 
or installation will be used for reimbursing; e.g., the Army Stock Fund 
or Army Industrial Fund accounts. Any later reimbursements received will 
be credited to the Army appropriation from which payment was made.
    (3) Upon receipt of the accounts included in paragraph (f)(2) of 
this section, the Comptroller, HQDA (DACA-BUS), will take further 
collecton action under normal operating procedures. All later collection 
action is the responsibility of the Comptroller. Accounting records and 
reports will conform with normal procedures. When further collection 
effort by the Comptroller fails, these accounts will be dropped from 
receivable balances of the Army. They will be referred to the General 
Accounting Office (GAO).



Sec. 623.7  Reports.

    (a) General. Reports of Army materiel loaned to non-DOD activities 
must be forwarded as described below.
    (b) Aircraft Piracy. (1) Commands and agencies providing aircraft 
piracy support will initially report through command channels by 
telephone to the HQDA, (DAMO-ODS). (Para 4, app B.) Confirmation will be 
made by electrically transmitted message to HQDA, ATTN: DAMO-ODS. These 
reports are exempt from reports control under Army Regulation 335-15. 
Initial reports will include all available details. Following is a guide 
for content of reports.
    (i) Supporting unit.
    (ii) Home station of supporting unit.
    (iii) Support provided and duration of requirement.
    (iv) Changes, if any, in support requested or duration of 
requirement as made by the Federal civil official in charge.
    (v) Additional remarks.
    (2) A final report noting termination of support will be made.
    (c) Civilian Rifle Clubs and Schools. (1) Each affiliated club and 
institution (schools) must file an annual report (DA Form 1277, Annual 
Statistical Report of Civilian Rifle Club) on the anniversary date of 
the loan with the DCM.
    (2) A roster of club members will list each member required to fire 
annually. It will include the full name, address, and age; the DCM 
course; score; and the date the member fired for record.
    (3) A description of the club's procedures and facilities for 
safekeeping arms and ammunition will be appended to the roster of club 
members.
    (d) Civil Disturbances. (1) Requests to meet civil disturbances are 
of two types:
    (i) Type I--Requests to meet an urgent need during an actual 
disorder.
    (ii) Type II--Requests in anticipation of an imminent civil 
disorder.
    (2) Approving authorities, other than the Secretary of the Army, 
will prepare reports (RCS DD-A(AR)1112) on all requests for loan of Army 
materiel to support civil disturbances. The reports will be sent within 
2 working days after receipt of the request. They will be prepared in 
the format shown in Army Regulation 500-60. They will also serve as 
``the request'' when no other written request is available.
    (3) The reports will be sent to the (HQDA (DAMO-ODS)). When reports 
are received from unified or specified commands, ODCSOPS will send an 
information copy to the Joint Chiefs of Staff (JCS) National Military 
Command Center (NMCC).

[[Page 609]]

    (4) The Secretary of the Army will send information copies of civil 
disorder reports to the DOD General Counsel and the US Deputy Attorney 
General.
    (5) Reports of civil disturbance operation costs (RCS DD-A(AR)1112) 
also will be prepared as shown in Army Regulation 500-60.
    (e) Disaster Assistance. When Army materiel is loaned in support of 
disaster assistance, CONUS Army Commanding Generals and UCOM CINCs will 
send reports as follows:
    (1) Initial reports. Initial reports will be made by telephone to 
the Commanding General, FORSCOM (AUTOVON 588-3912), who will, in turn, 
telephone the report to the Military Support Division, ODCSOPS, AUTOVON 
225-2003 or 7045). This will be followed within 12 hours by a Tempest 
Rapid Materiel Report in message form and sent electrically. The message 
report will be prepared according to Army Regulation 500-60.
    (2) Daily message reports. Tempest Rapid Daily Materiel Reports of 
Army materiel loaned to support disaster relief will also be sent by 
electrically transmitted message. The reports will cover the 24-hour 
period from 0601Z to 0600Z. The reports must arrive at the HQDA (DAMO-
ODS), no later than 1100Z the same day. Daily reports will be sent 
according to the format in Army Regulation 500-60 except that part III 
will not be included. Also, ``no change reports'' may be made by 
telephone. On the day of the last daily message report include the words 
FINAL DAILY REPORT in the subject line.
    (3) Final reports. In addition to the final Tempest Rapid Daily 
Materiel Report, a final report on military assistance provided will be 
sent within 45 working days of termination of disaster assistance. The 
CONUS Army Commanding General will send the report by 1st Class Mail 
through the Commanding General, FORSCOM, to the HQDA (DAMO-ODS). The 
final report will include--
    (i) An historic account of the disaster.
    (ii) Cumulative totals of support given.
    (iii) A statement of accomplishments.
    (iv) Actual or estimated expenses excluding costs incurred by the 
Corps of Engineers under Pub. L. 84-99. Costs will be reported by 
Service by appropriation, using three columns to identify normal costs, 
incremental costs, and total costs.
    (v) The status of reimbursements requested from borrowing Federal 
agencies, and civilian authorities and activities. If reimbursement has 
not been completed by the date of the final report, a separate cost 
report will be sent upon final reimbursement payment.
    (vi) Lessons learned.
    (4) Information copies. Information copies of all reports will be 
sent to the proper HUD Regional Directors for FDAA and DCPA Regional 
Offices.
    (5) Additional information. Additional information may be needed by 
Federal officials. Normally, such requests will be telephoned by ODC 
SOPS Military Support Division to the Commanding General, FORSCOM.
    (6) Pollution spills. The Commanding General, FORSCOM, will report 
committal of Army resources to the HQDA (DAMO-ODS), by the fastest 
means. Daily and final Tempest Rapid Materiel Reports will be sent with 
``not applicable'' shown in paragraphs 8, 9, and 10 of the report.
    (f) Drugs and Narcotics Interdiction Program. (1) Army staff 
agencies will submit monthly status reports of actions that support this 
program. The reports will be as of the last day of June and December, 
respectively. Reports will be sent to HQDA (DAMO-ODS), 4 working days 
after the end of the designated months. Reports will summarize all 
support during the period to include pending or terminated support plus 
estimated cost of items.
    (2) Based on information received in these reports, ODCSOPS will 
prepare a report of the drug and narcotics interdiction assistance given 
by the Army. This report will be sent through the Army Chief of Staff to 
the Secretary of the Army.
    (g) United States Secret Service (USSS). Army commands and agencies 
providing materiel support (routine or urgent) to the USSS will report 
any significant problems or deviation from

[[Page 610]]

the approved request at once. Reports will be telephoned through command 
channels.
    (h) Other Reports. Active Army accountable property officers will 
make semiannual reports on open loans. The reports will be prepared as 
of the last day of July and December. They will be sent by the 15th day 
of the following month. These reports will include the items on loan, 
quantity, dollar value, and duration of the loans. The reports will be 
sent to the approving authority.

              Appendix A to Part 623--Explanation of Terms

As used in this regulation, the following explanation of terms apply:
Accouterments. Equipment that is associated with small arms 
          characterized as personal and individual that is available 
          from Army stocks.
Approving authority. The person (or designee) authorized to approve 
          specific types of loans of Army materiel. (See table 2-1 and 
          app B.)
Arms. Weapons for use in war.
Civil authorities. Those elected and appointed public officials and 
          employees who govern the 50 States, District of Columbia, 
          Commonwealth of Puerto Rico, US possessions and territories, 
          and governmental subdivisions thereof.
Civil defense. All those activities and measures designed or undertaken 
          to:
    a. Minimize the effects upon the civilian population caused, or 
which would be caused, by an enemy attack upon the United States.
    b. Deal with immediate emergency conditions which would be created 
by any such attack.
    c. Effect emergency repairs to, or the emergency restoration of, 
vital utilities and facilities destroyed or damaged by any such attack 
(JCS Pub 1).
Community relations program. A program of action, to earn public 
          understanding and acceptance, conducted at all levels of 
          military command wherever stationed. The program includes 
          participation in public events, humane acts, and cooperation 
          with public officials and civil leaders (AR 360-61).
Defense Civil Preparedness Agency (DCPA). A defense department agency 
          responsible for plans and preparations for civil defense and 
          assistance to local governments in disaster relief planning.
Department of Housing and Urban Development (HUD). The Federal 
          department responsible for directing and coordinating Federal 
          assistance for major disasters on behalf of the President.
Domestic action program. A program of assistance to local, State, and 
          Federal agencies for the continued improvement and development 
          of society (AR 28-19 and para 4-10, AR 360-61).
Emergency. Any catastrophe in any of the United States which in the 
          determination of the President requires Federal supplementary 
          emergency assistance.
Emergency medical treatment. The immediate application of medical 
          procedures to wounded, injured, or sick, by trained 
          professional medical personnel.
Executive agent. That individual or his designee authorized to act as 
          the US Government's agent in making certain loans of 
          government materiel. The President of the United States has 
          delegated to the Secretary of the Army (or to his designee, 
          the Under Secretary of the Army) authority, as Executive 
          Agent, to approve certain loans of DOD materiel to non-DOD 
          activities. (See table 2-1.) Other ``approving authorities'' 
          act as ``Executive Agents'' for the US Government, but do not 
          have that title.
Federal agency. Any department, independent establishment, government 
          corporation, or other agency of the executive branch of the 
          Federal Government, except the ANRC.
Federal Coordinating Officer (FCO). The person appointed by the 
          President to operate under the HUD Regional Director for 
          Federal Disaster Assistance Administration to coordinate 
          Federal assistance in Presidentially declared emergency or 
          major disaster.
Federal Disaster Assistance Administration (FDAA). The agency within HUD 
          delegated the disaster relief responsibilities previously 
          assigned to the Office of Emergency Preparedness.
Federal function. Any function, operation, or action carried out under 
          the laws of the United States by any department, agency, or 
          instrumentality of the United States or by an officer or 
          employee thereof.
Federal property. That property which is owned, leased, possessed, or 
          occupied by the Federal Government.
Imminent serious condition. Any disaster or civil disturbance which is 
          of such severity that immediate assistance is required to save 
          human life, prevent immediate human suffering, or reduce 
          destruction or damage to property.
Local government. Any county, parish, city, village, town, district, 
          Indian tribe or authorized tribal organization, Alaska native 
          village or organization, or other political subdivision of any 
          State.
Major disaster. Any hurricane, tornado, storm, flood, high water, wind-
          driven water, tidal wave, earth-quake, drought, fire, or other 
          catastrophe which, in the

[[Page 611]]

          determination of the President, is or threatens to be off 
          sufficient severity and magnitude to warrant disaster 
          assistance by the Federal Government. This assistance 
          supplements the efforts and available resources of States, 
          local governments, and relief organization in alleviating the 
          damage, loss, hardship, or suffering caused thereby.
Objective area. A specific geographical location where a civil 
          disturbance or disaster is occurring or is anticipated.
Routine requests. Requests resulting from situations which are 
          reasonably predictable or do not require immediate action to 
          prevent or reduce loss of life, property, or essential 
          services. Reduced efficiency of the requester's operation is 
          not in itself grounds for classifying a request higher than 
          routine.
Small arms. Hand and shoulder weapons for use in war.
Surety bond. A bond, including dollar deposit, guaranteeing performance 
          of a contract or obligations.
Terrorist incident. A form of civil disturbance which is a distinct 
          criminal act committed or threatened to be committed by a 
          group or single individual in order to advance a political or 
          other objective, thus endangering safety of individuals or 
          property. This definition does not include aircraft piracy 
          emergencies.
Threatened major disaster. Any hurricane, tornado, storm, flood, high 
          water, wind-driven water, tidal wave, earthquake, drought, 
          fire, or other catastrophe which, in the determination of the 
          Administrator, FDAA, threatens to be of severity and magnitude 
          sufficient to warrant disaster assistance by the Federal 
          Government. This assistance will be used to avert or lessen 
          the effects of such disaster before its actual occurrence.
Urgent requests. Those resulting from unforeseeable circumstances, civil 
          disturbances, civil defense needs, aircraft piracy, secret 
          service requirements, and disasters when immediate action is 
          necessary to prevent loss of life, physical injury, 
          destruction of property, or disruption of essential functions.
Youth groups. Youth groups are groups such as the Boy Scouts of America; 
          Girl Scouts of the United States of America; Civil Air Patrol; 
          Camp Fire Girls, Incorporated; The Boy's Club of America; 
          Young Men's Christian Association; Young Women's Christian 
          Association; Four H Clubs; and similar groups.

Appendix B to Part 623--Approving Authority Addresses/Telephone Numbers 
                                    *

B-1. HQDA (DACA-BUS), WASH DC 20310, Telephone: AUTOVON 225-6336, WATS 
202-695-6336;
---------------------------------------------------------------------------


    * Telephone numbers are provided for principal loan approving 
authorities and agencies responsible for specific loans IAW table 2-1.
---------------------------------------------------------------------------

B-2. HQDA (DALO-SMD), WASH DC 20310, Telephone: AUTOVON 227-5960, WATS 
202-697-5960;
B-3. HQDA (DALO-SMW), WASH DC 20310, Telephone: AUTOVON 227-3159, WATS 
202-697-3159;
B-4. HQDA (DAMO-ODS), WASH DC 20310, Telephone: AUTOVON 225-2003, WATS 
202-695-2003;
B-5. HQDA (NGB-ZA), WASH DC 20310, Telephone: AUTOVON 227-2430, WATS 
202-697-2430;
B-6. HQDA (DASG-HCL), WASH DC 20310, Telephone: AUTOVON 227-8286, WATS 
202-697-8286;
B-7. Director, Civilian Marksmanship (SFNB) Room 1E-OM3, West Forrestal 
Building, 1000 Independence Avenue, SW., Telephone: AUTOVON 223-6460, 
WATS 202-693-6460;
B-8. Commander in Chief, US Army, Europe and Seventh Army, APO New York 
09403;
B-9. Commander, First US Army, Fort George G. Meade, MD 20755, 
Telephone: AUTOVON 923-7500, WATS 301-677-7500;
B-10. Commander, Fifth US Army, Fort Sam Houston, TX 78234, Telephone: 
AUTOVON 471-4707, WATS 512-221-4707;
B-11. Commander, Sixth US Army, Presidio of San Francisco, CA 94129, 
Telephone: AUTOVON 486-4110, WATS 415-561-4110;
B-12. Commander, US Army Armament Materiel Readiness Command, ATTN: 
DRSAR-MMS, Rock Island, IL 61229;
B-13. Commander, US Army Armament Research and Development Command, 
Dover, NJ 07801;
B-14. Commander, US Army Aviation Research and Development Command, PO 
Box 209, St. Louis, MO 63177;
B-15. Commander, US Army Communications and Electronics Materiel 
Readiness Command, Fort Monmouth, NJ 07703;
B-16. Commander, US Army Communications Research and Development 
Command, Fort Monmouth, NJ 07703;
B-17. Commander, US Army Communications Security, Logistics Agency, 
ATTN: SELCL-NICP-IM, Fort Huachuca, AZ 86513;

[[Page 612]]

B-18. Commander, US Army Forces Command, Fort McPherson, GA 30330, 
Telephone: AUTOVON 588-2694, WATS 404-752-2694;
B-19. Commander, US Army Health Services Command, Fort Sam Houston, TX 
78234;
B-20. HQDA (DAMH-HS), WASH DC 20314;
B-21. Commander, US Army Military District of Washington, Fort Leslie J. 
McNair, Washington, DC 20319;
B-22. Commander, US Army Missile Materiel Readiness Command, Redstone 
Arsenal, AL 35809;
B-23. Commander, US Army Missile Research and Development Command, 
Redstone Arsenal, AL 35809;
B-24. Commander, US Army Security Assistance Center, ATTN: DRSAC, 5001 
Eisenhower Avenue, Alexandria, VA 22333, Telephone: AUTOVON 284-9638, 
WATS 202-274-9638;
B-25. Commander, US Army Tank-Automotive Materiel Readiness Command, 
Warren, MI 48090;
B-26. Commander, US Army Tank-Automotive Research and Development 
Command, Warren, MI 48090;
B-27. Commander, US Army Test and Evaluation Command, Aberdeen Proving 
Ground, MD 21005;
B-28. Commander, US Army Training and Doctrine Command, Fort Monroe, VA 
23651, Telephone: AUTOVON 680-3112, WATS 804-727-3112;
B-29. Commander, US Army Troop Support and Aviation, Materiel Readiness 
Command, 4300 Goodfellow Boulevard, St. Louis, MO 63120.

[[Page 613]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.013



[[Page 614]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.014



[[Page 615]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.015



[[Page 616]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.016



[[Page 617]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.017


[GRAPHIC] [TIFF OMITTED] TC24OC91.018


[[Page 618]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.019


[[Page 619]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.020



[[Page 620]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.021


[[Page 621]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.022


[[Page 622]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.023



[[Page 623]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.024


[[Page 624]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.025


[[Page 625]]


[GRAPHIC] [TIFF OMITTED] TC24OC91.026

                   Appendix H to Part 623--References

AR 1-4  Deployment of DA Resources in Support of the US Secret Service.
AR 15-17  Army Representation on Office of Preparedness; General Service 
          Administration (OP/GSA) Regional Field Boards in Crisis 
          Management Operations.
AR 28-19  Department of the Army Domestic Action Program.
AR 34-1  United States Army Participation in International Military 
          Rationalization/Standardization/Interoperability (RSI) 
          Programs.
AR 37-27  Accounting Policy and Procedures for Intragovernment, 
          Intradefense; and Intra-Army Transactions.
AR 37-44  Accounting Procedures for Guaranteed Loans.
AR 37-48  Accounting and Reporting for Materiel, Services, and 
          Facilities Furnished Allied Governments and International 
          Organizations Under Emergency or Combat Conditions.

[[Page 626]]

AR 37-60  Pricing for Materiel and Services.
AR 37-111  Working Capital Funds--Army Stock Fund; Uniform Policies, 
          Principles, and Procedures Governing Army Stock Fund 
          Operations.
AR 58-1  Management acquisition and use of administration use motor 
          vehicles.
AR 130-44  Logistical Policies for Support.
AR 190-11  Physical Security of Weapons, Ammunition, and Explosives.
AR 190-49  Physical Security of Arms, Ammunition, and Explosives In-
          Transit.
AR 210-55  Funding Support for Morale, Welfare and Recreational 
          Programs, and Facilities.
AR 230-1  The Nonappropriated Fund System.
AR 350-7  Training and Evaluation of Forces for Civil Disturbances.
AR 360-61  Army Information--Community Relations.
AR 500-1  Aircraft Piracy Emergencies.
AR 500-2  Search and Rescue (SAR) Operations.
AR 500-50  Civil Disturbances.
AR 500-60  Disaster Relief.
AR 500-70  Military Support of Civil Defense.
AR 525-90  Wartime Search and Rescue (SAR) Procedures.
AR 700-32  Logistic Support of US Nongovernmental, Nonmilitary Agencies, 
          and Individuals in Oversea Military Commands.
AR 700-49  Loan of DSA Stock Fund Materiel.
AR 700-83  Army Support of United Seamen's Service.
AR 710-1  Centralized Inventory Management of the Army Supply System.
AR 710-2  Materiel Management for Using Units, Support Units, and 
          Installations.
AR 725-1  Requisition and Issue of Supplies and Equipment--Special 
          Authorization and Procedures for Issues, Sales, and Loans.
AR 725-50  Requisitioning, Receipt, and Issue System.
AR 735-5  Property Accountability--General Principles, Policies, and 
          Basic Procedures.
AR 735-11  Accounting for Lost, Damaged, and Destroyed Property.
AR 795-25  Policies, Responsibilities, and Principles for Supply Support 
          Arrangements.
AR 795-204  Policies and Procedures for Furnishing Defense Articles and 
          Services on a Sale or Loan Basis.
AR 870-15  Historical Activities, Army Art Collection.
AR 870-20  Historical Activities, Historical Properties and Museums.
AR 920-15  National Board for the Promotion of Rifle Practice and Office 
          of Director of Civilian Marksmanship.
AR 920-20  Civilian Marksmanship--Promotion of Practice with Rifled 
          Arms.
AR 920-25  Rifles M14M and M14N for Civilian Marksmanship Use.
AR 930-5  Service Organizations--American National Red Cross Service 
          Program and Army Utilization.
FM 20-150  Combatives.
MOU, 25 Apr 75, between DOD and Department of Agriculture and the 
          Interior.
MOU, 24 Jun 75, between DOD and the American National Red Cross for 
          Military Support.



PART 625--SURFACE TRANSPORTATION--ADMINISTRATIVE VEHICLE MANAGEMENT--Table of Contents




Sec.
625.1  Purpose.
625.2  Applicability.
625.3  References.
625.4  OCE Policy.
625.5  General.


Appendix A to Part 625--Dependent Travel Waiver of Liability

    Authority: Comptroller General Decision, B-190440, 20 January 1978.

    Source: 44 FR 63099, Nov. 2, 1979, unless otherwise noted.



Sec. 625.1  Purpose.

    This regulation provides guidance, and authorizes dependents to 
accompany a Corps employee on Temporary Duty (TDY) in a Government-owned 
or leased motor vehicle.



Sec. 625.2  Applicability.

    This regulation is applicable to all field operating agencies 
authorized to operate or lease Administrative Use Motor Vehicles.



Sec. 625.3  References.

    (a) Title 31, U.S. Code, section 638.
    (b) Comptroller General Decision, 25 Comp. Gen. 844(1946) B-57732.
    (c) Comptroller General Decision, 54 Comp. Gen. 855(1975) B-178342.
    (d) Comptroller General Decision, B-190440, 20 January 1978.
    (e) DOD Regulation 4500.36-R June 1977.



Sec. 625.4  OCE policy.

    Pursuant to the authorities, penalties and interpretations cited in 
the preceding references, Commanders/Directors of field operating 
agencies may authorize dependents to accompany a

[[Page 627]]

Corps of Engineers employee during official travel when using a 
Government-owned or leased motor vehicle, providing the following 
procedures and restrictions are adhered to:
    (a) The Commanders/Directors of field operating agencies must make a 
Determination that transportation of the dependent is in ``the interest 
of the Government''.
    (b) A determination of ``the interest of the Government'' is a 
matter of administrative discretion, taking into consideration the 
following limitations:
    (1) The use of motor vehicles shall be restricted to the ``official 
use'' of the vehicles, and any questions concerning ``official use'' 
shall be resolved in favor of strict compliance with statutory 
provisions and policies of this and other pertinent regulations.
    (2) When the travel of the dependent is in ``the interest of the 
Government'' and incidentally provides a convenience to the employee, 
then there can be no objection to the employee's enjoyment of that 
convenience. However, the convenience of itself, provides no 
justification to authorize dependent travel.
    (3) Dependent travel will not be provided or authorized when 
justification is based on reasons of rank or prestige.
    (4) Transportation to, from and between locations for the purpose of 
conducting personal business or engaging in other activities of a 
personal nature by military personnel, civilian officials and employees, 
members of their families or others is prohibited.
    (c) Increased travel time (rest stops) and operational inefficiency 
(added weight) occasioned by the number of dependents to be transported 
will also be considered.
    (d) Dependents must understand and agree never to operate the motor 
vehicle consigned to the employee for official travel.
    (e) Neither the seating capacity nor the size of the motor vehicle 
will be changed or increased to accommodate dependent travel.
    (f) Motor vehicles as used in this regulation applies to all types 
of motor vehicles, owned, consigned to or leased by the Corps of 
Engineers.



Sec. 625.5  General.

    (a) In view of the potential liability the Government could incur by 
allowing dependents to accompany an employee in a government-owned, 
consigned or leased motor vehicle, a Dependent Travel Waiver of 
Liability will be obtained prior to each and every trip. Suggested 
language for such waiver is set forth in appendix A.
    (b) When dependents are to be transported in a GSA rented vehicle, 
an extra signed copy of the Dependent Travel Waiver will be furnished 
the GSA Interagency Motor Pool from which the vehicle is acquired.

      Appendix A to Part 625--Dependent Travel Waiver of Liability

``I __________________________________________
                                                     (Name of dependent)
will be accompanying __________,

                                                      (Name of employee)
who is my __________________________________
                                                          (Relationship)
and who is an employee of __________,

                                                      (Agency, division)

on official Government business in or while using a Government vehicle. 
Dates of travel are from __________ to __________ 19____. I do hereby 
knowingly, freely and voluntarily waive any right or cause of action of 
any kind whatsoever, against the United States, arising as a result of 
such activity from which any liability may or could accrue while 
accompanying the above employee in or while using said Government 
vehicle.''

                                                  Signature of dependent

                                                           Notary Public

                                                                    Date

                                                                    Date



PART 626--BIOLOGICAL DEFENSE SAFETY PROGRAM--Table of Contents




                         Subpart A--Introduction

Sec.
626.1  Purpose.
626.2  References.
626.3  Explanation of abbreviations and terms.
626.4  Responsibilities.

[[Page 628]]

       Subpart B--Biological Defense Safety Policy and Procedures

626.5  Policy.
626.6  Mishap reporting and investigation.
626.7  Administrative and work practice controls.
626.8  Etiologic agent containment.
626.9  Inspections.
626.10  Transportaton of BDP etiologic agents.
626.11  General construction plans.
626.12  Maximum credible event (MCE).
626.13  Controls.
626.14  Waivers and exemptions.

                       Subpart C--BDP Contractors

626.15  Written procedures for contractor review.
626.16  Contracting agencies.
626.17  Contractor changes.
626.18  BDP contract requirements.

                   Subpart D--BDP Studies and Reviews

626.19  Assuring maximum safety.
626.20  Special studies.


Appendix A to Part 626--References
Appendix B to Part 626--Glossary Abbreviations

    Authority: 5 U.S.C. 102, 10 U.S.C. 21, 111, 151-158, 42 U.S.C. 216, 
50 U.S.C. 1431; Pub. L. 101-510, 104 Stat. 1516.

    Source: 57 FR 11368, Apr. 2, 1992, unless otherwise noted.



                         Subpart A--Introduction



Sec. 626.1  Purpose.

    (a) This regulation prescribes Department of the Army (DA) safety 
policy, responsibilities, and procedures for biological defense 
research, development, test, and evaluation (RDTE) operations.
    (b) DA Pam 385-69 prescribes the minimum safety criteria and 
technical requirements for the Army biological defense safety program 
and will be used in conjunction with this regulation to establish and 
implement the biological defense safety program.



Sec. 626.2  References.

    Required and related publications are listed in appendix A of this 
part.



Sec. 626.3  Explanation of abbreviations and terms.

    Abbreviations and special terms used in this regulation are 
explained in the appendix B of this part.



Sec. 626.4  Responsibilities.

    (a) The Assistant Secretary of the Army (Installations, Logistics, 
and Environment) (ASA(IL&E)) establishes overall Army occupational 
safety and health policy and maintains oversight of the following--
    (1) All aspects of environment, safety, and occupational health 
statutory compliance.
    (2) Safe biological defense RDTE operations.
    (b) The Assistant Secretary of the Army (Research, Development, and 
Acquisition) (ASA(RDA)). Establishes overall Army RDA policy and will--
    (1) Integrate, coordinate, and manage Army efforts to increase 
effectiveness of biological defense technologies, materiel research, and 
the development and acquisition program.
    (2) Review and validate all future biological defense RDTE facility 
construction or renovation requirements before any organization 
initiates these construction or renovation programs.
    (c) The Director of Army Safety (DASAF), Office of the Chief of 
Staff, Army (OCSA), administers and directs the Army Safety Program as 
specified in AR 385-10. The DASAF will--
    (1) Manage Army-wide safety policy and guidance for biological 
defense RDTA programs as a part of the Army Safety Program.
    (2) Approve all actions that imply or establish a DA safety position 
for biological defense RDTE covered by this part.
    (3) Represent DA on all biological defense RDTE safety studies and 
reviews.
    (4) Develop safety policy and standards for biological defense RDTE 
operations.
    (5) Develop Army level safety program guidance.
    (6) Conduct an annual management review of the biological defense 
occupational safety and health programs of commands with Biological 
Defense

[[Page 629]]

Program (BDP) operations and responsibilities, to ensure consistency 
with DA policy.
    (7) Conduct biological defense safety evaluation visits, and advise 
the Army Staff (ARSTAF) of concerns, trends, and needed corrective 
actions.
    (8) Develop policies and provide guidance for executing the 
Biological Defense Safety Program.
    (9) Conduct the review of general construction plans for biological 
defense RDTE facilities.
    (10) Establish procedures to investigate biological defense related 
mishaps, referenced in AR 385-40.
    (11) Serve as proponent for Army biological safety training.
    (d) The Commanding General, United States Army Corps of Engineers, 
(CG, USACE) will establish procedures to ensure that biological defense 
RDTE facilities are designed, constructed, and acquired in accordance 
with current Federal, State, Department of Defense (DOD), and DA 
regulatory standards.
    (e) The Surgeon General (TSG) will--
    (1) Develop occupational health standards and medical support 
policies for the BDP.
    (2) Provide advice and guidance for health hazard assessments and 
medical surveillance in accordance with current directives and policies.
    (3) Provide medical guidance for selecting appropriate protective 
equipment for use in the BDP.
    (4) Provide a representative to each BDP special safety study group.
    (5) Provide occupational health support to the DASAF for conduct of 
annual management reviews (Sec. 624.4(c)(6)).
    (f) The Commander, United States Army Medical Research and 
Development Command (USAMRDC), in addition to major Army commands 
(MACOMs) responsibilities, will--
    (1) Conduct safety site assistance visits at BDP Army research 
facilities, on a periodic basis as determined necessary by the DASAF, 
and advise the ARSTAF of findings and recommendations.
    (2) Provide a group member for all other studies and reviews.
    (3) Assist Headquarters, Department of the Army (HQDA) in its 
oversight role of monitoring biological defense RDTE activities 
throughout the Army and advise HQDA on concerns, trends, and corrective 
actions required.
    (4) Assist the DASAF in performing biological defense safety program 
mishap investigations.
    (5) Assist the DASAF in developing biological defense safety policy 
and recommend changes to policies and procedures.
    (6) Serve as the proponent for the BDP Special Immunization Program.
    (g) MACOM Commanders with a BDP mission will--(1) Establish and 
operate an effective safety program.
    (2) Publish a command program to implement HQDA biological safety 
standards and to identify responsibilities for all subordinate 
organizations that maintain, store, handle, use, transport, or dispose 
of etiologic agents used in the BDP.
    (3) Supervise subordinate organizations to ensure that an effective 
safety program, which complies with this regulation, DA Pam 385-69, and 
AR 385-10 is implemented and maintained.
    (4) Ensure that biological defense safety programs comply with the 
provisions of this regulation and DA Pam 385-69.
    (5) Appoint a safety and health manager per AR 385-10, who is 
occupationally qualified under Office of Personnel Management standards 
and has special knowledge of biological safety and health requirements. 
This safety and health manager should be the single point of contact for 
all aspects of the BDP Safety Program.
    (6) Review standing operating procedures (SOPs) for biological 
defense RDTE operations.
    (7) Develop and submit general construction plans for approval 
through command channels to HQDA, Army Safety Office, DACS-SF, WASH DC 
20310-0200.
    (8) Approve or disapprove individual access to etiologic agent 
restricted areas.
    (9) Implement a Chemical Hygiene Plan, as appropriate, which meets 
the requirement of 29 CFR 1910.1450.

[[Page 630]]



       Subpart B--Biological Defense Safety Policy and Procedures



Sec. 626.5  Policy.

    (a) This regulation applies to BDP RDTE operations involving 
etiologic agents being investigated by DA for biological defense 
purposes.
    (b) Specific biological safety requirements and guidance are 
contained in DA Pam 385-69.



Sec. 626.6  Mishap reporting and investigation.

    Biological defense RDTE related mishaps will be reported and 
investigated per AR 385-40 and AR 40-400. Med 16 Report will be used to 
report only personnel exposure or illness related to the BDP.



Sec. 626.7  Administrative and work practice controls.

    (a) The cardinal principle for safety in BDP operations is to 
minimize the potential exposure of personnel to etiologic agents. In 
practice, this means conducting RDTE activities using the appropriate 
facilities, equipment, and procedures for the biosafety level (BL), and 
requiring only the minimum number of appropriately trained personnel, 
the minimum period of time, and minimum amount of the material, 
consistent with program objectives and safe operations.
    (b) Open air testing under the BDP is restricted to use of simulants 
only, unless the Secretary of Defense determines that testing is 
necessary for national security in accordance with section 409, Public 
Law 91-121, 83 Stat. 204, signed November 18, 1967. Also, for RDTE 
involving protective equipment or detection devices, the least hazardous 
etiologic agent consistent with mission objectives will be employed. All 
testing of such equipment employing etiologic agents will be in 
appropriate biosafety level containment laboratories.
    (c) A hazard analysis, to determine safety precautions, necessary 
personnel protection and engineering features, and procedures to prevent 
exposure, will be completed for--
    (1) All BDP operations involving etiologic agents.
    (2) A change in process or control measures that may increase 
potential contact or concentrations of biological material.
    (d) An SOP is required for all biological defense RDTE operations. 
The SOP will--
    (1) Describe in detail all necessary operational and safety 
requirements.
    (2) Describe in detail actions to take in the event of mishap.
    (3) Describe in detail the location of required emergency response 
equipment.
    (4) Be available at the work site.
    (5) Forbid concurrent unrelated work during biological defense RDTE 
operations within a laboratory area or suite.
    (6) Be approved by the commander or the safety officer and signed by 
workers involved in the operation.
    (7) Provide names and telephone numbers of responsible personnel.
    (e) Training and information. All personnel who work directly with 
etiologic agents in the BDP, or who otherwise have a potential for 
exposure, will receive appropriate training to enable them to work 
safely and to understand the relative significance of agent exposures.
    (1) This training will include signs and symptoms of etiologic agent 
exposure, information on sources of exposure, possible adverse health 
affects, and practices and controls used to limit exposures. The 
environmental and medical monitoring procedures in use, their purposes, 
worker responsibilities in health protection programs, and handling of 
laboratory mishaps will also be presented.
    (2) Workers will be required to demonstrate proficiency before 
performing potentially hazardous operations. Refresher training will be 
repeated at least annually.
    (3) Initial and refresher training will be documented and kept on 
file as a permanent record.
    (f) Medical surveillance. A medical surveillance program (see AR 40-
5) will be established for all personnel (military and civilian) who may 
be potentially exposed to etiologic agents.

[[Page 631]]

    (1) Placement, periodic medical surveillance examinations, and 
termination examinations shall be conducted for each worker, to 
establish a baseline health record and to provide periodic job-related 
assessments of the worker's health status. Preassignment, periodic, and 
termination health assessments will include a work history, a medical 
history, physical examinations, indicated clinical laboratory sutdies 
and, when available, examinations or tests specific to the etiologic 
agent in question.
    (2) Medical officers responsible for treating BDP etiologic agent 
exposures and conducting medical surveillance for BDP workers shall 
receive specialized training on the unique hazards of etiologic agents 
and recommended medical therapies.
    (3) Special immunizations will be given to personnel handling 
specific etiologic agents as required.
    (4) Records documenting the above will be maintained permanently.
    (g) Emergency preparedness: (1) SOPs will address emergency 
procedures related to any mishap involving BDP etiologic agents. 
Notification and evacuation procedures will be covered in detail, as 
well as measures to contain the contamination.
    (2) Local, regional, State, or Federal emergency support and 
coordinating agencies, such as law enforcement, fire departments, health 
departments, and governments will be informed of BDP activities and the 
appropriate support necessary, to include any equipment and training 
necessary, to provide effective emergency response and ensure compliance 
with community ``right-to-know'' statutes and regulations. Agreements 
with external agencies must be formalized.
    (3) If a mishap with a BDP etiologic agent results in personnel 
exposure, approved emergency procedures will be immediately initiated to 
protect personnel and the environment and to constrain the spread of 
contamination. All personnel except those responsible for emergency 
operations will evacuate the immediate area.
    (4) Special medical surveillance will be started as soon as possible 
for all workers present in the potentially affected area at the time of 
the mishap.
    (h) Labeling and posting of hazards:
    (1) Hazard warning signs which incorporate the universal biohazard 
symbol will be posted on the access door to the work area. (See DA PAM 
385-69, para 3-5a(1).) The sign will be covered or removed if the 
organizational safety officer certifies that the area has been 
decontaminated.
    (2) For areas irradiated with ultraviolet light, a caution sign 
reading ``Ultraviolet Light, Wear Eye Protection'' will be posted.
    (i) Disposal controls. Etiologic agents used in the BDP must be 
decontaminated before disposal of infectious or hazardous wastes and 
must not violate any Army, Federal, State, local, or host nation 
environmental standards. Procedures for decontamination are described in 
DA Pam 385-69.
    (1) The preferred methods of decontamination of etiologic agents are 
autoclaving or chemical inactivation with appropriate biocidal 
solutions. (See chap 5, DA Pam 385-69.)
    (2) Etiologic agents awaiting decontamination will be contained at 
the appropriate biosafety level.
    (j) Maintenance controls. A continuing program for equipment and 
facility maintenance will be implemented for each BDP operation.
    (k) Protective equipment. Guidance concerning protective equipment 
is contained in DA Pam 385-69.



Sec. 626.8  Etiologic agent containment.

    (a) Facility engineering controls and appropriate biocontainment 
equipment will be used, in conjunction with special practices and 
procedures, to minimize potential exposure of personnel and the 
environment to etiologic agents used in BDP operations. Engineering and 
equipment controls will be implemented to the maximum extent feasible 
and verified as effective. Protective clothing will not be used in lieu 
of engineering controls. Engineering controls will be the prime means of 
biocontainment. Personal protective equipment such as respirators are to 
be used only after feasible engineering controls have been shown unable 
to control the environment fully.
    (b) Before beginning any etiologic agent operation, a determination 
will be made that the hazards associated

[[Page 632]]

with the operation are under positive control as defined in the 
applicable SOP and that the operation complies with the criteria of this 
regulation and DA Pam 385-69.



Sec. 626.9  Inspections.

    (a) Biosafety laboratories require periodic (at least quarterly for 
BL-1 and BL-2 and monthly for BL-3 and BL-4 laboratories), inspections 
by safety and health professionals. Safety officials will document the 
inspections, assure that deviations from safe practices are recorded, 
and that recommended corrective actions are taken. If deviations are 
life threatening, this area will be restricted until corrective actions 
are accomplished. New RDTE efforts involving etiologic agents will be 
evaluated and inspected prior to start-up to assure equipment, 
facilities, employee training, and procedures are in place and adequate 
for the introduction of BDP material. Safety officials will maintain 
such records for 3 years and will review the records at least annually 
for trends requiring corrective actions.
    (b) Supervisors shall inspect work areas frequently (at least 
weekly) and take corrective actions promptly.



Sec. 626.10  Transportation of BDP etiologic agents.

    (a) Etiologic agents utilized in the BDP shall be packed, labeled, 
marked, prepared for shipment, and shipped in accordance with applicable 
Federal, State, and local laws and regulations, to include 42 CFR part 
72, ``Interstate Shipment of Etiologic Agents,'' 49 CFR parts 172 and 
173 (Department of Transportation), 9 CFR part 122 (USDA Restricted 
Animal Pathogens), and DA Pam 385-69.
    (b) Etiologic agents shipped to support the BDP will use secondary 
shipping containers which are sealed with a crimped lid (see app D, DA 
Pam 385-69).
    (c) BDP organizations and contractors who provide etiologic agents 
will ship all etiologic agents by private carrier. The United States 
Postal Service will not be used to transport etiologic agents required 
for the BDP.
    (d) In addition to the above requirements, shipments of BL-4 
etiologic agents will be hand carried by Government courier or under the 
immediate supervision of a responsible party. This individual must be 
knowledgeable about the potential hazards of the materials and be able 
to monitor all aspects of the shipment to ensure that required transfers 
have been completed and documented and final receipt has been 
accomplished and acknowledged.
    (e) Audit trails of all BDP etiologic agent shipments and receipts 
of such agents shall be established and maintained for at least 3 years. 
Such audit trails shall identify date of shipment, carrier, addresses of 
the shipper and recipient, and agent(s) shipped and received.



Sec. 626.11  General construction plans.

    General construction plans for BDP facilities, as well as for 
changes in use of facilities, will be submitted through the chain of 
command to HQDA, Army Safety Office, DACS-SF, WASH DC 20310-0200 for 
safety review and approval. Plans shall be forwarded for new 
construction or major modifications of facilities used in the BDP. The 
facility system safety requirements of AR 385-16 and AR 415-15 shall be 
followed. Simultaneously, RDTE requirements that necessitate such 
renovation, modification, or construction shall be submitted through the 
chain of command to HQDA, OASA(RDA), SARD-ZT, WASH DC 20310-0103 for 
review and approval.



Sec. 626.12  Maximum credible event (MCE).

    (a) Because of the complexity of the RDTE conducted in the BDP, the 
range of potential consequences that could be associated with a mishap 
must be considered. MCE is a risk analysis technique which provides a 
useful tool for estimating the effectiveness of existing safeguards. The 
potential for events must be carefully analyzed to determine the MCE 
that could occur and cause a mishap. All hazard analysis and general 
construction plans mentioned in Sec. 626.11 will include a consideration 
of an MCE.
    (b) The term MCE, as used herein, is analogous to a realistic worst-
case analysis. The best available credible information will be applied 
to estimate

[[Page 633]]

the results of various MCEs. Those assumptions that yield the potential 
for more severe consequences, as opposed to assumptions that operational 
and safety controls will always perform as designed, will be used. The 
rule of reason will be applied to confine the MCE to realistic or 
believable occurrences.
    (c) When considering an MCE, consider the redundancy of safety 
systems engineered into the facilities and the equipment used, depending 
on containment level required to make them as fail-safe as practical. 
The MCE for containment laboratories must be considered in terms of 
physical containment for both toxins and biological organisms. 
Therefore, both toxin and biological MCEs will be considered.
    (d) Because aerosols of etiologic agents represent the most 
significant potential hazard for exposure of workers or the environment, 
a hazard analysis (to include MCE) of proposed BDP RDTE activities will 
be performed to determine the procedures, engineering controls, and 
facility design required to mitigate potential significant hazards.



Sec. 626.13  Controls.

    (a) Personnel who are not needed to operate a BDP laboratory, will 
not be allowed to enter potentially hazardous areas.
    (b) Written procedures to control access and ensure that personnel 
can be evacuated or protected from exposure may be used in place of 
absolute personnel exclusion.



Sec. 626.14  Waivers and exemptions.

    (a) The goal of the biological defense safety program is strict 
adherence to safety standards and the elimination of all waivers and 
exemptions.
    (b) Waiver authority. (1) The Chief of Staff, Army (CSA) is the 
controlling authority for granting waivers of biological defense safety 
standards. This authority is redelegated by this regulation to 
commanders of MACOMs and the commander of the USAMRDC.
    (2) Waiver authority will not be subdelegated.
    (3) Commanders with waiver authority will--
    (i) Ensure the existence of necessary and compelling reasons before 
granting waivers.
    (ii) Grant waivers to standards for installations and activities 
within their areas of authority.
    (c) Waiver requests: (1) Commanders of installations and activities 
will submit a request for waiver when compliance with these standards 
cannot be achieved. When such waivers affect on other commands, 
initiating activities will coordinate requests with those commands.
    (2) Requests for waivers will contain the following information:
    (i) Description of conditions. State the mission requirements and 
compelling reasons which make the waiver essential and the impact if not 
approved, and describe all affected sites or facilities and the quantity 
and type of BDP required.
    (ii) The safety regulations, including specific safety requirements 
or conditions cited by paragraph, from which the waiver is requested, 
and the reasons for the waiver.
    (iii) Specific time period for which the waiver is requested.
    (iv) A hazard analysis which identifies actual and potential hazards 
which can result from the waived requirements or conditions.
    (v) A risk assessment that provides information on the risk being 
assumed because of the waiver. The assessment will include those safety 
precautions and compensatory measures in force during the waiver period.
    (vi) A waiver abatement plan to include milestones, resources, and 
actions planned to eliminate the need for the waiver.
    (3) Requests for waivers will be forwarded through command channels 
to the MACOM or CG, USAMRDC, as appropriate, for approval. MACOM or 
USAMRDC safety officials will forward a copy of approved waivers to 
HQDA, DACS-SF, WASH DC 20310-0200. Copies of all waivers will be 
maintained at the installation and MACOM or USAMRDC Safety Offices for 
up to 3 years after the waiver is terminated.
    (4) Time limitations: (i) Waivers are normally limited to 1 year or 
less, and will be considered rescinded after 1 year, unless reviewed. 
The activity or

[[Page 634]]

installation commander forwarding a request for waiver will allow time 
to permit investigation, evaluation, and reply.
    (ii) Waivers may be renewed each year by the commander originally 
granting the waiver for a waiver period not to exceed 5 years. Prior 
renewal, commanders will review the need for the waiver to ensure that 
circumstances requiring the waiver have not changed. Results of this 
review (and a progress report regarding milestones that have been 
completed) will be forwarded through command channels to the commander 
originally granting the waiver.
    (iii) A request for amendment will be initiated when factors or 
circumstances requiring a change to the original waiver are identified.
    (iv) When factors or circumstances prevent correction of the waiver 
condition within 5 years of the initial approval of the waiver, such 
condition becomes a candidate for an exemption.
    (d) Exemptions. (1) Exemptions are relatively long-term exceptions 
to otherwise mandatory standards. Exemptions will be granted only under 
the following conditions:
    (i) If corrective measures are impractical.
    (ii) If impairment of the overall defense posture would result.
    (iii) If positive programs to eliminate of the need for the 
exemption are being pursued.
    (2) Exemptions can be approved only by the Secretary of the Army.
    (i) Requests for exemptions will be sent through command channels to 
HQDA, DACS-SF, WASH DC 20310-0200.
    (ii) Exemption requests will include the information required in 
paragraph(c)(2) of this section.
    (iii) Copies of exemption requests will be maintained at the 
installation and MACOM or USAMRDC Safety Offices.



                       Subpart C--BDP Contractors



Sec. 626.15  Written procedures for contractor review.

    The contracting agency will prepare written procedures for reviewing 
contractor capability to safely perform BDP work with etiologic agents. 
The written procedures will describe the criteria and guidelines for 
preparing the facilities description, safety requirements, special 
procedures and techniques, inspection procedures, and MCE scenarios. 
These written procedures will be submitted to the contracting agency 
MACOM for review and approval.



Sec. 626.16  Contracting agencies.

    Contracting agencies, in coordination with their respective Command 
safety offices will monitor contractor performance in meeting safety 
requirements.
    (a) The contracting agency will establish an inspection program and 
schedule for all BDP contractors who perform contract work with BL-3 or 
BL-4. Inspections will be conducted by safety and health personnel. The 
schedule will include, as a minimum, the following:
    (1) A pre-award inspection on site, prior to contact award, for 
initial contracts for BDP work requiring BL-3 or BL-4 operations. If 
during a pre-award inspection, major corrective measures are required, a 
reinspection is required prior to the beginning of contract operations.
    (2) A pre-award inspection of follow-on BL-3 and BL-4 contracts.
    (3) A pre-operational inspection if a major change in procedures, 
facilities, or equipment is made after the pre-award survey.
    (4) Annual inspection of BL-3 and seminannual inspection of BL-4 
contractor facilities, equipment, and operations.
    (b) Pre-award surveys and annual inspections of contractors 
performing work requiring BL-3 or BL-4 will be conducted by safety and 
health professionals trained in BDP operational safety requirements. 
Pre-award surveys and annual inspections of BL-1 and BL-2 contractors 
will be conducted by safety and health professionals or contracting 
agency representatives who are trained in biological safety inspection 
techniques. The Safety Inspection Checklist in DA Pam 385-69 will be 
used.
    (c) The contracting agency will require each BDP contractor whose 
contract requires the use of etiologic

[[Page 635]]

agents to prepare a facility safety program plan based on the criteria 
below and submit the plan to the contracting agency for review prior to 
beginning BDP contract operations. The plan will describe the contractor 
organization, and procedures for meeting DOD, Army, and contracting 
Command safety requirements as specified in the contract.
    (1) A safety training program for all individuals working with 
etiologic agents must be documented by the contractor and include, as a 
minimum, the requirements in Sec. 626.7(e). Appropriate safety training 
will be provided to scientists, other laboratory personnel, and 
unrelated personnel such as technicians, clerical, and maintenance 
workers. This training will be documented.
    (2) The contractor must designate a qualified individual to be 
responsible for the entire safety program with full authority to develop 
and enforce contractor safety policies. Regular safety inspections will 
be conducted and inspection reports will be provided to the contracting 
agency upon request.
    (3) Policies for storing, handling, and moving etiologic agents 
within the contractor facility shall be included in the plan.
    (4) Policies and procedures for disposal of any etiologic agent 
waste must be identified. Disposal must comply with Federal, State, and 
local regulations as well as DOD and Army requirements.
    (5) An SOP must be established for each area where BDP etiologic 
agents are stored, transferred, or used. In addition, an SOP must be 
prepared for operations unique to any specific contract. The contractor 
will provide the SOP to contracting agency personnel upon request for 
review.
    (6) For contracts requiring BL-3 or BL-4, the contractor will 
provide (upon request) facility engineering drawings and specifications 
for the relevant etiologic agent containment areas, associated 
ventilation systems, and local approving authority. Also to be included 
is test data verifying that all systems adequately meet the DOD and Army 
safety requirements, as well as test methods for periodic 
recertification of the system.
    (7) MCE scenarios that ensure that all realistic threats are 
considered at contractor sites, see Sec. 626.12 of this part.



Sec. 626.17  Contractor changes.

    The contractor will submit proposed changes to the original safety 
documentation to the contracting agency for review prior to 
implementation. Requests will include justification and test data 
verifying that adequate safety will be maintained.



Sec. 626.18  BDP contract requirements.

    (a) Contractors performing work with BL-3 and BL-4 material must 
prepare a plan detailing procedures for controlling laboratory mishaps 
involving etiologic agents.
    (1) The contractor shall have the necessary equipment and trained 
personnel for controlling the mishap.
    (2) In the event of an incidental release of a BDP etiologic agent 
from appropriate laboratory biocontainment that may result in personnel 
exposure, approved emergency procedures will be initiated immediately to 
effectively protect personnel and the environment and to constrain the 
spread of contamination. The affected areas will be decontaminated 
before normal operations are resumed.
    (3) Special medical surveillance will be started as soon as possible 
for all workers present in the potentially affected area at the time of 
the mishap.
    (4) Local emergency support agencies, such as law enforcement, fire 
departments, health departments, and governments will be informed of BDP 
activities and the appropriate support necessary, to include any 
equipment and training to provide effective emergency response. 
Agreements with external agencies must be formalized.
    (5) The contractor shall be required to review the plan annually and 
consult external agencies if there is an agreement for them to provide 
assistance. This should be done in coordination with the contracting 
agency.
    (b) [Reserved]

[[Page 636]]



                   Subpart D--BDP Studies and Reviews



Sec. 626.19  Assuring maximum safety.

    (a) Safety studies and reviews are conducted to assure that maximum 
safety and health measures are being taken to prevent mishaps involving 
BDP etiologic agents in any amount or under any conditions that may 
cause incapacitation, illness, or death to any person, or adverse 
effects on the public or to the environment.
    (b) The system safety requirements of AR 385-16 will be followed 
during all BDP safety studies and reviews.



Sec. 626.20  Special studies.

    Any HQDA agency may recommend a special study or review of an 
etiologic agent or system when it becomes necessary to investigate the 
condition or changes described below. The responsbile HQDA agency will 
determine the scope and conduct the study or review. Special study 
activities will be coordinated with HQDA, DACS-SF, WASH DC 20310-0200.
    (a) Conditions or practices which may affect safety.
    (b) Major system modifications including both design and physical 
configuration changes.
    (c) Significant changes to safety, health, and environmental 
protection standards and requirements that affect BDP operations.

                   Appendix A to Part 626--References

    These publications can be obtained from the National Technical 
Information Services, U.S. Department of Commerce, 5285 Port Royal Road, 
Springfield, Virginia 22161.

                          Required Publications

AR 40-5--Preventive Medicine. (Cited Sec. 626.7(f) introductory text)
AR 40-400--Patient Administration. (Cited in Sec. 626.6)
AR 385-10--Army Safety Program. (Cited in Secs. 626.4(c) introductory 
text, 626.4(g)(3), and 626.4(g)(5))
AR 385-16--System Safety Engineering and Management. (Cited in 
Secs. 626.11, and 626.19)
AR 385-40--Accident Reporting and Records. (Cited in Secs. 626.4(c)(10) 
and 626.6)
AR 415-15--Military Construction, Army (MCA) Program Development. (Cited 
in Sec. 626.11)
DA Pam 385-69--Biological Defense Safety Program. (Cited in 
Secs. 626.1(b), 626.4(g)(3), 626.4(g)(4), 626.5(b), 626.7(h)(1), 
626.7(i) intro text, 626.7(i)(1), 626.7(k), 626.8(b), 626.10(a), 
626.10(b), and 626.16(b))
Med 16 Report. (Cited in Sec. 626.6)

                          Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand this regulation.

AR 40-10--Health Hazard Assessment Program in Support of the Army 
Material Acquisition Decision Process
AR 70-1--Systems Acquisition Policy and Procedures
AR 70-10--Test and Evaluation During Development and Acquisition of 
Materiel
AR 70-18--The Use of Animals in DOD Programs
AR 70-25--Use of Volunteers as Subjects of Research
AR 70-65--Management of Controlled Substances, Ethyl Alcohol, and 
Hazardous Biological Substances in Army Research, Development, Test, and 
Evaluation Facilities
AR 200-1--Environmental Protection and Enhancement
AR 200-2--Environmental Effects of Army Actions
AR 405-90--Disposal of Real Estate

             Appendix B to Part 626--Glossary Abbreviations

AMC--United States Army Materiel Command
AR--Army regulation
ARSTAF--Army Staff
ASA (IL&E)--Assistant Secretary of the Army (Installations, Logistics 
and Environment)
ASA (RDA)--Assistant Secretary of the Army (Research, Development, and 
Acquisition)
BDP--Biological Defense Program
BL--Biosafety level
CG--commanding general
CSA--Chief of Staff, United States Army
DA--Department of the Army
DA Pam--Department of the Army Pamphlet
DASAF--Director of Army Safety
DCSOPS--Deputy Chief of Staff for Operations and Plans
DOD--Department of Defense
HEPA--high efficiency particulate air
HQDA--Headquarters, Department of Army
IPR--in process reviews
MACOM--major Army command
MCA--Military Construction, Army
MCE--maximum credible event
OCSA--Office of the Chief of Staff, United States Army
R&D--research and development
RDTE--research, development, test, and evaluation
RCRA--Resource Conservation Recovery Act

[[Page 637]]

SOP--standing operating procedure
TSG--The Surgeon General, Army
USACE--United States Army Corps of Engineers
USAMRDC--United States Army Medical, Research and Development Command

                                  Terms

                        Biological Defense Mishap

    An event in which the failure of laboratory facilities, equipment, 
or procedures appropriate to the level of potential pathogenicity or 
toxicity of a given etiologic agent (organism or toxin) may allow the 
unintentional, potential exposure of humans or the laboratory 
environment to that agent. Mishaps can be categorized into those 
resulting in confirmed exposures and those resulting in potential 
exposures. A confirmed accidental exposure is any mishap in which there 
was direct evidence of an exposure, such as a measurable rise in 
specific antibody titer to the etiologic agent in question, or a 
confirmed diagnosis of intoxication or disease. A potential exposure is 
any mishap in which there was reason to believe that anyone working with 
an etiologic agent may have been exposed to that agent, yet no 
measurable rise in specific antibody titer or diagnosis of illness or 
disease can be found. However, there is reason to believe in such a case 
that the possibility existed for introduction of an etiologic agent 
through mucous membranes, the respiratory tract, broken skin, or the 
circulatory system as a direct result of the incident or injury.

                           Biocontainment Area

    An area which meets the requirements for a BL-3 or BL-4 facility. 
The area may be an entire building, a suite of rooms, a single room 
within a building, or a biological safety cabinet.

                       Biological Safety Cabinets

    Engineering controls designed to enable laboratory workers to handle 
infectious etiologic agents and to provide primary containment of any 
resultant aerosol. There are three major classes of cabinets (I, II, and 
III) and several sub-classes of class II cabinets. Each type of cabinet 
provides a different degree of protection to personnel and to the 
products handled inside them.

                             Biosafety Level

    A combination of facilities, equipment, and procedures used in 
handling etiologic agents to protect the worker, environment, and the 
community. This combination is proportional to the potential hazard of 
the etiologic agent in question.

                            Biosafety Level 1

    The facilities, equipment, and procedures suitable for work 
involving agents of no known or of minimal potential hazard to 
laboratory personnel and the environment.

                            Biosafety Level 2

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, or teaching laboratories, suitable for work involving 
indigenous agents of moderate potential hazard to personnel and the 
environment. It differs from BL-1 in that (1) laboratory personnel have 
specific training in handling pathogenic agents, (2) the laboratory is 
directed by scientists with experience in the handling of specific 
agents, (3) access to the laboratory is limited when work is being 
conducted, and (4) certain procedures in which infectious aerosols could 
be created are conducted in biological safety cabinets or other physical 
containment equipment. Personnel must be trained. Strict adherence to 
recommended practices is as important in attaining the maximum 
containment capability as is the mechanical performance of the equipment 
itself.

                            Biosafety Level 3

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, research, or production facilities in which work is 
performed with indigenous or exotic agents where there is potential for 
infection by aerosol and the disease may have serious or lethal 
consequences. It differs from BL-2 in that (1) more extensive training 
in handling pathogenic and potentially lethal agents is necessary for 
laboratory personnel, (2) all procedures involving the manipulation of 
infectious material are conducted within biological safety cabinets, or 
by other physical containment devices, (3) the laboratory has special 
engineering and design features, including access zones, sealed 
penetrations, and directional airflow, and (4) any modification of BL-3 
recommendations must be made only by the commander.

                            Biosafety Level 4

    The facilities, equipment, and procedures required for work with 
dangerous and exotic agents which pose a high individual risk of life-
threatening disease. It differs from BL-3 in that (1) members of the 
laboratory staff have specific and thorough training in handling 
extremely hazardous infectious agents, (2) laboratory personnel 
understand the primary and secondary containment functions of the 
standard and special practices, containment equipment, and laboratory 
design characteristics, (3) access to the laboratory is strictly 
controlled by the commander, (4) the facility is either in a separate 
building or in a controlled area within a building, which

[[Page 638]]

is completely isolated from all other areas of the building, (5) a 
specific facility operations manual is prepared or adopted, (6) within 
work areas of the facility, all activities are confined to Class III 
biological safety cabinets or Class I or Class II biological safety 
cabinets used in conjunction with one-piece positive pressure personnel 
suits ventilated by a life support system, and (7) the maximum 
containment laboratory has special engineering and design features to 
prevent microorganisms from being disseminated to the environment.

                                Building

    A structure that contains the requisite components necessary to 
support a facility that is designed according to the required biosafety 
level. The building can contain one or more facilities conforming to one 
or more biosafety levels.

                           Confirmed Exposure

    Any mishap with a BDP agent in which there was direct evidence of an 
actual exposure such as: A measurable raise in antibody titer to the 
agent, or a confirmed diagnosis of intoxication or disease.

                             Decontamination

    The physical or chemical processes by which an object or area, 
contaminated with a harmful or potentially harmful etiologic agent, is 
made safe for handling or use. Such processes include physical removal 
of all contaminants, thermal destruction of biological activity 
(sterilization), chemical inactivation (biocidal process), or a 
combination of these methods.

                             Etiologic Agent

    A viable microorganism, or its toxin which causes or may cause human 
disease, and includes those agents listed in 42 CFR 72.3 of the 
Department of Health and Human Services regulations, and any material of 
biological origin that poses a degree of hazard similar to those 
organisms.

                                Exemption

    A permanent written exemption approved by HQDA for a requirement 
imposed by this regulation. An exemption is based on a determination 
that conformity to the established standard is impossible, highly 
impracticable, unnecessary, or not in the best interest of the United 
States Government.

                                First Aid

    Any one-time treatment, and any follow-up visit for the purpose of 
observation of minor scratches, cuts, burns, splinters, and so forth, 
which do not ordinarily require medical care. Such one-time treatment, 
and follow-up visit for observation, is considered first aid, even 
through provided by a physician or registered medical professional 
personnel.

              High efficiency particulate air (HEPA) filter

    A filter which removes particulate matter down to sub-micron sized 
particles from the air passed through it with a minimum efficiency of 
99.97 percent. HEPA filters remove particulate matter with great 
efficiency while vapors and gases (for example from volatile chemicals) 
are not removed and pass through unrestricted. HEPA filters are used as 
the primary means of removing infectious agents from air exhausted from 
engineering controls and facilities.

                           Institute Director

    The commander of an Army activity conducting RDTE with BDP etiologic 
agents, or the equivalent at a research organization under contract to 
the BDP.

                               Institution

    An organization such as an Army RDTE activity (institute, agency, 
center, or similar facility) or a contract organization such as a school 
of medicine or research institute that conducts RDTE with BDP etiologic 
agents.

                               Laboratory

    An individual room or rooms within a facility that provides space in 
which work with etiologic agents may be performed. It contains all of 
the appropriate engineering features and equipment required at a given 
biosafety level to protect personnel working in the laboratory and the 
environment external to the facility.

                      Potential Accidental Exposure

    Any mishap in which there was reason to believe that anyone working 
with a BDP material may have been exposed to that material, yet no 
measurable rise in antibody titer or diagnosis of intoxication or 
disease was made. However, the high probability existed for introduction 
of an agent through mucous membranes, ingestion, respiratory tract, 
broken skin, or circulatory system as a direct result of the accident, 
injury, or incident.

    Resource Conservation Recovery Act (RCRA) Listed Hazardous Waste

    The waste materials listed by Environmental Protection Agency under 
authority of the RCRA for which the disposal is regulated by the 
Environmental Protection Agency. A description and listing of these 
wastes is located in 40 CFR part 261.

                              Sterilization

    The complete destruction of all forms of microbial life.

[[Page 639]]

                                  Suite

    An area consisting of more than one room, and designed to be a 
functional unit in which laboratory operations can be conducted. Suites 
may contain a combination of laboratories and animal holding rooms or 
both and associated support areas within a facility that are designed to 
conform to a particular biosafety level. There may be one or more suites 
within a facility.

                                  Toxin

    Toxic material of biologic origin that has been isolated from the 
parent organism. The toxic material of plants, animals, or 
microorganisms.

                                 Waiver

    A temporary (1 year or less) written relief from a requirement 
imposed by this regulation, pending accomplishment of actions or 
programs which will result in conformance to the required standards. 
Waivers will not be extended beyond 5 years.



PART 627--THE BIOLOGICAL DEFENSE SAFETY PROGRAM, TECHNICAL SAFETY REQUIREMENTS (DA PAMPHLET 385-69)--Table of Contents




                         Subpart A--Introduction

Sec.
627.1  Purpose.
627.2  Background.
627.3  Scope.
627.4  References.
627.5  Abbreviations and terms.

                        Subpart B--Administration

627.6  Safety administration.
627.7  Goal of a laboratory safety program.
627.8  Occupational health.
627.9  Medical records.

                   Subpart C--Operational Requirements

627.10  Personnel prerequisites.
627.11  Operational prerequisites.
627.12  General laboratory techniques.
627.13  Biosafety level 1.
627.14  Biosafety level 2.
627.15  Biosafety level 3.
627.16  Biosafety level 4.
627.17  Toxins.
627.18  Emergencies.
627.19  Large-scale operations.
627.20  Operations with radioactive material.

                Subpart D--Personal Protective Equipment

627.21  Introduction.
627.22  Minimum laboratory attire for use of etiologic agents.
627.23  Biosafety level 1.
627.24  Biosafety level 2.
627.25  Biosafety level 3.
627.26  Biosafety level 4.
627.27  Large-scale (LS) operations.
627.28  Solutions of toxins and dry forms of toxins in closed 
          containers.
627.29  Dry forms of toxins handled in open containers.
627.30  Situations specified in Sec. 627.18(e).
627.31  Specific requirements for individual PPE items.

                 Subpart E--Decontamination and Disposal

627.32  Introduction.
627.33  Methods of decontamination.
627.34  Disposal.

   Subpart F--Importation, Shipment, and Transport of Etiologic Agents

627.35  Introduction.
627.36  Administration.
627.37  Importation directives.
627.38  Shipment directives.
627.39  Transportation directives.
627.40  Additional requirements.
627.41  Sources for further information on shipment of etiologic agents.

                          Subpart G--Facilities

627.42  Introduction.
627.43  Biosafety level 1.
627.44  Biosafety level 2.
627.45  Biosafety level 3.
627.46  Biosafety level 4.
627.47  Large-scale facilities.
627.48  Toxins.

                     Subpart H--Engineering Controls

627.49  Introduction.
627.50  Class I biological safety cabinet.
627.51  Class II biological safety cabinet.
627.52  Class III biological safety cabinet.
627.53  Fume hood.
627.54  Glove box.
627.55  Ventilated balance enclosures.
627.56  Ventilated cage enclosures.
627.57  Ventilated cage areas.


Appendix A to Part 627--References
Appendix B to Part 627--Resource List for Immunoprophylaxis of Personnel 
          at Risk
Appendix C to Part 627--Laboratory Safety Inspection Checklist
Appendix D to Part 627--Packaging and Labeling Requirements for Shipment 
          of Etiologic Agents
Appendix E to Part 627--Permits for Importation and Shipment of 
          Etiologic Agents
Appendix F to Part 627--Drawings, Biological Safety Cabinets
Appendix G to Part 627--Glossary


[[Page 640]]


    Authority: 5 U.S.C. 102, 21 U.S.C. 111, 151-158; 42 U.S.C. 216; sec. 
361, 58 Stat. 703 and 264; 49 U.S.C. App. 1803, 1804, 1807, and 1808; 50 
U.S.C. 1431, 29 CFR 1910. 1450(e) and Public Law 101-510, 104 Stat. 
1516.

    Source: 57 FR 12604, Apr. 10, 1992, unless otherwise noted.



                         Subpart A--Introduction



Sec. 627.1  Purpose.

    This pamphlet prescribes the technical safety requirements for the 
use, handling, shipment, storage, and disposal of etiologic agents used 
in research, development, test, and evaluation (RDTE) for the Biological 
Defense Program (BDP)



Sec. 627.2  Background.

    The United States Army BDP, on behalf of the Department of Defense, 
supports RDTE efforts to maintain and develop defensive measures and 
materiel to meet potential biological warfare threats. The program's 
objectives are to develop measures for identification, detection, 
treatment, protection against, and decontamination of these threats. To 
meet the program objectives, etiologic agents are used to conduct the 
necessary handling, storage, shipment, and disposal of etiologic agents. 
This pamphlet describes requirements based on Centers for Disease 
Control-National Institute of Health (CDC) (NIH) guidelines, Biosafety 
in Microbiological and Biomedical Laboratories, and establishes 
guidelines for toxins.



Sec. 627.3  Scope.

    The requirements stated in this pamphlet apply to all elements of 
the Army to include the ARNG and the USAR and its contractors and 
subcontractors who use, produce, store, handle, or ship etiologic agents 
in support of the BDP, regardless of the source of the agent(s).



Sec. 627.4  References.

    Required and related publications are listed in appendix A of this 
part.



Sec. 627.5  Abbreviations and terms.

    Abbreviations and special terms used in this part are explained in 
appendix F of this part.



                        Subpart B--Administration



Sec. 627.6  Safety administration.

    Each BDP institution must have a safety program that complies with 
AR 385-10, AR 385-69, and this pamphlet. In addition, the safety program 
must be designed to ensure compliance with--
    (a) Occupational Safety and Health Administration (OSHA) 
requirements for health and safety.
    (b) Environmental Protection Agency (EPA) regulations designed to 
implement the Resource Conservation and Recovery Act (RCRA) and the 
National Environmental Policy Act (NEPA).
    (c) Nuclear Regulatory Commission (NRC) requirements for safe 
handling of radioactive isotopes (when applicable).
    (d) NIH Guidelines for Research Involving Recombinant 
Deoxyribonucleic Acid (DNA) Molecules.
    (e) Relevant national, State, and local regulations.
    (f) Any requirements of applicable accrediting bodies.



Sec. 627.7  Goal of a laboratory safety program.

    The goals of the laboratory safety program are to protect those 
working in the laboratory, others who may potentially be exposed to 
hazards in the laboratory, and the environment. In addition, a 
laboratory safety program should ensure that hazardous materials will be 
handled and disposed of in such a way that people, other living 
organisms, and the environment are protected from harm. Safety awareness 
must be a part of everyone's habits, and can only be achieved if all 
senior and responsible staff have a sincere, visible, and continuing 
interest in preventing injuries and occupational illnesses. Laboratory 
personnel, for their part, must carry out their work in a way that 
protects themselves and their fellow workers.
    (a) Laboratory safety. The safety program will be carried out as 
stated in AR 385-69. Additionally, the program will contain the 
following elements--
    (1) The commander or institute director, along with all personnel, 
must have a continuing, observable, and known commitment to the safety 
program.

[[Page 641]]

    (2) An effective institutional safety program requires a safety 
officer appropriately trained in relevant safety technology. This 
individual, besides supplying advice and recommendations, will ensure 
that records are kept showing that the institution's physical facilities 
and safety rules are internally consistent and compatible with potential 
risks, as well as in compliance with all applicable laws, regulations, 
and guidelines.
    (3) The commander ensures safety in every department or other 
equivalent administrative unit of the institution. Ensuring safe 
operations is an integral function of each level of management through 
the first line supervisor. The safety office staff must work closely 
with administrators and investigators to develop and implement written 
policies and practices that promote safe laboratory work. Collectively, 
this group routinely must monitor current operations and practices, see 
that appropriate audits are maintained, and continue to seek ways to 
improve the safety program.
    (4) Safety is a critical job element for each member of the 
scientific and technical staff. Each individual working in the 
laboratory must perform his or her job in a manner consistent with 
safety policy and training.
    (5) If laboratory goals dictate operations or substances not suited 
to the existing facilities or equipment, the laboratory supervisor will, 
assisted by the safety officer, advise and assist the laboratory worker 
in developing or obtaining adequate facilities or equipment and 
designing appropriate work procedures.
    (6) The supervisor will authorize each specific operation, delineate 
appropriate safety procedures, and instruct those who carry out the 
operation.
    (7) Potential hazards will be identified before work with etiologic 
agents begins, and actions necessary to avoid accidents and illnesses 
will be implemented. This practice, called a job safety analysis, 
consists of breaking a job down into its logical steps, analyzing each 
for its hazard potential, and deciding the safe procedures to use. The 
process will be designed by a project director with input from 
employees, and each step with potential for exposure or other incidents 
must be described in writing in a standing operating procedure (SOP). 
All such SOPs will be approved by, at a minimum, the commander or 
institute director and the safety officer.
    (8) The job safety analysis will include a consideration of health 
hazards identified in AR 40-10 and of maximum credible events as 
described in paragraph 2-8, AR 385-69.
    (b) Safety plans. Clearly defined, published safety rules and 
monitoring procedures for compliance must be established. These rules 
will be readily available, in writing, for all involved in laboratory 
operations. This goal may be accomplished by preparing or modifying a 
facility safety plan, laboratory safety manual, occupational safety and 
health program or equivalent. This plan will--
    (1) Be coordinated with institutional and Federal, State, and local 
emergency services.
    (2) Be practiced with the emergency groups whose services are part 
of that plan prior to any need for their services, so that they can 
become familiar with any potential problem areas that may be encountered 
when they are called upon for assistance.
    (3) Describe the method of rapid communication (for telephone, 
alarms, and so forth) that will be used during an emergency.
    (4) Describe the institution's etiologic agent labeling system.
    (5) Describe the institution's requirements for testing engineering 
controls (for example, biological safety cabinets and high efficiency 
particulate air (HEPA) filters) and essential safety equipment (for 
example, autoclaves) that are used to conduct RDTE funded by the BDP.
    (6) Appoint and train personnel responsible for handling an 
emergency.
    (7) Require that emergency telephone numbers be posted, so that 
emergency service personnel know whom to contact at all times of the day 
or night.
    (8) Describe the institution's rules that have been established and 
are practiced to limit access to the facilities where etiologic agents 
under the sponsorship of the BDP are handled. The rules will include the 
following requirements:

[[Page 642]]

    (i) Access to biosafety level (BL)-1 and BL-1 large-scale (LS) 
laboratories is limited or restricted at the discretion of the commander 
or institute director when experiments are in progress.
    (ii) Access to areas classified as BL-2, BL-2 LS, or where work with 
toxins is conducted, is limited by the commander or institute director 
when work with etiologic agents is in progress. Individuals who are at 
increased risk of acquiring infection or for whom infection may be 
unusually hazardous are not allowed in the laboratory. Only persons who 
have been advised of the potential hazard and meet any specific entry 
requirements (for example, immunization) may enter the individual 
laboratory or animal rooms. The commander or institute director must 
assess each circumstance and determine who may enter or work in the 
laboratory.
    (iii) Access to areas classified as BL-3 or BL-3 LS is limited as 
stated in Sec. 627.7(b)(8)(ii), and is restricted to those persons whose 
presence in the facility or individual laboratory rooms is required for 
program or support purposes. Individuals under 18 years of age may not 
enter the controlled area.
    (iv) Access to BL-4 facilities is limited as stated in 
Sec. 627.7(b)(8) (ii) and (iii). This is done with secure, locked doors 
with access controlled by the commander or institute director, safety 
officer, or other person responsible for the physical security of the 
facility. Before entry, all persons will be advised as to the 
appropriate safeguards for ensuring their safety. Authorized persons 
must comply with these instructions and all other applicable entry and 
exit procedures. A logbook will be maintained for all personnel to 
indicate the date and time of each entry and exit. A card-key activated 
computer record (or other electronic entry device) may be used if it 
indicates the date and time of both entry and exit.
    (9) Describe the system that is developed and is operational for the 
reporting of accidents and exposures, employee absenteeism, and for the 
medical surveillance of potential laboratory-associated illnesses.
    (c) Safety meetings and safety committees. In effective safety 
programs, everyone associated with the laboratory becomes involved. This 
is done by ensuring maximum participation in planning and by conducting 
group safety meetings.
    (1) A staff safety committee, consisting of the commander or 
institute director or his or her designated representative, research 
supervisors, managers, medical personnel, employees, and the safety 
officer, will be established. This group leads the safety effort, 
reviews mishaps, and recommends changes in policies, safety program, or 
equipment as needed to improve safety.
    (2) Safety committees will meet at least quarterly and minutes will 
be prepared and maintained for at least 3 years.
    (3) When work with recombinant DNA molecules is undertaken, an 
institutional biosafety committee (IBC) for review of such work will be 
established and will function as stated in the NIH Guidelines for 
Research Involving Recombinant DNA Molecules (see appendix A to this 
part).
    (d) SOPs. Besides the documented safety program that will be in 
effect, each institution will require that an SOP be established for 
each unique biological defense RDTE operation. The SOPs will meet the 
criteria stated in AR 385-69 and be reviewed and updated annually. A 
copy of the SOP will be maintained in the work area. In addition, SOPs 
will address the following issues--
    (1) The unique hazards introduced by the activity in the work area.
    (2) The methods of controlling these hazards.
    (3) Any unique procedures and requirements needed that are not 
described as universally required in the safety plan (for example, 
signs, waste disposal, immunizations, emergency procedures, and 
personnel monitoring).
    (4) Specialized orientation or training of personnel beyond that 
required in the safety plan.
    (5) Ways of ensuring that the unique procedures are followed.
    (6) Emergency procedures.
    (e) Safety communications. Safety communications alert people to 
newly recognized hazards, remind them of

[[Page 643]]

basic biological safety principles, and instill positive attitudes 
toward safety. Training requirements are also found in Sec. 627.10(b). A 
system of communication will be established to--
    (1) Implement a biological safety training program for all personnel 
working with hazardous biological or chemical materials.
    (2) Publish information addressing useful biological safety advice 
and accounts of laboratory accidents, along with the lessons to be 
learned from them.
    (3) Make reference books and regulations concerning laboratory 
hazards, occupational health, and proper laboratory practices readily 
available.
    (4) Assure that material safety data sheets (MSDS) for hazardous 
chemicals used in the laboratory are readily available to all employees.
    (f) Safety audits. One of the essential elements of a good safety 
program is the conduct of periodic audits of the safety performance in a 
laboratory. Observing individual safety practices and checking the 
operability of safety equipment and compliance with safety rules must be 
part of the audit.
    (1) An individual and an alternate will be appointed for each 
laboratory or room where BDP work is conducted. On a daily basis he or 
she will monitor the conduct of personnel within their room(s) and 
maintenance of the room to see that they comply with the safety program 
and SOPs.
    (2) Supervisors will ensure that their projects comply with 
applicable safety requirements and will audit their areas at least 
weekly to ensure compliance.
    (3) The safety officer or his or her qualified designee will inspect 
the institution's BL-1, BL-2, and toxin laboratories quarterly. BL-3 and 
BL-4 laboratories and those in which dry forms of highly potent toxins 
are handled will be inspected monthly by safety and health 
professionals. These inspections will be announced and include coverage 
of general safety practices as well as features specific to a particular 
biosafety level.
    (i) Reports of deficiencies or procedures that create a potentially 
life-threatening situation will be made directly to supervisory 
personnel and the commander or institute director and actions will be 
taken immediately to correct the situation. The operation will not 
continue until every deficiency is corrected.
    (ii) Reports of deficiencies for other than life-threatening 
situations will be made as soon as possible to the appropriate 
supervisor, with copies furnished to the commander or institute 
director. If a problem is widespread, all affected personnel will be 
notified.
    (4) Supervisory personnel notified of safety deficiencies by the 
safety officer will ensure that the people directly concerned are 
contacted and that the deficiencies are remedied before operations are 
resumed.
    (5) Malfunctioning equipment must be reported to the appropriate 
individuals, labeled to indicate that it should not be used, and 
repaired promptly.
    (6) As a minimum, the audits conducted by the safety officer or his 
or her qualified designee will cover the items listed in appendix C to 
this part.
    (g) Documentation. Records, documenting the following items, will be 
maintained for 3 years:
    (1) Safety audits and the corrective measures.
    (2) Risk assessments for proposed new laboratory procedures.
    (3) Annual reviews of established SOPs.
    (4) Training.
    (5) Engineering controls and protective equipment certifications and 
tests.
    (6) Safety committee meeting minutes and recommendations.
    (7) Any outside auditor comments and responses.



Sec. 627.8  Occupational health.

    An occupational health program will be implemented per AR 40-5, 
chapter 5, for all employees whose employment requires that they conduct 
duties in a BDP etiologic agent area. Essential elements of the program 
will include--
    (a) Medical surveillance examinations. Medical examinations by a 
licensed medical doctor will be given prior to employment, at least 
every 3 years thereafter, and upon termination of duties requiring 
access to laboratories where etiologic agents are used. When full 
medical examinations are not given annually, health professionals will 
perform annual health screening.

[[Page 644]]

Safety and health professionals will ensure that medical examiners are 
made aware of all hazardous substances each employee works with at the 
time of the medical examination. The physician's findings will include 
assessment of whether an employee has any health condition that would 
preclude work with etiologic agents. If any of the findings obtained 
during the examination are outside the normal range, the employee's 
supervisor and the employee will be notified and counseled on the 
courses of action available. In addition, a safety and health audit will 
be conducted to identify any potential occupational causes for the 
abnormalities, and corrective measures will be taken if applicable.
    (b) Serum samples. When appropriate, considering the agent(s) 
handled, baseline serum samples for laboratory and other at-risk 
personnel will be collected and stored for their biologically useful 
lifetime, but not longer than 40 years. Additional serum specimens will 
be collected periodically, based upon the agents handled, or as required 
by participation in a special immunizations program. SOPs will be 
written detailing the collection procedures and periods if serum 
sampling is deemed necessary.
    (c) Assignment of personnel. Personnel assigned duties in work areas 
where etiologic agents are used will be evaluated to determine their 
suitability for their assigned tasks by the installation medical 
authority. Only personnel who are physically and mentally capable of 
working in biocontainment areas (BL-3 and BL-4) or with toxins will be 
assigned to these duties.
    (d) Immunization of at-risk personnel. The guidelines for 
immunizations in the latest edition of the American College of 
Physicians' Guide for Adult Immunizations and recommendations of Health 
and Human Services (HHS) in publication number (NIH) 88-8395 shall be 
followed. A resource list for available immunizations for personnel at 
risk is given in appendix B of this part.
    (e) Reporting exposures. Spills and mishaps which result in 
observable, known or potential exposures to etiologic agents will be 
immediately reported to the supervisor, the safety officer, the 
responsible medical personnel, and the commander. Appropriate medical 
evaluation, surveillance, and treatment will be provided and written 
records of these occurrences will be maintained for 40 years. A Med-16 
report will be initiated (see AR 40-400).
    (f) Quarantine. When etiologic agents designated as BL-4 by the CDC-
NIH in HHS publication no. (NIH) 88-8395, (or most recent edition) are 
handled, a facility for the quarantine, isolation, and medical care of 
personnel with potential or known laboratory-associated exposures will 
be available.



Sec. 627.9  Medical records.

    Army activities will maintain medical records in accordance with AR 
40-66 and FPM 293-31 for all military and Department of the Army (DA) 
civilian employees who work with etiologic agents under sponsorship of 
the BDP.



                   Subpart C--Operational Requirements



Sec. 627.10  Personnel prerequisites.

    (a) Medical. Before to assignment to work with etiologic agents, 
personnel will be evaluated by the appropriate medical personnel with 
respect to their assignment and will be evaluated in the medical 
surveillance program described in Sec. 627.8.
    (b) Training. All personnel directly or indirectly involved with 
containment or handling of known and potentially biohazardous material 
shall receive instruction that adequately prepares them for their 
assigned duties. Training will be given by occupationally qualified 
personnel as determined by the commander. This training will be 
documented and will include--
    (1) General training--
    (i) Personal hygiene related to laboratory work.
    (ii) Laboratory practices.
    (iii) Personal protective equipment.
    (iv) Effective use of engineering controls.
    (v) Packaging, transportation, and shipment of etiologic agents 
(when applicable).
    (vi) Hazardous and infectious waste disposal, handling, and 
minimization procedures.

[[Page 645]]

    (2) Training conducted specifically for the facilities that the 
individual will be working in, including--
    (i) Procedures for the facility.
    (ii) Reporting incidents and accidents.
    (iii) Labeling and posting of signs.
    (iv) Biohazardous waste handling, approaches to minimizing the 
volume of waste, decontamination, packaging, and disposal.
    (v) Emergency procedures.
    (3) Additional general training required for work in facilities 
where viable etiologic agents are present.
    (i) Aseptic technique and procedures to include hands-on instruction 
and demonstration of proficiency.
    (ii) Concept and definition of biosafety levels.
    (iii) Disinfection and sterilization.
    (iv) Safe use of workplace equipment, for example autoclave and 
centrifuge.
    (v) Monitoring and auditing requirements.
    (vi) Precautions for handling blood, tissues, and body fluids (when 
applicable).
    (vii) The infectivity, pathogenicity, mode(s) of transmission, and 
medical surveillance requirements of specific agents.
    (viii) Training for all new employees will include a period of 
supervised orientation in the facilities by a scientist or technician 
with specific training in the procedures and properties of the etiologic 
agents in use. During the training period, new laboratory personnel will 
be under the constant supervision of appropriately trained personnel.
    (ix) Personnel who are assigned tasks in BL-2, BL-3, or BL-4 
facilities will also have specific training in handling pathogens.
    (x) Personnel assigned duties in a BL-4 facility will also have 
specific and thorough training in handling extremely hazardous 
infectious agents, the primary and secondary containment functions of 
standard and special practices, use of personal protective equipment, 
containment equipment, and laboratory design characteristics.
    (4) Additional general training for handling toxins will include 
relevant items from Sec. 627.10 plus--
    (i) The availability of reference material on the hazards and safe 
handling of toxic substances.
    (ii) The biological effects of the toxin(s) in use.



Sec. 627.11  Operational prerequisites.

    (a) Evaluation of the risks. The risk assessment of laboratory 
activities involving the use of etiologic agents is ultimately a 
subjective process. Those risks associated with the agent, as well as 
with any adjunct elements of the activity to be conducted, (chemicals, 
radioisotopes, end-products, and so forth) must be considered in the 
assessment. The appropriate biosafety level for work with a particular 
agent or animal study depends on the virulence, pathogenicity, 
biological stability, route of transmission, and communicability of the 
agent; the nature of the laboratory; the procedures and manipulations to 
be used; the quantity and concentration of the agent; and the 
availability of effective vaccines or therapeutic measures.
    (b) The characteristics of etiologic agents, primary laboratory 
hazards of working with the agent, and recommended biosafety levels are 
described by CDC-NIH (HHS publication No. (NIH) 88-8395), the 
considerations for recombinant DNA molecules are described by NIH, and 
those for oncogenic viruses are described by NCI-NIH (sources listed 
below). The commander or institute director will assign work with given 
etiologic agents to the appropriate biosafety level. A risk assessment 
should take into account not only the NIH Guidelines for Research 
Involving Recombinant DNA Molecules, but also potential hazards 
associated with the organism and the product of the experimentation.
    (1) When established guidelines exist, these will be followed. The 
primary source guidelines are--
    (i) HHS Publication No. (NIH) 88-8395, Biosafety in Microbiological 
and Biomedical Laboratories, as amended, and updates published in 
Morbidity and Mortality Weekly Report.
    (ii) NIH Guidelines for Research Involving Recombinant DNA Molecules 
(FR 51: 16958-16985 and updates).

[[Page 646]]

    (iii) The publication by the American Committee on Arthropod-Borne 
Viruses Subcommittee on Arbovirus Laboratory Safety (SALS) entitled 
Laboratory Safety for Arboviruses and Certain Other Viruses of 
Vertebrates in the American Journal of Tropical Medicine and Hygiene, 
29(6), 1980, pp. 1359-1381.
    (iv) The Department of Health and Human Services Publication No. 
(NIH) 76-1165 by the National Cancer Institute (NCI) entitled Biological 
Safety Manual for Research Involving Oncogenic Viruses.
    (2) When samples with unidentified viable agents are obtained, a 
knowledgeable and qualified scientist will evaluate the risks and make 
recommendations to the safety officer, who will add recommendations for 
review and approval by the commander or institute director. When 
guidelines for a specific organism are not established, in addition to 
these steps, the CDC or SALS or both will be consulted. Their 
recommendations will be documented and provided to the commander or 
institute director before approval.
    (c) Selection of facilities. The facility requirements identified by 
the risk assessment will be adhered to. Any variations and compensatory 
measures will be approved by the IBC (when recombinant DNA molecules are 
involved), the safety officer, and the commander or institute director 
before a request for an exception or waiver is submitted as stated in AR 
385-69.
    (d) Policies and procedures. Policies in the form of a laboratory 
safety manual, regulations, memorandums, or SOPs are required for work 
with etiologic agents in the BDP. Before beginning a new procedure, the 
policies and procedures will be reviewed to ascertain that the intended 
operations are described and to determine the requirements that apply to 
the operation. If procedures exist for the intended operation, personnel 
will be trained to follow them; if procedures do not exist, then a 
detailed SOP will be written, reviewed, and approved before beginning 
the operation. SOPs will conform to the requirements stated in 
Sec. 627.7(d), and be signed by all personnel who are required to follow 
the procedures, thus acknowledging that they have read and understood 
the contents. All SOPs that pertain to a specific area (room, 
laboratory, or suite) will be available at the worksite.



Sec. 627.12  General laboratory techniques.

    The general requirements for use of etiologic agents are composed of 
two sets of requirements, with the requirements for toxins being a 
subset of the requirements for handling viable etiologic agents. These 
requirements are as follows--
    (a) General techniques applicable to etiologic agents.
    (1) A fully fastened long-sleeved laboratory coat, gown, uniform, or 
coveralls will be worn in laboratories or animal rooms.
    (2) Eating, drinking, smoking, and applying cosmetics are not 
permitted in the work areas.
    (3) Personnel must wash their hands after they handle etiologic 
agents or animals, and before leaving the laboratory area.
    (4) Mouth pipetting is strictly prohibited. Mechanical pipetting 
aids must be used.
    (5) Gloves--(i) Will be worn when manipulating etiologic agents and 
handling containers of etiologic agents. Gloves are not required when 
materials are packaged appropriately for shipment.
    (ii) Will be selected based on the hazards.
    (iii) Will be changed frequently (or decontaminated frequently), and 
will be decontaminated or discarded into a labeled biohazard container 
after each use and immediately upon observable direct contact with an 
etiologic agent.
    (iv) Will be removed at the work-space (workbench or hood) after 
handling etiologic agents to ensure that doorknobs and other surfaces 
are not contaminated.
    (6) Good housekeeping will be maintained. This includes--
    (i) Work areas free of clutter.
    (ii) Work environment free of tripping hazards, with adequate access 
to exits, emergency equipment, controls, and such.
    (iii) Benches and general work areas will be cleaned regularly using 
a wet

[[Page 647]]

sponge or similar method with disinfectant as appropriate. Methods that 
stir up dust such as sweeping or using vacuum cleaners, (except for 
HEPA-filtered vacuum cleaners) are unacceptable.
    (iv) Specific work areas will be cleaned and decontaminated 
immediately following each use of an etiologic agent (at least once a 
day) and after any spill of viable material.
    (v) Hallways and stairways will not be used for storage.
    (7) All solutions, reagents, and chemicals will be labeled.
    (8) All contaminated liquid or solid wastes will be inactivated 
before disposal.
    (9) Work will be conducted over spill trays or plastic-backed 
absorbent paper. The paper will be removed, decontaminated, or 
disinfected, and the general area wiped with decontaminant at the end of 
each day or at the end of the experiment, whichever occurs first.
    (10) Etiologic agents will be kept in closed containers when not in 
use. Cultures, solutions, or dried etiologic agents in glass vessels 
transported or incubated within a room or suite will be handled in 
nonbreakable, leak-proof pans, trays, pails, carboys, or other secondary 
containers large enough to contain all the material, if the glass vessel 
leaks or breaks. Etiologic agents removed from a room or suite for 
transport to another approved area within the same building will be 
placed in a closed unbreakable secondary container before removal from 
the laboratory. The secondary container will be labeled on the exterior 
with a biohazard symbol and identification of the contents, including 
the required biosafety level, the scientific name, the concentration (if 
applicable), and the responsible individual. The secondary containers 
will be wiped with suitable disinfectant before removal from the 
laboratory or area.
    (11) Working stocks of etiologic agents will be stored in double 
containers. The primary and secondary containers will provide a positive 
seal and the secondary container will be unbreakable. The secondary 
container will be labeled as stated in Sec. 627.12 (a)(10) and with the 
date stored.
    (12) Storage units (for example, freezers, refrigerators, cabinets, 
and hoods) will be labeled with the universal biohazard sign and 
indicate the classes of etiologic agents contained in them. Storage 
units will be secured when not in use.
    (13) All contaminated materials, containers, spills, and solutions 
will be decontaminated or disinfected by approved methods before 
disposal.
    (14) After injection of an etiologic agent into animals, the site of 
injection will be swabbed with a decontaminant.
    (15) Syringes. (i) Reusable or disposable syringes will be of the 
fixed needle or LUER-LOK type (or equivalent) to assure that the needle 
cannot separate during use.
    (ii) After use, nondisposable glass syringes with attached needles 
contaminated with etiologic agents will be submerged in a container of 
decontaminant. Disposable syringes will be discarded with needles 
attached in puncture-proof rigid containers. Needles will not be 
recapped after use.
    (iii) Sterilized or decontaminated containers marked ``Syringes and/
or Needles'' may be deposited in appropriate refuse containers after 
proper packaging and destruction of the contents.

    [Note: Many States, especially those on the Eastern seaboard, have 
implemented strict requirements for the disposal of medical wastes. For 
example, Maryland has designated all waste from a microbiological 
laboratory as hazardous waste with licensing requirements for generators 
of 50 kilograms per month or more of waste, while all medical waste 
released for transport off-site must be manifested to a State licensed 
medical waste hauler with the destination specified. Additionally, in 
some cases, the local government (for example, a city) regulates the 
disposal of these wastes. These requirements will be identified and 
followed.]


Needles or syringes may not be destroyed by clipping. A mechanical shear 
may be used to smash or sheer needles after or concurrently with 
sterilization or decontamination.
    (16) Refrigerators, deep freezers, and dry ice chests should be 
checked, cleaned out, and defrosted periodically to remove any ampules, 
tubes, and so forth, containing etiologic agents that

[[Page 648]]

may have broken during storage. Rubber gloves and respiratory protection 
appropriate to the materials in storage should be worn during cleaning. 
Do not store flammable solutions in nonexplosion proof refrigerators.
    (b) Additional techniques applicable to work with viable etiologic 
agents. The major objective of these techniques is to assist in 
protection against laboratory acquired infections. Air sampling studies 
have shown that aerosols are generated from most of the manipulations of 
bacterial and viral cultures common to research laboratories. The 
generation of aerosols during routine laboratory manipulations must be 
considered when evaluating the individual degree of risk, keeping in 
mind the four main factors governing infection: dosage, virulence of the 
organism, route of infection (for example, skin, eyes, mouth, lungs), 
and host susceptibility (for example, state of health, natural 
resistance, previous infection, response to vaccines and toxoids). The 
requirements stated below are minimum handling requirements to prevent 
accidental infection created by incidental aerosols.
    (1) All procedures are performed carefully to minimize the creation 
of aerosols.
    (2) No infectious mixtures will be prepared by bubbling air through 
a liquid.
    (3) Pipettes.
    (i) No infectious material will be forcibly ejected from pipettes. 
Only to deliver (TD) pipettes will be used.
    (ii) Pipettes used with infectious or toxic materials will be 
plugged with cotton unless they are used exclusively in a gas-tight 
cabinet system.
    (iii) Contaminated pipettes will be placed horizontally in a rigid 
container containing enough disinfectant for complete immersion. 
Cylinders used for vertical discard are not recommended. The container 
and pipettes must be autoclaved as a unit and replaced by a clean 
container containing fresh disinfectant.
    (iv) Pipetting devices must be used. Under no circumstances is mouth 
pipetting permitted.
    (4) Syringes. (i) Using syringes and needles for making dilutions of 
etiologic agents is not recommended.
    (ii) When removing a syringe and needle from a rubber stopper bottle 
containing viable etiologic agents, an alcohol soaked pledget around the 
stopper and needle will be used.
    (iii) Excess fluid and bubbles should be expelled from syringes 
vertically into a cotton pledget soaked with disinfectant or into a 
small bottle containing disinfectant-soaked cotton.
    (iv) The site of injection of an animal will be swabbed with a 
disinfectant before and after injection.
    (v) After use, syringes contaminated with residual infectious fluid 
will be submerged in a container of disinfectant in a safety cabinet 
prior to removal for autoclaving. To minimize accidental injection of 
infectious material, the removable needles should remain on such 
syringes until after autoclaving. When possible, syringes with attached 
needles should be placed in a pan separate from that holding other 
discarded materials.
    (vi) Caps will not be placed over needles until after disinfection. 
During recapping, procedures to prevent personal injuries will be used.
    (5) Centrifuges and shakers. (i) Before centrifuging, tubes, rotors, 
seals, and gaskets will be checked for cleanliness and integrity. In low 
speed clinical-type centrifuges, a germicidal solution may be added 
between the tube and trunnion cup to disinfect the outer surfaces of 
both and to cushion against shocks that might break the tube. Metal or 
plastic tubes (other than nitro-cellulose) will be used.
    (ii) Decanting from centrifuge tubes will be avoided. If decanting 
is necessary, the outer rim will be wiped with a disinfectant after 
decanting so that material on the lip cannot spin off as an aerosol. 
Centrifuge tubes will not be filled byond the level the manufacturer 
recommends.
    (iii) Broth cultures will be shaken in a manner that avoids wetting 
the plug or cap.
    (6) Water baths in which viable etiologic agents are incubated must 
contain a disinfectant. For cold water baths, 70 percent propylene 
glycol is recommended. The disinfectant should be changed frequently.
    (7) When a laboratory vacuum is used to manipulate viable etiologic 
agents,

[[Page 649]]

a secondary reservoir containing disinfectant and a HEPA filter must be 
employed to ensure that the laboratory vacuum lines do not become 
contaminated.
    (8) Test tubes. (i) Tubes containing viable etiologic agents should 
be manipulated with extreme care. Studies have shown that simple 
procedures, such as removing a tube cap or transferring an inoculum, can 
create a potentially hazardous aerosol.
    (ii) Manipulation of biohazardous test tubes will be conducted in 
biological safety cabinets. Tubes and racks of tubes containing 
biohazardous material should be clearly marked. The individual employee 
must ensure that tubes containing biohazardous material are properly 
sterilized prior to disposal or glassware washing. Safety test tube 
trays should be used in place of conventional test tube racks to 
minimize spillage from broken tubes. When safety test tube trays are not 
used, the conventional test tube racks will be placed in a tray large 
enough to contain any potential spill. A safety test tube tray is one 
having a solid bottom and sides deep enough to hold all liquids, should 
a test tube break.
    (9) Care should be exercised when using membrane filters to obtain 
sterile filtrates of viable etiologic agents. Due to the fragility of 
the membranes and other factors, such filtrates cannot be considered 
noninfectious until laboratory culture or other tests have proven their 
sterility.
    (10) The preparation, handling, and use of dry powders of viable 
etiologic agents in open containers presents unusual hazards. The 
slightest manipulation of such powders can cause the generation of 
aerosols containing a high concentration of etiologic agents. Therefore, 
work with dry powders of etiologic agents in open containers should be 
carried out in gas-tight biological safety cabinets.



Sec. 627.13  Biosafety level 1.

    (a) Requirements beyond those for all etiologic agents. BL-1 
operations follow the general techniques described in Secs. 627.12(a) 
and 617.12(b).
    (b) Additional laboratory requirement. Contaminated materials that 
are to be decontaminated at a site away from the laboratory are placed 
in a durable leak-proof container which is closed before being removed 
from the laboratory. Examples of suitable containers are metal tubs with 
lids or plastic bags that are sealed and then placed inside a rigid 
container for transport.
    (c) Additional animal requirements. (1) Bedding materials from 
animal cages will be removed in such a manner as to minimize the 
creation of aerosols and disposed of in compliance with applicable 
institutional or local requirements.
    (2) Cages are washed manually or in a cagewasher. Temperature of 
final rinse water will be a minimum of 180  deg. F.
    (3) Laboratory coats, gowns, or uniforms worn in animal rooms shall 
not be worn in other areas.



Sec. 627.14  Biosafety level 2.

    (a) Additional requirements. In addition to the general 
microbiological techniques stated in Sec. 627.13, BL-2 operations 
include the following requirements:
    (1) When etiologic agents are in use, a hazard warning sign 
incorporating the universal biohazard symbol is posted on the access 
door of the work area. The hazard warning sign identifies the etiologic 
agent, lists the name and telephone number of the institute director or 
other responsible person(s), and indicates the special requirement(s) 
for entering the laboratory.
    (2) Animals not involved in the work being performed are not 
permitted in the laboratory.
    (3) Special care is taken to avoid skin contamination with the 
etiologic agents; gloves will be worn when handling etiologic agents or 
infected animals.
    (4) All wastes from laboratories and animal rooms are decontaminated 
before disposal.
    (5) Hypodermic needles and syringes are used only for parenteral 
injection and aspiration of fluids from laboratory animals and diaphragm 
bottles.
    (6) Spills and accidents which result in a potential exposure to 
etiologic agents will be reported immediately to the safety officer, the 
project leader, and the institute director.
    (7) Biological safety cabinets (Class I or II) will be used when:

[[Page 650]]

    (i) Procedures with a high potential for creating infectious 
aerosols are conducted.
    (ii) High concentrations or large volumes of etiologic agents are 
used.
    (8) Laboratory coats, gowns, smocks, or uniforms will be removed 
before leaving the animal facility or laboratory area.
    (b) Additional animal requirements.
    (1) Cages must be decontaminated, preferably by autoclaving, before 
they are cleaned and washed.
    (2) Approved molded masks are worn by all personnel entering animal 
rooms housing nonhuman primates.
    (3) If floor drains are provided, the drain traps will be kept 
filled with water or a suitable disinfectant.



Sec. 627.15  Biosafety level 3.

    (a) Additional requirements. In addition to the requirements stated 
in Secs. 627.13 and 627.14, the following requirements apply--
    (1) Approved molded masks or respirators with HEPA filters are worn 
by all personnel in rooms housing infected animals.
    (2) Protective clothing worn in a laboratory or animal room will be 
removed before exiting the laboratory or animal room.
    (3) Clothing worn in laboratories and animal areas to protect street 
clothing will be decontaminated before being laundered.
    (b) Additional laboratory requirements. (1) Laboratory doors will be 
kept closed.
    (2) All activities involving etiologic agents will be conducted in 
biological safety cabinets (Class I, II, or III) or other physical 
containment devices within the containment module. No work in open 
vessels is conducted outside a biological safety cabinet.
    (3) The work surfaces of biological safety cabinets and other 
containment equipment will be decontaminated after work with etiologic 
agents. Plastic-backed paper toweling should be used on nonperforated 
work surfaces within biological safety cabinets to facilitate clean-up.
    (c) Additional animal requirements. (1) Cages are autoclaved before 
bedding is removed and before they are cleaned and washed.
    (2) Gloves are removed aseptically and autoclaved with other wastes 
before being disposed of or reused.
    (3) Boots, shoe covers, or other protective footwear and 
disinfectant foot baths must be available and used when indicated.
    (4) Personal protective clothing and equipment and other physical 
containment devices are used for all procedures and manipulations of 
etiologic agents or infected animals. The risk of infectious aerosols 
from infected animals or their bedding shall be reduced by housing 
animals in partial containment caging systems as described in 
Sec. 627.56.
    (d) Work with BL-3 etiologic agents that require additional 
secondary containment. Facilities in which work with certain viruses, 
for example, Rift Valley fever, yellow fever, and Venezuelan equine 
encephalitis, is conducted require HEPA filtration of Xallexhaust air 
prior to discharge from the laboratory. All persons working with those 
agents for which a vaccine is available should be immunized.



Sec. 627.16  Biosafety level 4.

    Laboratory work at BL-4 must follow the requirements stated in 
Secs. 627.13, 627.14 and 627.15 as well as the following:
    (a) All activities are conducted in Class III biological safety 
cabinets or in Class I or II biological safety cabinets in conjunction 
with a one-piece positive pressure personnel suit ventilated by a life-
support system.
    (b) Biological materials to be removed from the Class III cabinet or 
from the maximum containment laboratory in a viable or intact state must 
be transferred to a sealed nonbreakable primary container, enclosed in a 
nonbreakable sealed secondary container, and removed from the facility 
through a disinfectant dunk tank, fumigation chamber, or an airlock 
designed for this purpose.
    (c) No materials, except for biological materials that are to remain 
in a viable or intact state, are removed from the maximum containment 
laboratory unless they have been autoclaved or decontaminated before 
they leave the facility. Equipment or material which might be damaged by

[[Page 651]]

high temperature or steam is decontaminated by gaseous or vapor methods 
in an airlock or chamber designed for this purpose.
    (d) Personnel may enter and leave the facility only through the 
clothing change and shower rooms. Personnel must shower each time they 
leave the facility. Personnel may use the airlocks to enter or leave the 
laboratory only in an emergency.
    (e) Street clothing must be removed in the outer clothing change 
room and kept there. Complete laboratory clothing, including 
undergarments, pants and shirts or jumpsuits, shoes, and gloves, will be 
provided and must be used by all personnel entering the facility. Head 
covers are provided for personnel who do not wash their hair during the 
shower. When leaving the laboratory and before proceeding into the 
shower area, personnel must remove their laboratory clothing and store 
it in a locker or hamper in the inner change room.
    (f) When etiologic agents or infected animals are present in the 
laboratory or animal rooms, a hazard warning sign incorporating the 
universal biohazard symbol must be posted on all access doors. The sign 
must identify the agent, list the name of the commander or institute 
director or other responsible person(s), and indicate any special 
requirements for entering the area (for example, the need for 
immunizations or respirators).
    (g) Supplies and materials needed in the facility are brought in by 
way of the double-doored autoclave, fumigation chamber, or airlock which 
is appropriately decontaminated after each use. After securing the outer 
doors, personnel within the facility retrieve materials by opening the 
interior doors of the autoclave, fumigation chamber, or airlock. These 
doors are secured after materials are brought into the facility.
    (h) Materials (for example, animals and clothing) not related to the 
experiment being conducted are not permitted in the facility.
    (i) Whenever possible, avoid using any glass items.



Sec. 627.17  Toxins.

    The laboratory facilities, equipment, and procedures appropriate for 
work with toxins of biological origin must reflect the intrinsic level 
of hazard posed by a particular toxin as well as the potential risks 
inherent in the operations performed. All toxins must be considered to 
pose a hazard in an aerosol form. However, most toxins exert their 
effects only after parenteral exposure or ingestion, and a few toxins 
present a dermal hazard. In general, toxins of biological origin are not 
intrinsically volatile. Thus, the laboratory safety precautions 
appropriate for handling these materials closely parallel those for 
handling infectious organisms. The requirements in this section for the 
laboratory use of toxins of biological origin include the requirements 
in Sec. 627.12(a) and the following:
    (a) Vacuum lines. When vacuum lines are used with systems containing 
toxins, they will be protected with a HEPA filter to prevent entry of 
toxins into the lines (or sink drains when water aspirators are used).
    (b) Preparation of concentrated stock solutions and handling closed 
primary containers of dry toxins. Preparation of primary containers of 
toxin stock solutions and manipulations of closed primary containers of 
dry forms of toxins will be conducted--
    (1) In a chemical fume hood, a glove box, or a biological safety 
cabinet or equivalent containment system approved by the safety officer.
    (2) While wearing eye protection if using an open-fronted 
containment system.
    (3) Ensuring that gloves worn when handling toxins will be disposed 
of as toxin waste, with decontamination if required.
    (4) With the room door closed and posted with a universal biohazard 
sign, or other sign, indicating that toxin work is in progress. 
Extraneous personnel shall not be permitted in the room during 
operations.
    (5) Ensuring that toxins removed from hoods or biological safety 
cabinets are double-contained during transport.
    (6) After verification of hood or biological safety cabinet inward 
airflow is

[[Page 652]]

made by the user before initiating work.
    (7) Within the operationally effective zone of the hood or 
biological safety cabinet.
    (8) Ensuring that nondisposable laboratory clothing is 
decontaminated before release for laundering.
    (9) Ensuring that all individuals who handle toxins wash their hands 
upon each exit from the laboratory.
    (10) With two knowledgeable individuals present whenever more than 
an estimated human lethal dose is handled in a syringe with a needle. 
Each must be familiar with the applicable procedures, maintain visual 
contact with the other, and be ready to assist in the event of an 
accident.
    (c) Manipulations with open containers of dry forms of toxins. 
Handling dry forms of toxins in uncovered containers (for example, 
during weighing) will be performed following the requirements stated in 
Secs. 627.12(a), 627.17 (a) and (b), and the following:
    (1) Manipulations will be conducted in a HEPA filtered chemical fume 
hood, glove box, or biological safety cabinet. In addition the exhaust 
may be charcoal filtered if the material is volatile.
    (2) When using an open-fronted fume hood or biological safety 
cabinet, protective clothing, including gloves and a disposable long-
sleeved body covering (gown, laboratory coat, smock, coverall, or 
similar garment) will be worn so that hands and arms are completely 
covered. Eye and approved respiratory protection is also required. The 
protective clothing will not be worn outside of the laboratory and will 
be disposed of as solid toxin waste.
    (3) Before containers are removed from the hood, cabinet, or glove 
box, the exterior of the closed primary container will be decontaminated 
and placed in a clean secondary container.
    (4) When toxins are in use, the room will be posted to indicate 
``Toxins in Use--Authorized Personnel Only.'' Any special entry 
requirements will be posted on the entrance(s) to the room.
    (5) All operations will be conducted with two knowledgeable 
individuals present. Each must be familiar with the applicable 
procedures, maintain visual contact with the other, and be ready to 
assist in the event of an accident.
    (6) Individuals handling toxins will wash their hands upon leaving 
the laboratory.
    (d) Additional considerations of specific toxin properties. The 
following requirements are in addition to the requirements stated in the 
paragraphs above. Determine whether the material fits Sec. 627.17 (b) or 
(c), and complies with the appropriate section and the following when 
applicable:
    (1) When handling dry forms of toxins that are electrostatic--
    (i) Do not wear gloves (such as latex) that help to generate static 
electricity.
    (ii) Use glove bag within a hood or biological safety cabinet, a 
glove box, or a class III biological safety cabinet.
    (2) When handling toxins that are percutaneous hazards (irritants, 
necrotic to tissue, or extremely toxic from dermal exposure)--
    (i) Gloves will be selected that are known to be impervious to the 
toxin and the diluent (when applicable) for the duration of the 
manipulations.
    (ii) Disposable laboratory clothing will be worn, left in the 
laboratory upon exit, and disposed of as solid toxin waste.
    (e) Aerosol exposures. The requirements found in Sec. 627.17 (a) and 
(b) will be complied with plus the following:
    (1) Chambers, nose-only exposure apparatus, and generation system 
must be placed inside a fume hood, glove box, or a Class III biological 
safety cabinet. Glove boxes and Class III biological safety cabinets 
will have HEPA filters on both inlet and outlet air ports.
    (2) The atmosphere from within the exposure chamber will be HEPA 
filtered before release inside the hood, glove box, or cabinet.
    (3) All items inside the hood, glove box, or Class III biological 
safety cabinet will be decontaminated upon removal. Materials such as 
experimental samples that cannot be decontaminated directly will be 
placed in a closed secondary container, the exterior of which will be 
decontaminated and labeled appropriately. Animals will have any areas 
exposed to toxin wiped clean after removal from the exposure apparatus.

[[Page 653]]

    (4) The interior of the hood, glove box, or cabinet containing the 
chamber and all items will be decontaminated periodically, for example, 
at the end of a series of related experiments. Until decontamintated, 
the hood, box, or cabinet will be posted to indicate that toxins are in 
use, and access to the equipment and apparatus restricted to necessary, 
authorized personnel.



Sec. 627.18  Emergencies.

    (a) Introduction. All laboratories will establish specific emergency 
plans for their facilities. Plans will include liaison through proper 
channels with local emergency groups and with community officials. These 
plans will include both the building and the individual laboratories. 
For the building, the plan must describe evacuation routes, facilities 
for medical treatment, and procedures for reporting accidents and 
emergencies. The plans will be reinforced by drills. Emergency groups 
and community officials must be informed of emergency plans in advance 
of any call for assistance. See AR 385-69.
    (b) General emergency procedures. The following emergency procedures 
will be followed for laboratory accidents or incidents--
    (1) Using appropriate personal protection, assist persons involved, 
remove contaminated clothing if necessary, decontaminate affected areas, 
and remove personnel from exposure to further injury if necessary; do 
not move an injured person not in danger of further harm. Render 
immediate first aid if necessary.
    (2) Warn personnel in adjacent areas of any potential hazards to 
their safety.
    (3) In case of fire or explosion, call the fire department or 
community fire brigade immediately. Follow local rules for dealing with 
incipient fire. Portable fire extinguishers will be made available with 
instructions for their use. Fire fighters responding to the fire scene 
will be advised to wear a self-contained positive pressure breathing 
appartus to protect themselves from toxic combustion by-products.
    (4) Laboratories must be prepared for problems resulting from severe 
weather or loss of a utility service. In the event of the latter, most 
ventilation systems not supplied with emergency power will become 
inoperative. All potentially hazardous laboratory work must stop until 
service has been restored and appropriate action has been taken to 
prevent personnel exposure to etiologic agents.
    (5) In a medical emergency, summon medical help immediately. 
Laboratories without a medical staff must have personnel trained in 
first aid available during working hours.
    (6) For small-scale laboratory accidents, secure the laboratory, 
leave the area, and call for assistance.
    (7) When handling mixed hazards (for example, a substance or mixture 
that may be infectious and radioactive, or infectious and chemically 
toxic), respond with procedures addressing the greater hazard first, and 
then follow through with those for the lesser hazards to ensure that all 
appropriate steps have been taken.
    (c) Evacuation procedures. Building and laboratory evacuation 
procedures will be established and communicated to all personnel.
    (1) Emergency alarm system. (i) There will be a system to alert 
personnel of an emergency that requires evacuation of the laboratory or 
building. Laboratory personnel must be familiar with the location and 
operation of alarm equipment.
    (ii) Isolated areas (for example, cold, warm, or sterile rooms) will 
be equipped with an alarm or communication system that can be used to 
alert others outside to the presence of a worker inside, or to warn 
workers inside of an emergency that requires evacuation.
    (2) Evacuation routes will be established and an outside assembly 
area for evacuated personnel must be designated. All individuals should 
be accounted for.
    (3) Shut-down and start-up procedures.
    (i) Guidelines for shutting down operations during an emergency 
evacuation will be available in writing. Those guidelines will include 
procedures for handling any power failure emergency.
    (ii) Written procedures will also be provided to ensure that 
personnel do not return to the laboratory until the emergency is ended. 
Those procedures

[[Page 654]]

must also contain start-up operations for the laboratory.
    (iii) All shut-down and start-up procedures will be available to 
personnel and reviewed semiannually.
    (4) All aspects of the building evacuation procedur will be tested 
semiannually with practice drills.
    (d) Spills. (1) All areas where work with etiologic agents is 
performed will have designated personnel to respond to a spill and 
provide protective apparel, safety equipment, and materials necessary to 
contain and clean up the spill. Protective clothing requirements are 
described in Sec. 627.21. Also, there will be supplies on hand to deal 
with the spill consistent with the hazard and quantities of the spilled 
substance.
    (2) The safety officer will be notified immediately of all spills. 
The first line supervisor will ensure that proper clean-up techniques 
are employed.
    (3) Etiologic agents. (i) A program for responding to spills of 
etiologic agents will be developed and implemented. This program will 
contain emergency response procedures for a biological spill, which will 
be tailored to the potential hazard of the material being used, the 
associated laboratory reagents involved, the volume of material, and the 
location of the materials within the laboratory. Generally, the spill 
should be confined to a small area while minimizing the substance's 
conversion to an aerosol. The spill will be chemically decontaminated or 
neutralized, followed by a cleanup with careful disposal of the residue. 
If the spilled material is volatile and noninfectious, it may be allowed 
to evaporate but must be exhausted by a chemical hood or ventilation 
system.
    (ii) When a mishap occurs that may generate an aerosol of etiologic 
agents requiring BL-2 (or higher) containment, the room must be 
evacuated immediately, the doors closed, and all clothing 
decontaminated, unless the spill occurs in a class II or class III 
biological safety cabinet. Sufficient time must be allowed for the 
droplets to settle and the aerosols to be reduced by the air changes of 
the ventilation system before decontaminating the area. The area will 
then be decontaminated to prevent exposure to the infectious agents or 
toxic substances. Reentry procedures to perform the decontamination will 
conform to Sec. 627.18(e).
    (iii) A spill of biohazardous material within a biological safety 
cabinet requires a special response and cleanup procedure. Cleanup will 
be initiated while the cabinet continues to operate, using an effective 
chemical decontaminating agent. Aerosol generation during 
decontamination and the escape of contaminants from the cabinet must be 
prevented. Caution must be exercised in choosing the decontaminant, 
keeping in mind that fumes from flammable organic solvents, such as 
alcohol, can reach dangerous concentrations within a biological safety 
cabinet.
    (4) Combined radioactive and biological spills. (i) Both the 
radiation protection officer (RPO) and the safety officer must be 
notified immediately whenever there is a spill of radioactive biological 
material, regardless of its size. Laboratory personnel may be expected 
to clean up the spill. The RPO will direct the cleanup, in accordance 
with the NRC license for the facility.
    (ii) The spill will be cleaned up in a way that minimizes the 
generation of aerosols and spread of contamination. All items used in 
cleaning up the spill must be disposed of as radioactive waste.
    (iii) Following cleanup, the area, affected protective clothing, and 
all affected equipment and supplies must be surveyed for residual 
radioactive contamination. All potentially affected areas and items that 
are not disposable will be wipe-tested to verify that unfixed 
radioactive contamination has been removed. If fixed contamination is 
found, the RPO will determine the requirements for additional cleanup.
    (e) Reentry procedures. This section applies when reentry is 
necessary to clean up a spill outside of a hood or biological safety 
cabinet, or to decontaminate or service engineering controls that have 
failed or malfunctioned so that they do not provide the required 
containment.
    (1) When agents requiring BL-1 or BL-1 LS containment are involved, 
the clothing requirements stated in Sec. 627.30

[[Page 655]]

(a) or (b) as appropriate will be followed. Individuals will remove the 
required protective clothing when finished and wash their hands before 
proceeding to other tasks.
    (2) When agents requiring BL-2, BL-2 LS, or toxin procedures and 
containment are involved, personnel will be required to wear the 
clothing described in Sec. 627.30 (c) or (d) as appropriate. Outer 
protective clothing will be removed and left in the room before exiting 
and personnel will wash their hands before proceeding on to other 
activities.
    (3) When agents requiring BL-3, or BL-3 LS containment are involved, 
containers for sealing up inner protective clothing and decontaminant 
will be placed at the room exit. Personnel will be required to wear the 
clothing described in paragraph 4-10e. When exiting the area after 
decontamination procedures, individuals will remove their outer layer of 
protective clothing just before exiting the room. Once outside the room, 
the inner layer of protective clothing (for example, coverall) will be 
removed and placed in the container and the inner gloves will be 
decontaminated before being removed and placed in the container. 
Personnel will proceed directly to the shower facility to take a 
complete shower before exiting the facility.
    (4) When agents requiring BL-4 containment are involved, the 
following applies as appropriate to the type of BL-4 facility:
    (i) When a spill requiring clean-up is in an area designed for use 
with personal positive pressure suits, the entry and exit procedures 
will be those normally required to enter or exit the area.
    (ii) When entering a nonsuit area where a spill of etiologic agent 
has occurred outside the containment of a Class III biological safety 
cabinet, personnel will wear the clothing as described in 
Sec. 627.30(f). Before entry, decontamination areas will be established. 
To accomplish this, two step-in decontamination pans with the 
appropriate disinfectant will be set up [one just inside the room (where 
the contamination exists) and the second immediately outside the room]. 
Immediately outside the room, there will also be a sealable container 
suitable for sealing up the suit and any air lines (if used).
    (iii) When exiting the room, suited individuals will place all 
equipment and other items in autoclaves or disinfectant, step into the 
disinfectant pan, and wash down the exterior of their suits with 
appropriate disinfectant. When completed, the door to the room will be 
opened and the individual will step through the doorway into the second 
disinfectant pan. The suit will be thoroughly rinsed with disinfectant 
again before moving toward the exit from the facility. The suit (but not 
the respirator) will be placed in the provided container. The individual 
will proceed through another doorway before removing the respirator and 
placing it in a closed container for decontamination. The individual 
will then proceed directly to the shower area and take a full shower 
before exiting the area. In case they are needed, personnel will be 
standing by ready to render assistance. Suited individuals will be 
visually observed, if possible. When visual observation is not possible, 
a communications system is required.
    (f) Mishap reports and investigations. (1) Each institution must 
have a defined system for reporting laboratory injuries, illnesses, and 
mishaps, as well as for investigating them. These events will be 
documented and reported to the appropriate safety, supervisory, and 
occupational health personnel. Those organizations subject to the 
regulations promulgated by the OSHA will follow the specific 
requirements for reporting injuries in the work place contained in those 
regulations. The requirements stated in AR 385-69, State, and local 
government requirements for similar reporting will be followed.
    (2) Form(s) for recording mishaps will be available and completed 
for all laboratory mishaps. Those reports must include a description of 
the mishap and any factors contributing to it. In addition, a 
description of any first aid or other health care given to the employee 
will be included. Responsibility for completing these forms must be 
clearly defined in the facility safety manual. Mishaps will be reviewed 
periodically by the safety officer, the safety committee, the employee 
health

[[Page 656]]

unit, or other appropriate personnel. Individual reports or a summary 
must be sent, along with recommended changes in laboratory procedure or 
policy, to the commander or institute director. Policy or procedural 
changes must be implemented if deemed necessary by the commander or 
institute director.
    (3) Any mishaps with etiologic agents used under sponsorship of the 
BDP that result in sero-conversion or a laboratory-acquired illness will 
be reported.



Sec. 627.19  Large-scale operations.

    (a) Large-scale. In addition to the requirements stated in 
Sec. 627.13, the following applies to research or production activities 
involving viable etiologic agents in quantities greater than 10 liters:
    (1) All large-scale operations will be conducted in facilities 
described in Sec. 627.47.
    (2) Cultures will be handled in a closed system.
    (3) Sample collection, the addition of materials, and the transfer 
of culture fluids shall be done in a manner which minimizes the release 
of aerosols or contamination of exposed surfaces.
    (4) A closed system or other primary containment equipment that has 
contained viable organisms shall not be opened for maintenance or other 
purposes unless it has been sterilized.
    (5) SOPs will include a section describing and requiring a 
validation of the process equipment's proper function.
    (6) Scientists, technicians, equipment workers, and support 
personnel with access to the large-scale production area during its 
operation will be included in the medical surveillance program.
    (b) BL-2--LS. In addition to the requirements stated in 
Secs. 627.19(a) and 627.14, the following procedures will be employed 
for BL-2--LS:
    (1) Rotating seals and other mechanical devices directly associated 
with the closed system used for the propagation and growth of viable 
organisms shall be designed to prevent leakage or shall be fully 
enclosed in ventilated housings that are exhausted through filters which 
have efficiencies equivalent to HEPA filters or through other equivalent 
treatment devices.
    (2) A closed system used for the propagation and growth of viable 
organisms and other primary containment equipment used to contain 
operations involving viable organisms shall include monitoring or 
sensing devices that monitor the integrity of containment during 
operations.
    (3) Systems used to propagate and grow viable organisms shall be 
permanently identified. This identification shall be used in all records 
reflecting testing, operation, and maintenance and in all documentation 
relating to the use of this equipment.
    (c) BL-3--LS. In addition to the requirements stated in 
Secs. 627.19(a) and 617.14, the following procedures apply:
    (1) Personnel entry into the controlled area shall be through the 
entry area specified in Sec. 627.47(c)(1).
    (2) Persons entering the controlled area shall exchange or cover 
their personal clothing with work garments such as jumpsuits, long 
sleeved laboratory coats, pants and shirts, head cover, and shoes or 
shoe covers. On exit from the controlled area, the work clothing may be 
stored in a locker separate from that used for personal clothing, or 
discarded for laundering. Clothing shall be decontaminated before 
laundering.
    (3) Entry into the controlled area during periods when work is in 
progress shall be restricted to those persons required to meet program 
support needs.
    (4) Prior to entry, all persons shall be informed of the operating 
practices, emergency procedures, and the nature of the work conducted.
    (5) The universal biohazard sign shall be posted on entry doors to 
the controlled area and all internal doors. The sign posted on the entry 
doors to the controlled area shall include a statement of agents in use 
and personnel authorized to enter.
    (6) Equipment and materials required for the management of accidents 
involving viable organisms shall be available in the controlled area.
    (d) BL-4--LS. Guidelines for these operations are not established. 
If these are needed, they must be established by the United States Army 
Surgeon

[[Page 657]]

General or the NIH on an individual basis.



Sec. 627.20  Operations with radioactive material.

    Operations that combine etiologic agents with radioactive material 
present unique problems. When this is the case, the following apply:
    (a) Radiation program. A radiation program meeting the requirements 
of AR 385-11 and NRC licensing that allows the particular isotope and 
its use are required. The requirements for acquisition, handling 
procedures, labeling, storage, training, monitoring, and disposal will 
be described in an organization policy document.
    (b) Procedure approval. In addition to the required approvals for 
work with etiologic agents, the RPO will approve all SOPs involving the 
use of radioactive materials. Laboratory operators must be fully 
trained, with annual training updates as required by the existing 
license.
    (c) Special situations. (1) The laboratory waste must be segregated 
as radioactive waste and disposed of as such after it has been 
decontaminated. Do not mix nonradioactive waste with radioactive waste 
as the disposal of radioactive waste is much more complex and expensive. 
When RCRA-listed chemicals are mixed with radioactive waste, it becomes 
``mixed waste'' for which there is currently no means of disposal.
    (2) Activities conducted with radioisotopes should be confined to 
the smallest number of areas or rooms consistent with requirements.
    (3) Decontamination methods specific to etiologic agents will not 
always remove radioactivity. Other methods, such as specialized 
detergents and solvents designed for this use, should be employed to 
remove residual radioactivity.



                Subpart D--Personal Protective Equipment



Sec. 627.21  Introduction.

    Personal protective equipment (PPE) includes clothing and equipment 
used to protect the laboratory worker from contact with infectious, 
toxic, and corrosive agents, as well as excessive heat, fire, and other 
physical hazards. The appropriate PPE for any activity depends upon the 
proposed operations and the potential hazards associated with them. 
While PPE is an important item of personal protection, it serves as only 
a secondary line of protection against hazards in the workplace. 
Engineering controls (subpart H), combined with common sense, good 
laboratory techniques, and adherence to SOPs, are the primary barriers 
to exposure. There are some situations, however, in which it is either 
impractical or impossible to rely exclusively on engineering controls. 
In these cases, PPE may form the primary barrier between personnel and 
the hazardous or infectious materials.



Sec. 627.22  Minimum laboratory attire for use of etiologic agents.

    Individuals required to wear PPE will be trained in its proper use. 
The PPE listed below is the minimum required when etiologic agents are 
handled at any biosafety level. Research with etiologic agents usually 
involves hazards other than those presented by the agents themselves. 
When PPE is selected, the hazards presented by these other factors must 
be considered regardless of the biosafety level used. For example, toxic 
chemicals are commonly used in research involving etiologic agents. The 
processes may expose personnel to physical hazards, such as heat or 
animal bites, and the decontamination process may involve the handling 
of toxic or corrosive materials. When the PPE required to mitigate these 
hazards exceeds that of the minimum requirements, the necessary PPE will 
be selected considering all the hazards. Information regarding the 
additional appropriate PPE worn to protect against these hazards will be 
available from one of the following sources: MSDS, SOP for the 
operation, or the safety officer. Deviations from the standards stated 
in approved SOPs must be approved by the safety officer. All laboratory 
coats worn to protect the individual should be left in the laboratory 
when that individual leaves. In each case, the minimum attire will be--
    (a) Laboratory workers. Street attire is permissible in the 
laboratory, but

[[Page 658]]

must include closed-toe shoes. A full-length, long sleeved, fully 
fastened laboratory coat, gown, or smock will be worn over the street 
attire in the laboratory at all times. The laboratory clothing will be 
removed and left in the laboratory when leaving to enter nonlaboratory 
use areas.
    (b) Animal caretakers. In addition to the clothing requirements in 
Sec. 627.22(a), animal handlers will be provided with safety shoes or 
safety boots. The requirements of Sec. 627.22(b) should also apply.
    (c) Nonhuman primate rooms. Personnel entering rooms housing 
nonhuman primates will wear the clothing stated in Sec. 627.22(a) and, 
if applicable, Sec. 627.22(b) in addition to a molded mask or HEPA 
filtered respirator, latex or vinyl gloves, and eye protection.



Sec. 627.23  Biosafety level 1.

    This level requires only the minimum attire described in 
Sec. 626.22.



Sec. 627.24  Biosafety level 2.

    This level requires the following additions to the minimum clothing 
specified in Sec. 627.22:
    (a) Laboratory. Gloves (type dependent on the application) will be 
worn when handling etiologic agents or containers of etiologic agents 
and when handling infected animals.
    (b) Animal rooms. (1) Protective clothing will be changed completely 
every day. One- or two-piece laboratory suits or solid-front gowns and 
wrap-around smocks are preferable. Full-length, long-sleeved, fully 
fastened laboratory coats are allowed.
    (2) Eye protection must be worn when handling nonhuman primates.
    (3) Appropriate gloves must be worn.
    (4) Molded masks or HEPA filtered respirators will be worn in rooms 
housing nonhuman primates.



Sec. 627.25  Biosafety level 3.

    The outer clothing worn in these facilities must never be worn 
outside the facility. Color-coded clothing that is worn only in the 
facility is recommended to remind individuals not to wear it outside. 
The minimum clothing includes--
    (a) Laboratory. (1) Long-sleeved, solid front, or wraparound gowns, 
scrub suits, or coveralls over street attire which includes closed-toe 
shoes. Dedicated shoes, boots, or shoe covers will be worn in the 
facility.
    (2) Appropriate gloves.
    (b) Animal rooms. (1) A complete change of protective clothing on a 
daily basis. Long-sleeved one- or two-piece solid front uniforms, solid-
front gown, wrap-around smocks, or solid front coveralls.
    (2) Eye protection must be worn when handling nonhuman primates.
    (3) Molded masks or HEPA filtered respirators will be worn in rooms 
housing infected animals.
    (4) Shoe covers will be worn and removed before exiting the room; 
alternatively, disinfectant footbaths will be used for each exit from 
the room when infected animals are present.



Sec. 627.26  Biosafety level 4.

    Street clothing must be removed in an outer clothing change room and 
kept there. Clothing worn in the facility will be removed in an inner 
change room and a shower taken before replacing the street clothing. Two 
distinct PPE requirements exist for BL-4 operations:
    (a) Class III biological safety cabinet containment. Clothing 
requirements when all etiologic agents and infected animals are housed 
and manipulated in Class III biological safety cabinets will include--
    (1) Complete change of clothing and wet shower upon exit. This 
includes undergarments, pants and shirts or jump-suits, and shoes. While 
it is preferred that the shower include washing the hair, head covers 
will be worn by those who do not wash their hair on each exit.
    (2) Appropriate inner gloves. The inner gloves will be donned in the 
change room.
    (b) Class I or II biological safety cabinet containment. Clothing 
requirements for this level when etiologic agents are contained in Class 
I or II biological safety cabinets of equivalent partial-containment 
caging systems (for infected animals) (See Secs. 627.56 and 627.57) 
include--
    (1) Complete change of clothing and wet shower upon exit. This 
includes undergarments, pants and shirts or jump-

[[Page 659]]

suits, and shoes. While the shower should include washing the hair, head 
covers will be worn by those who do not wash their hair on each exit.
    (2) Appropriate inner gloves will be donned in the change room.
    (3) A one-piece positive pressure suit described in Sec. 627.31(g).
    (4) Impervious boots fitted over the suit.



Sec. 627.27  Large-scale (LS) operations.

    The clothing requirements for these are the same as for the 
corresponding biosafety levels for laboratory operations.



Sec. 627.28  Solutions of toxins and dry forms of toxins in closed containers.

    In addition to the minimum clothing specified in Sec. 627.22, 
disposable gloves or gloves designed to protect against the diluent will 
be worn when handling these materials.



Sec. 627.29  Dry forms of toxins handled in open containers.

    In addition to the requirements stated in Sec. 627.28, the 
requirements stated in Sec. 627.18(c) apply.



Sec. 627.30  Situations specified in Sec. 627.18(e).

    The clothing requirements for this section are for the emergency 
procedures specified in Sec. 627.18(e). Because situations can occur and 
there is no feasible or available means to mitigate the potential hazard 
adequately by engineering controls, the clothing requirements exceed 
those required for a properly conducted laboratory operation at an 
equivalent biosafety level. The protective equipment required will be 
selected based upon an assessment of the potential hazards that could be 
encountered. The following clothing requirements are given as a guide. 
The selection of PPE will be based upon the highest possible level of 
contamination that could exist in the room. This will be based upon what 
is known about the operations that were conducted in the room during and 
prior to the current incident. In each situation, the aerosols will be 
allowed to dissipate or settle before entry (approximately 30 minutes). 
The following clothing requirements apply to these situations:
    (a) BL-1. (1) Gloves.
    (2) Outer complete covering such as a pair of coveralls.
    (3) Shoe covers, provided shoes, or safety shoes or boots.
    (4) Eye protection (maintenance only).
    (b) BL-1 LS. The same as described in section 627.30(a) with the 
following additions:
    (1) An impervious apron.
    (2) Impervious boots.
    (c) BL-2 and toxins. (1) Gloves.
    (2) Full outer covering such as a coverall.
    (3) Shoe covers, provided shoes, or safety shoes or boots 
(maintenance).
    (4) An approved half-face or full-face respirator with HEPA filters 
(worn).
    (5) Eye protection.
    (6) An impervious apron (not required for entry only).
    (d) BL-2 LS. The same as Sec. 627.30(c) with the addition of 
impervious boots.
    (e) BL-3 and BL-3 LS. (1) A complete change of clothing.
    (2) Gloves.
    (3) An approved full-face HEPA or HEPA plus charcoal filtered 
respirator.
    (4) An impervious apron (not required for entry only).
    (5) Impervious boots.
    (6) Head cover.
    (f) BL-4.
    (1) A full change of inner clothing.
    (2) An inner pair of gloves.
    (3) A one-piece positive pressure suit as described in 
Sec. 627.31(g), or a one-piece Xsuit with an approved positive pressure 
self-contained breathing apparatus (SCBA) and a supplied-air respirator 
(SAR) or both (see Sec. 627.31(f)).
    (4) Appropriate gloves fitted to the suit.
    (5) Impervious boots fitted over the suit.



Sec. 627.31  Specific requirements for individual PPE items.

    (a) Aprons. Simple plastic or rubber aprons.
    (b) Boots. When boots must be worn with an apron, the apron should 
cover the boot tops sufficiently so that liquids splashed on the apron 
will not run into the boots.
    (c) Eye and face protection. Eye protection will meet or exceed the 
requirements of OSHA found in the 29 CFR

[[Page 660]]

1910.133 and will be worn at all times when required. Special eye wear 
may be required around ultraviolet (UV) light source.
    (d) Gloves. (1) No one glove will be satisfactory for all 
applications. Gloves are fabricated in a wide assortment of materials. 
The type of glove selected will depend upon the specific activity. The 
various activities in biocontainment facilities call for gloves to 
protect against etiologic agents in situations where micro-manipulations 
are required and excellent tactile feed-back through gloves is 
important, gloves for handling hot glassware and cryogenic materials, 
and gloves to protect against animal bites, toxic substances, chemical 
carcinogens, solvents, acids, and caustics. Many of these requirements 
call for gloves distinctly different from gloves suitable for the other 
hazards. As a result, the SOP for each operation should address these 
hazards and specify the appropriate glove required for each operation. 
Consult MSDSs, manufacturer glove charts, and the safety officer to 
determine the correct glove type needed.
    (2) Before donning a pair of gloves, examine them closely to 
ascertain that they are in serviceable condition. Check for rips and pin 
holes. Gloves should over-wrap the cuff and lower sleeve of the 
laboratory garment.
    (3) Operations in open-front biological safety cabinets should be 
planned so that once the operator has inserted gloved hands into the 
cabinet, he or she does not have to withdraw them from the cabinet until 
the work has been completed. If gloves become visibly contaminated, they 
will be removed and decontaminated. Additional gloves should be 
available so that work can continue. When wearing gloves for an extended 
period, change them periodically or decontaminate them. Individual SOPs 
will designate the appropriate period based upon the hazards.
    (4) Gloves will be removed before going from one level of 
containment to another (remove gloves in a safety cabinet before 
removing your hands from the cabinet). Take care to ensure that skin is 
not touched with the outer surface of contaminated or potentially 
contaminated gloves when they are removed. Gloves will be placed in 
suitable decontaminant when they are removed. Disposable gloves will be 
placed in a covered container for decontamination or disposal.
    (5) Gloves that are a part of a biological safety cabinet system 
will be examined initially, after each sterilization of the biological 
safety cabinet system, and at least annually for leaks using the soap 
bubble test, followed by the halo-carbon test. Gloves will be tested 
while still attached to the cabinet.
    (6) Sterilization of nondisposable gloves either before use or 
before reuse is usually done with ethylene oxide or formaldehyde gas. 
Sterilized gloves must be aerated in flowing sterile (filtered) air at 
21  deg. C or higher for a minimum of 24 hours prior to use to prevent 
skin burns and irritation from residual decontaminants.
    (e) Laboratory clothing. Users will check clothing before wearing 
it, to ensure that it is free from defects that would compromise its 
usefulness. Laboratory clothing (except BL-1) will be decontaminated 
before being released for laundering by untrained or unprotected 
personnel. Protective laboratory clothing that requires the wearer to 
pull it over the head will not be used. Laboratory clothing will meet 
OSHA requirements found in the 29 CFR 1910.132.
    (f) One-piece suits. One-piece suits with a respirator under the 
suit are not used to any great extent except in certain emergencies. The 
respirators used with these are supplied air by an approved positive 
pressure SCBA or SAR. Respirators will be of the pressure-demand or 
constant flow type. The air provided will meet OSHA requirements found 
in the 29 CFR 1910.134, the requirements of Grade D breathing air as 
specified in the Compressed Gas Association pamphlet G-7.1 and American 
National Standards Institute (ANSI) Z86.1-1973. When used in an area 
that does not have a chemical shower to decontaminate the suit, a 
decontamination station will be set up for this purpose. Suits 
maintained for emergency use will be inspected at least quarterly and 
respiratory equipment will be inspected monthly.
    (g) One-piece positive pressure suits. A life-support system will be 
provided

[[Page 661]]

with alarms and emergency backup breathing tanks. The air provided will 
be HEPA-filtered meeting OSHA requirements found in the 29 CFR 1910.134, 
the requirements of Grade D breathing air as specified in the Compressed 
Gas Association pamphlet G-7.1 and ANSI Z86.1-1973. A HEPA-filter will 
be in-line between the disconnect on the suit and the breathing space in 
the suit. When these are used in other than an emergency situation, a 
chemical shower must be provided to decontaminate the surfaces of the 
suit as the worker leaves the containment area. Suits will be inspected 
before each use to check for indications of significant wear or leakage. 
The suits will be worn with impervious boots over the foot area of the 
suit and the outer gloves will be attached over the hand portion.
    (h) Respiratory protection equipment. (1) Respirators and their use 
will be approved by the safety officer. The selection will be based on 
the conditions of the activities and the risks involved. In general, 
National Institute for Occupational Safety and Health (NIOSH) approved 
respirators that use aerosol filters for dusts and fumes having a 
Threshold Limit Value (TLV) of less than 0.05 mg/m3 have been 
found acceptable for use in microbiological laboratories. Alternatively, 
the Army M-17 or M-9 masks may be used. Air-supplied hoods are used in 
situations where greater respiratory protection is required without the 
need for body protection. One-piece suits are used when total body and 
respiratory protection are required.
    (2) When respirators are used, a respirator protection program will 
be established that conforms to AR 11-34 and OSHA standards in the 29 
CFR 1910.134. In general, a medical authority will designate who is to 
wear respirators, they will be fitted by individuals trained in their 
use and limitations, and wearers will be responsible for the proper 
storage and regular inspection of their assigned respirators. Air-
purifying respirators will not be worn in oxygen deficient environments.
    (3) Reusable respirators that have been worn in a contaminated area 
will be decontaminated before reuse. At the end of each workday when a 
respirator has been worn in an area where it was required, the wearer 
will wipe it down with an appropriate liquid decontaminant. A damp cloth 
soaked in the decontaminant, with the excess liquid squeezed out, will 
be used for the wipe-down process, taking care to ensure that all 
crevices are reached. The respirator will be rinsed with clean, warm 
water. Visibly contaminated respirators will be decontaminated and 
discarded.
    (4) Respirator programs will comply with AR 385-10 and AR 11-34.
    (i) Shoes. All shoes specially issued for use in controlled access 
areas should be identified so that they can be segregated from other 
areas. Safety shoes or boots meeting OSHA requirements stated in the 29 
CFR 1910.134 will be issued wherever heavy items or corrosive chemicals 
are handled. These will be sterilized appropriately after visible 
contamination. In certain situations (excluding BL-4 operations), it is 
desirable to wear disposable booties over street shoes, especially when 
product protection is required.



                 Subpart E--Decontamination and Disposal



Sec. 627.32  Introduction.

    All material or equipment that is potentially contaminated with 
etiologic agents must be rendered nonhazardous before disposal. This 
chapter describes the acceptable physical and chemical decontamination 
methods and the general applicability of each. In general, all 
infectious materials and all contaminated equipment or apparatus will be 
sterilized before being washed and stored or discarded.



Sec. 627.33  Methods of decontamination.

    (a) Autoclave. The use of wet heat is the most dependable procedure 
for destroying all forms of microbial life. An autoclave employs 
saturated steam under a pressure of approximately 15 pounds per square 
inch (psi) to achieve a chamber temperature of at least 121  deg. C for 
a minimum of 15 minutes. The time is measured after the temperature of 
the material being sterilized reaches 121  deg. C. Other combinations of 
temperature and pressure (some of which are dependent on the equipment 
used) can

[[Page 662]]

be used to accomplish sterilization provided that the efficacy of 
sterilization is validated as described below. The most critical factor 
in ensuring the reliability of this sterilization method, other than 
proper temperature, is preventing entrapped air that is not replaced by 
stem. Material to be autoclaved must come in contact with steam and heat 
and, as a result, it may be necessary to add water to a load of waste to 
aid in the formation and penetration of steam. Autoclaves use either a 
steam-activated exhaust valve that reamins open during the replacement 
of air by live steam until the steam triggers the valve to close, or a 
pre-cycle vacuum to remove air prior to steam introduction.
    (b) Sterilization will be verified using biological indicators (for 
example, Bacillus stearothermophilus spores) at locations throughout the 
autocalve, to include placement in the center of test loads, when the 
autoclave is first put into service, and after any maintenance or 
repairs. The primary means of verifying routine sterilization will be 
through using chemical indicators (for example, autoclave tape or 
labels) at locations throughout the autoclave. In addition each 
autoclave will be equipped with a permanent means to record time and the 
temperature of each operational event as a means of ensuring 
sterilization. The type of materials being handled must be reviewed and 
standard conditions for sterilization of each established. As a guide, 
the manufacturer's manual for the autoclaves will be consulted as a 
starting point in establishing these conditions. Treatment conditions to 
achieve sterility will vary in relation to the volume of material 
treated, the contamination level, the moisture content, and other 
factors that should be considered and which may cause the times to 
lengthen. In each case, the conditions will be established based on 
tests which verify that the conditions selected are effective. In 
addition to being effective from viable agents, autoclaving effectively 
inactivates most protein toxins.
    (c) Dry heat. Dry heat requires longer times or higher temperatures 
or both than does wet heat. If used, the specific sterilization times 
and temperatures must be determined for each type of material being 
sterilized. In general, sterilization by dry heat can be accomplished at 
169-170  deg. C for periods of 2 to 4 hours. Higher temperatures reduce 
the time requirements. The heat transfer properties and spatial relation 
or arrangement of materials in the load are critical in ensuring 
effective sterilization.
    (d) Liquid disinfectants. Liquid disinfectants may be used in 
surface treatment, in dip tanks, and, at sufficient concentration, as 
sterilants of liquid waste for final disposal. If liquid disinfectants 
are used, they must have been shown to be effective against the 
organisms present. Important considerations include: temperature, time 
of contact, the negative logarithm of hydrogen ion concentration (pH), 
concentration and state of dispersion, penetrability, and reactivity of 
organic material at the site of application. Small variations in these 
factors may make large differences in the effectiveness of disinfection, 
so complete reliance should not be placed on liquid disinfectants when 
the end result must be sterility. If evidence of efficacy under the 
proposed procedures has not been reported previously, preliminary 
studies to verify the efficacy of liquid disinfectants must be 
conducted. Such studies may include attempts to recover and quantitate 
the agent in question from liquid or swab samples, or sealed patches, by 
animal inoculation, plaque assay, agar or broth cultivation, and similar 
methods, following controlled decontamination under the same 
experimental conditions envisioned for the proposed studies.
    (1) Alcohol. Ethyl or isopropyl alcohol at the concentration of 70-
85 percent by weight will denature proteins but is slow in its 
germicidal action. Alcohols are effective disinfectants for lipid-
containing viruses. These alcohols exhibit no activity against bacterial 
spores.
    (2) Phenolic compounds. These are effective disinfectants against 
vegetative bacteria, including Mycobacterium tuberculosis, fungi, and 
lipid-containing viruses. The phenolics are not effective against 
bacterial spores or non-lipid-containing viruses. The concentrations 
used will be in accordance with the manufacturer's recommendations.

[[Page 663]]

    (3) Formaldehyde solutions. Formaldehyde in solution at a 
concentration of 8 percent (formalin) is effective against vegetative 
bacteria, spores, and viruses. It loses considerable disinfectant 
activity below room temperature. Due to the toxic properties of 
formaldehyde, the use of formalin is restricted to surfaces or materials 
that are contained within appropriate engineering controls.
    (4) Quaternary ammonium compounds. These cationic detergents are 
strongly surface-active. They lose effectiveness in the presence of 
proteins and are neutralized by anionic detergents, such as soap. At low 
concentrations, they are bacteriostatic, tuberculostatic, sporostatic, 
fungistatic, and algistatic. At medium concentration, they are 
bactericidal, fungicidal, algicidal, and virucidal against lipophilic 
viruses. They are not tuberculocidal, sporicidal, or virucidal against 
hydrophilic viruses, even at high concentrations. The manufacturer's 
recommended dilution will be used.
    (5) Chlorine. Sodium hypochlorite is normally used as a base for 
chlorine disinfectants. Free available chlorine is the active ingredient 
and, at concentrations of at least 2,500 parts per million (ppm) (0.25 
percent), is a disinfectant that is active against most microorganisms 
and bacterial spores. Chlorine solutions at 2.5 percent free available 
chlorine are effective against most toxins. Chlorine solutions lose 
strength if exposed to air, so fresh solutions must be prepared whenever 
the free chlorine content falls below desired minimums.
    (6) Iodine. The characteristics of chlorine and iodine are similar. 
Iodophor compounds with 1,600 ppm free available iodine provide a 
relatively rapid inactivation of all microorganisms, including some 
bacterial spores. A commonly available iodophor is Wescodyne. The 
manufacturer of Wescodyne recommends a range of dilution form 1 to 3 
ounces per 5 gallons of water, giving a solution containing from 25 to 
75 ppm of free iodine. At these concentrations, available iodine may be 
rapidly taken up by any extraneous protein present and will not be an 
effective sporocide. A solution providing 1,600 ppm iodine is 
recommended for hand washing or for use as a sporocide.
    (7) Mercurials. Although the mercurials exhibit good activity 
against viruses, they are toxic and are not recommended for general use. 
They have poor activity against vegetative bacteria and are totally 
ineffective sporicides. The dilution recommendations stated by the 
manufacturer will be followed.
    (e) Vapors and gases. Formaldehyde, ethylene oxide, peracetic acid, 
beta-propiolactone, methyl bromide, and glutaraldehyde have all been 
used successfully as space sterilants where they can be employed in 
closed systems and with controlled conditions of temperature and 
humidity. Of these, methyl bromide, beta-propiolactone, and 
glutaraldehyde are not recommended because of their toxic properties. 
Peracetic acid can readily decompose with explosive violence in a 
concentrated state and must be used only in a diluted state and with 
extreme care. Formaldehyde and ethylene oxide are both regulated by OSHA 
for their potential human carcinogenicity, but do have permissible 
exposure levels (unlike beta-propiolactone, for example) and can be used 
safely under controlled conditions.
    (1) Formaldehyde. Formaldehyde gas is, in general, the chemical of 
choice for space disinfection. Biological safety cabinets and associated 
effluent air-handling systems and air filters, incubators, laboratory 
rooms, buildings, or other enclosed spaces can be disinfected with 
formaldehyde. The procedures found in appendix E of the National 
Sanitation Foundation Standard Number 49 will be followed for the 
disinfection of biological safety cabinets. Other enclosures or areas 
will be disinfected by following the same principles. To disinfect 
rooms, the generation of formaldehyde gas from heating powdered or flake 
paraformaldehyde is the preferred method. When area decontamination is 
performed, use 0.3 grams of paraformaldehyde for each cubic foot of 
space to be treated. The room or area must be above 70 deg. F, the 
relative humidity above 70 percent, and the exposure time at least 2 
hours (overnight is preferred). After the required time for 
disinfection, the room

[[Page 664]]

must be cleared of the formaldehyde gas (a small room with nonporous 
surfaces and no materials or equipment in the room can be cleared of all 
detectable formaldehyde by aeration for one hour, while larger areas 
with equipment in them may take a full day). Before formaldehyde is used 
as a space disinfectant, the area to be treated must be surveyed to 
ensure that there are no open containers of any acidic solution 
containing chloride ion in order to prevent the possible formation of 
bis (chloromethyl)ether, a human carcinogen. Specific OSHA requirements 
for posting of rooms and equipment, personnel protection, and other 
requirements are found in 29 CFR 1910.1048.
    (2) Ethylene oxide (EtO). EtO sterilization will only be conducted 
in a sterilizer designed for that purpose and designed to maintain 
potential exposure levels below the current OSHA standard. EtO is 
effective against all microorganisms, including spores, molds, 
pathogenic fungi, and highly resistant thermophilic bacteria. All 
materials to be used in contact with human skin (for example, clothing, 
shoes, masks, adhesive tape) must be aerated for at least 24 hours after 
sterilization and prior to use. Concentrations of 500 to 1000 ppm are 
required for sterilization. Specific OSHA requirements for the use of 
ethylene oxide are found in 29 CFR 1910.1047.
    (f) UV Radiation. UV radiation at a wave length of 253.7 nanometers 
is a practical method for inactivating airborne virsuses, mycoplasma, 
bacteria, and fungi. The usefulness of UV radiation on exposed surfaces 
is limited by its low penetrating power. UV radiation shall only be 
relied upon to sterilize surfaces when conventional methods, such as 
autoclaving or the use of liquid disinfectants, would make the product 
unusable. An example is data sheets that must be brought out of a 
biocontainment facility. The UV intensity must be at least 40 
microwatts/cm 3 on the surface to be treated. Single sheets 
of paper may be treated by exposing them to this radiation for a minimum 
of 15 minutes. A calibrated photoelectric UV intensity meter, capable of 
measuring UV radiation at a wave length of 253.7 nanometers, will be 
used whenever a new UV source is installed, and quarterly thereafter, to 
ensure the UV source is providing at least 40 microwatts/cm 3 
at the work surface. Bulbs should be cleaned routinely to remove any 
accumulated dust and prolong bulb performance and assure proper energy 
output. Protective eye wear and clothing may be necessary when working 
around UV radiation.



Sec. 627.34  Disposal.

    Inactivation is the first step in the disposal of etiologic agents 
or materials that are potentially contaminated with them. All 
contaminated or potentially contaminated materials must be effectively 
disinfected or sterilized by an approved procedure discussed in 
Sec. 627.33. After decontamination, reusable items, such as clothing or 
glassware, may be washed with other uncontaminated or decontaminated 
items.
    (a) Combustible items. Combustible disposable items should be bagged 
and incinerated in an appropriate approved incinerator or otherwise 
disposed of in accordance with State and local regulations.
    (b) Noncombustible disposable items. Items will be packaged as 
stated in Sec. 626.34(e) and disposed of by a licensed waste hauler.
    (c) Equipment. Equipment that cannot be autoclaved will be 
decontaminated by gaseous sterilization or with a suitable liquid 
disinfectant. Such equipment will be certified as decontaminated by the 
safety officer.
    (d) Waste. Materials generated, such as solvents, acids, chemical 
carcinogens, radioactive isotopes, medical waste, or dead animals must 
be decontaminated, packaged, and then disposed of in accordance with 
EPA, NRC, local, State, and Federal regulations.
    (e) Mixed waste. When two or more hazardous materials are mixed 
together, the mixture will be decontaminated and disposed of in 
accordance with EPA, NRC, State, and Federal regulations for the 
mixture, or for the most hazardous material.
    (f) Packaging. Solid waste will be placed in cans, sturdy bags, or 
boxes. Rigid, puncture-resistant, sealable containers will be used for 
packaging ``sharps.'' When wet materials are

[[Page 665]]

packaged for disposal, the materials will be placed in a leak-proof 
container. Heavy waste will be placed in rigid containers ensuring that 
the burst strength of the container is not exceeded.
    (g) Labeling. A method of verifying that all items prepared for 
disposal have been decontaminated will be established for etiologic 
agent wastes. Mixed waste will be labeled as appropriate to indicate the 
hazards that must be addressed after decontamination.
    (h) Recordkeeping. A manifest will be initiated and maintained, 
where required, to record the disposition and transfer of waste. 
Applicable Federal, State, and local ordnances will be followed.



   Subpart F--Importation, Shipment, and Transport of Etiologic Agents



Sec. 627.35  Introduction.

    The CDC of the Public Health Service (PHS), the United States 
Department of Agriculture (USDA), the Food and Drug Administration 
(FDA), the Department of Transportation (DOT), the United States Postal 
Service and the International Air Transport Association (IATA) regulate 
the importation, shipment, and transportation of etiologic agents. This 
chapter outlines the minimum administrative requirements the commander 
or institute director are to follow and gives sources for information on 
the requirements for importation, packaging, labeling, and shipment of 
etiologic agents.



Sec. 627.36  Administration.

    The commander or institute director will establish the following 
controls to ensure that etiologic agents are transported with proper 
authorization, controls, and procedures:
    (a) Institute policies will be established in writing to ensure that 
before etiologic agents are acquired or shipped--
    (1) The division chief responsible for the area where work with 
etiologic agents is to be conducted approves all acquisitions or 
shipments.
    (2) The safety officer is informed in writing of the type and amount 
of any BL-4 or USDA-restricted etiologic agent (listed in HHS 
publication No. (NIH) 88-8395 or current edition) being received, and 
the estimated date of arrival.
    (3) The recipient of all etiologic agents shipped from an institute 
will be documented.
    (4) The commander or institute director approves all acquisitions 
and shipments of BL-4 or USDA-restricted etiologic agents.
    (5) The commander or institute director approves all requests for 
shipments to or from foreign countries and to individuals not affiliated 
with an institution or agency (for example, physicians in private 
practice).
    (6) The Office of The Surgeon General, United States Army, or the 
Commander, United States Army Materiel Command (AMC) approves the 
initial acquisition and use of all reference stocks of etiologic agents 
and transfers between Army RDTE activities in accordance with AR 70-65.
    (7) There is full compliance with the regulatory requirements 
referenced in Secs. 627.37, 627.38, 627.39 and 627.40.
    (8) The following information regarding the recipient and the 
intended use of BL-4 and USDA-restricted animal pathogens, will be kept 
on file for 10 years. This information will also be kept for all 
shipments to or from foreign countries and to individuals not affiliated 
with an institution or agency (for example, physicians in private 
practice).
    (i) The requester's name and address.
    (ii) The type and amount of the etiologic agent to be sent.
    (iii) The qualifications of the recipient of the etiologic agent.
    (iv) The intended use of the etiologic agent.
    (v) A statement indicating that the agent is not for human use.
    (b) Etiologic agents assigned to biosafety level 1, 2, or 3, 
approved for shipment, and properly labeled and packaged may be shipped 
by commercial cargo carriers.
    (c) All etiologic agents assigned to BL-4 or USDA-restricted animal 
pathogens approved for shipment and properly packaged, will be 
accompanied by a designated courier, or under close supervision of a 
responsible party who will monitor aspects of the shipment,

[[Page 666]]

ensuring that required transfers have been completed and documented and 
final receipt has been accomplished and acknowledged.



Sec. 627.37  Importation directives.

    Importation of etiologic agents is subject to the Public Health 
Service Foreign Quarantine Regulations (42 CFR 71.156). Examples of 
permits authorizing the importation or receipt of regulated materials 
and specifying conditions under which the etiologic agent is shipped, 
handled, and used are contained in appendix E to this part.



Sec. 627.38  Shipment directives.

    Shipping unmarked and unidentified etiologic agents is prohibited. 
Etiologic agents will be packaged, labeled, and shipped according to the 
requirements found in the Interstate Shipment of Etiologic Agents 
Regulations (42 CFR part 72) and its amendments. The USDA regulations in 
9 CFR parts 102 through 104, 122 and the FDA regulations in 21 CFR parts 
312 and 600 through 680 will also be followed as applicable. Packaging 
and labeling requirements for interstate shipment of etiologic agents 
are summarized and illustrated in appendix D. Permits authorizing the 
shipment of regulated materials and specifying conditions under which 
the etiologic agent is shipped, handled, and used are contained in 
appendix E to this part.



Sec. 627.39  Transportation directives.

    The packaging and labeling requirements cited above must be followed 
for the local transport of etiologic agents and diagnostic specimens by 
courier or by other delivery services. Similar requirements and 
restrictions applicable to the transport of etiologic agents, diagnostic 
specimens, and biological products by all modes of transportation (that 
is, air, motor, rail, and water) are imposed by the Department of 
Transportation (49 CFR part 173), IATA ``Dangerous Goods Regulations,'' 
the Air Transport Association ``Restricted Articles Tariff 6-D,'' the 
International Civil Aviation Organization (ICAO), Postal Bulletin No. 
21246 ``International Mail-Hazardous Materials,'' 39 CFR, and, the 
Domestic Mail Manual. When shipments exceed 4 liters, the requirements 
found in AR 740-32 will be followed.



Sec. 627.40  Additional requirements.

    Additional requirements for importation, shipment, and 
transportation of infectious agents and hazardous materials that must be 
followed are contained in the following directives:
    (a) AR 40-12, Medical and Agricultural Foreign and Domestic 
Quarantine Regulations for Vessels, Aircraft, and Other Transports of 
the Armed Forces.
    (b) AR 70-65, Management of Controlled Substances, Ethyl Alcohol, 
and Hazardous Biological Substances in Army Research, Development, Test, 
and Evaluation Facilities.



Sec. 627.41  Sources for further information on shipment of etiologic agents.

    (a) Guide for Transportation of Hazardous Materials, Vol. 4(1), 
February 10, 1975. Copies are obtainable from the Office of Research 
Grants Inquiries, NIH, Department of Health and Human Services, 5333 
Westbard Avenue, Bethesda, MD 20205.
    (b) The CDC, Office of Biosafety, 1600 Clifton Road N.E., Atlanta, 
Georgia 30333. Telephone (404) 639-3883, or FTS: 236-3883.
    (c) The American Type Culture Collection (ATCC), Packaging and 
Shipping of Biological Materials at ATCC. Copies may be obtained from 
the ATCC, 12301 Parklawn Drive, Rockville, MD 20852. Phone (301) 881-
2600.
    (d) National Committee for Clinical Laboratory Standards (NCCLS), 
Procedures for the Domestic Handling and Transport of Diagnostic 
Specimens and Etiologic Agents, (H5-A2), Second edition. Vol. 5, No. 1. 
Copies are obtainable from the NCCLS, 771 East Lancaster Avenue, 
Villanova, PA 19085.



                          Subpart G--Facilities



Sec. 627.42  Introduction.

    The design of the facility is important in providing a secondary 
barrier to protect individuals inside and outside the facility. Because 
the hazards presented by various organisms and materials vary, the 
requirements for the facility will vary accordingly. The minimum 
facility requirements for the

[[Page 667]]

various biosafety levels and toxins are described below. The biosafety 
levels correspond to those described in the HHS Publication Biosafety in 
Microbiological and Biomedical Laboratories (HHS No. (NIH) 88-8395), 
while the large-scale biosafety levels were adapted from those described 
in the NIH Guidelines for Research Involving Recombinant DNA Molecules.



Sec. 627.43  Biosafety level 1.

    (a) Laboratories. Each laboratory used for this level will, as a 
minimum, have the following features:
    (1) A sink for handwashing.
    (2) Work surfaces that are impervious to water and resistant to 
acids, alkalis, organic solvents, and moderate heat.
    (3) Fly screens on any windows that can be opened.
    (4) Furnishings and surfaces that are sturdy and designed to be 
easily cleaned.
    (5) Spaces between furnishings and equipment that are accessible for 
cleaning.
    (b) Animal facilities. Each room will have the following features:
    (1) Design and construction to facilitate cleaning and housekeeping.
    (2) A sink for handwashing within the facility.
    (3) Fly screens on any windows that can be opened.
    (4) Ventilation designed so that the direction of airflow in the 
animal facility is inward, with the exhausted air discharged to the 
outside without being recirculated.
    (5) Self-closing doors that open inward.



Sec. 627.44  Biosafety level 2.

    (a) Laboratories. Each laboratory used for this level of hazard will 
have, in addition to the requirements stated in Sec. 627.43(a), the 
following:
    (1) An autoclave available.
    (2) Containment equipment necessary for the operations unless the 
safety officer approves the use of a compensatory level of personal 
protective equipment.
    (3) An eyewash available near the laboratory.
    (b) Animal facilities. In addition to the requirements stated in 
Sec. 627.43(b), facilities will include--
    (1) A sink for handwashing in each room where animals are housed.
    (2) An autoclave available in the building.
    (3) Appropriate containment equipment unless the safety officer 
approves the use of a compensatory level of personal protective 
equipment.



Sec. 627.45  Biosafety level 3.

    (a) General requirements. Each suite used as a laboratory or in 
which infected animals are housed will, as a minimum, have the following 
features:
    (1) Physical separation from areas which are open to unrestricted 
traffic.
    (2) All entrances to each laboratory or animal room from the 
nonlaboratory access corridors will be through two sets of doors. A 
change room or airlock may be incorporated between the doors.
    (3) The interior surfaces of walls, floors, and ceilings will be 
water resistant so that they may be easily cleaned.
    (4) All penetrations into the walls, floors, and ceilings should be 
sealed or capable of being sealed to facilitate decontamination.
    (5) A foot, elbow, or automatically operated sink will be located 
near the exit door to each laboratory or animal room.
    (6) An autoclave should be in each laboratory or animal room and 
will be available to the facility.
    (7) A ventilation system that will--
    (i) Create directional airflow that draws air into the laboratory 
through the entry areas.
    (ii) Not recirculate laboratory air.
    (iii) Discharge the exhaust air from the laboratory to the outside 
and disperse the exhaust air away from occupied areas and air intakes.
    (iv) Exhaust the HEPA-filtered air from Class I or II biological 
safety cabinets or other primary containment devices directly to the 
exterior of the laboratory or through the building exhaust system. 
Exhaust air from the cabinets may be recirculated within the laboratory 
if the cabinet is tested and certified at least every 12 months. If the 
filtered cabinet exhaust is discharged through the building exhaust 
system, it will be connected to this system in a manner (for example, 
thimble unit connection) that avoids any

[[Page 668]]

interference with the air balance of the cabinets or the building 
exhaust system.
    (8) All windows to the facility will be sealed shut.
    (9) Appropriate biological safety cabinets or other specialized 
containment equipment will be provided.
    (10) Any vacuum line in the facility will have a HEPA filter and 
liquid disinfectant trap.
    (11) Bench tops that are impervious to water and resistant to acids, 
alkalis, organic solvents, and moderate heat.
    (12) Furnishings that are sturdy and spaces between benches, 
cabinets, and equipment that are accessible for cleaning.
    (13) An eyewash available in or near the laboratory.
    (b) Additional animal facility requirements. In addition to the 
requirements given in Sec. 627.44(b) and 627.45(a), all doors to the 
animal rooms will open inward and be self-closing.



Sec. 627.46  Biosafety level 4.

    The engineering controls within the facility must provide absolute 
biological containment. All procedures with etiologic agents requiring 
this biosafety level of facilities, equipment, and procedures must be 
conducted either in Class III biological safety cabinets, or in a 
facility that is designed for the use of a personal positive pressure 
suit as described in Sec. 627.46(b) in conjunction with Class I or II 
biological safety cabinets.
    (a) General requirements. The facility will have the following 
features:
    (1) A separate building or a clearly demarcated and isolated area 
within a building which incorporates positive personnel control for 
access.
    (2) All entrances from access corridors incorporate an inner and 
outer change room.
    (3) Inner and outer change rooms separated by a shower facility.
    (4) A double-doored autoclave, fumigation chamber, or ventilated 
airlock for passage of all items which do not enter the facility through 
the change room.
    (5) Interior surfaces of walls, floors, and ceilings resistant to 
water and chemicals to facilitate cleaning and disinfecting.
    (6) Walls, floors, and ceilings of the facility constructed to form 
a sealed internal shell which facilitates fumigation and is animal and 
insect proof.
    (7) All penetrations into the walls, floors, and ceilings sealed.
    (8) All liquid drains in the facility connected directly to a liquid 
waste decontamination system.
    (i) Holding tanks collecting waste from sinks, biological safety 
cabinets, floors, and autoclave chambers provide decontamination by heat 
treatment.
    (ii) Holding tanks collecting waste from shower rooms and toilets 
provide decontamination by heat or chemical disinfectant methods.
    (9) Sewer and other ventilation vents contain in-line HEPA filters.
    (10) Internal facility appurtenances (for example, light fixtures, 
air ducts, and utility pipes) arranged to minimize the horizontal 
surface area on which dust can settle.
    (11) A foot, elbow, or automatically operated handwashing sink 
located near the exit door to each laboratory or animal room.
    (12) Self-closing and lockable access doors.
    (13) A ventilation system that--
    (i) Is dedicated to the facility and provides fresh air meeting 
American Society of Heating, Refrigerating, and Air Condition Engineers, 
Inc. (ASHRAE) Standard 62.
    (ii) Maintains a negative pressure differential and assures flow 
inward from areas outside of the facility toward areas of highest 
potential risk.
    (iii) Has manometers or magnehelic gauges to provide, sense, and 
display pressure differentials between adjacent areas maintained at 
different pressure levels. An alarm will sound when the pressures fall 
below acceptable levels.
    (iv) Has the air supply and exhaust interlocked to ensure that 
exhaust failure or reduction will not allow the air pressure in the area 
to become positive to the adjacent areas.
    (v) Does not recirculate exhaust air.
    (vi) Is HEPA-filtered and discharged to the outside, dispersing the 
exhaust air away from occupied areas and air intakes.
    (vii) Has the HEPA filters on the exhaust located as near to the 
rooms as is practicable.

[[Page 669]]

    (viii) Has the filter chambers designed to allow in-place 
decontamination before the filters are removed and to facilitate 
certification testing.
    (ix) Contains prefilters and HEPA filters in the air supply system 
to protect the supply air system should air pressures become unbalanced.
    (x) Exhausts the HEPA-filtered air from Class I or II biological 
safety cabinets directly into the laboratory or to the exterior of the 
building. If the HEPA-filtered exhaust from these cabinets is 
recirculated, the cabinets are tested and certified every 6 months. If 
the filtered cabinet exhaust is discharged through the building exhaust 
system, it will be connected to this system in a manner (for example, 
thimble unit connection) that avoids any interference with the air 
balance of the cabinets or the building exhaust system.
    (xi) Passes the treated exhaust air from Class III biological safety 
cabinets through two sets of HEPA filters in series to the exterior of 
the facility through the laboratory exhaust air system.
    (14) Windows (if present) sealed shut and breakage resistant.
    (15) Has a double-doored autoclave for decontaminating materials 
passing out of the facility. The autoclave door that opens to the area 
external to the facility is sealed to the outer wall and automatically 
controlled so that it can only be opened after the autoclave 
sterilization cycle has been completed.
    (16) Has a pass-through dunk tank, fumigation chamber, or an 
equivalent decontamination method for materials and equipment that 
cannot be autoclaved.
    (17) Has central vacuum systems (if present) that--
    (i) Do not serve areas outside the facility.
    (ii) Have an in-line HEPA filter placed as near as practicable to 
each use point or service cock.
    (iii) Have filters designed to allow in-place decontamination and 
replacement.
    (18) Liquid and gas services to the facility provided with 
protective devices that prevent backflow.
    (b) Additional requirements for personal positive pressure suit 
areas. If personal positive pressure suits are worn in lieu of using 
Class III biological safety cabinets for containment, a special suit 
area will be provided. The suit area will provide the following, in 
addition to the requirements stated in Sec. 627.46(a):
    (1) An exhaust system dedicated to that area that provides 
filtration by two sets of HEPA filters installed in series. This system 
will be backed up by a duplicate filtration unit, exhaust fan, and an 
automatically starting emergency power source. The ventilation system 
will maintain the suit area under negative pressure relative to the 
surrounding areas.
    (2) An entry area consisting of an airlock fitted with airtight 
doors.
    (3) A chemical shower to decontaminate the surface of the personal 
positive pressure suit upon exit.
    (4) An air supply and distribution system to support the life 
support system of the personal positive pressure suits.
    (5) Emergency lighting and communications systems.
    (6) Sealed penetrations into the internal shell of the area.
    (7) A double-doored autoclave to decontaminate waste materials to be 
removed from the suit area.
    (c) Additional laboratory requirements. In addition to those given 
in Sec. 627.45, if water fountains are provided, they will be foot 
operated and located in the facility corridors outside the laboratory.
    (d) Additional animal facility requirements. In addition to those 
requirements given in Sec. 627.45, all animal facility external doors 
will be self-locking.



Sec. 627.47  Large-scale facilities.

    The following requirements apply to facilities in which an 
individual culture of viable etiologic agents exceed 10 liters:
    (a) BL-1 LS. In addition to the laboratory requirements stated 
Sec. 627.43(a), the exhaust gases removed from a closed system or other 
primary containment equipment shall be treated by filters which have 
efficiencies equivalent to HEPA filters or by other

[[Page 670]]

equivalent procedures (for example, incineration) to minimize the 
release of viable organisms.
    (b) BL-2 LS. In addition to the requirements stated in 
Secs. 627.44(a) and 627.47(a), these facilities will have--
    (1) Rotating seals and other mechanical devices directly associated 
with a closed system used to contain viable organisms shall be designed 
to prevent leakage or shall be fully enclosed in ventilated housings 
that are exhausted through filters which have efficiencies equivalent to 
HEPA filters or through equivalent treatment devices.
    (2) A closed system used to propagate and grow viable organisms 
shall include monitoring or sensing devices that monitor the integrity 
of containment during operations.
    (3) Closed systems used for the propagation and growth of viable 
organisms shall be tested operationally for integrity of the containment 
features. The containment will be rechecked following modification or 
replacement of essential containment features. Procedures and methods 
used in the testing shall be appropriate for the equipment design and 
for recovery and demonstration of the test organism. Records of tests 
and results shall be maintained on file.
    (c) BL-3 LS. The requirements stated in Secs. 627.45 and 627.57(b) 
apply, and all closed systems and other primary containment equipment 
used in handling cultures of viable organisms shall be located within a 
controlled area which meets the requirements of a BL-3 facility plus the 
following requirements:
    (1) All utilities and service or process piping or wiring entering 
the controlled area shall be protected against contamination.
    (2) A shower facility shall be provided. This facility shall be 
located near the controlled area.
    (3) The controlled area shall be designed to preclude release of 
culture fluids outside in the event of an accidental spill or release 
from the closed systems or other primary containment equipment.
    (4) The controlled area shall have a ventilation system capable of 
controlling air movement. The movement of air shall be from areas of 
lower contamination potential to areas of higher contamination 
potential. If the ventilation system provides positive pressure supply 
air, the system shall operate so as to prevent the reversal of air 
movement or shall be equipped with an alarm that would be actuated if 
reversal in the direction of air movement were to occur. The exhaust air 
from the controlled area shall not be recirculated to other areas of the 
facility. The exhaust air from the controlled area may be discharged to 
the outdoors after filtration or other means of effectively reducing an 
accidental aerosol burden, and dispersed clear of occupied buildings and 
air intakes.



Sec. 627.48  Toxins.

    General requirements for all facilities in which toxins are used are 
as follows. Such facilities will--
    (a) Have a ventilation system that provides three to six air changes 
per hour, and that provides a directional airflow inward relative to the 
access halls.
    (b) Have a sink for handwashing.
    (c) Have an eyewash available.
    (d) Have bench tops that are impervious to water and resistant to 
acids, alkalis, organic solvents, and moderate heat.
    (e) Have furniture, furnishings, and surfaces that are sturdy and 
designed to be easily cleaned.
    (f) Be arranged so that items are accessible for cleaning.
    (g) Have a quick-drench shower available within the facility.
    (h) A fume hood, biological safety cabinet, glove box, or equivalent 
engineering control equipped with HEPA filters and with charcoal filters 
if volatile materials are being used.



                     Subpart H--Engineering Controls



Sec. 627.49  Introduction.

    As required by the OSHA and recommended by the American Industrial 
Hygiene Association (AIHA) and the CDC, engineering controls and proper 
microbiological techniques are the primary means of protecting personnel 
who work with potentially hazardous biological materials. In situations 
of potentially higher hazard, these engineering controls are 
supplemented by

[[Page 671]]

personal protective clothing and equipment. Thus, the engineering 
controls discussed in this chapter will be the primary means of 
personnel and environmental protection when working with etiologic 
agents. Because of the importance of these engineering controls, this 
chapter contains not only requirements for the engineering and 
construction of these controls, but also requirements for their 
certification and continuous satisfactory performance. These will be 
described for each engineering control.



Sec. 627.50  Class I biological safety cabinet.

    (a) Description. The Class I biological safety cabinet (figure H-I 
in appendix F to this part) is a ventilated cabinet for personnel 
protection only. The cabinet provides an uncirculated inward flow of air 
away from the operator. The exhaust is passed through a HEPA filter. It 
may be discharged into the laboratory or vented out of the laboratory 
and dispersed away from occupied spaces or air intakes. When the exhaust 
is recirculated in a BL-2 or BL-3 facility, the cabinet must be tested 
and certified annually. In a BL-4 facility, if the exhaust is 
recirculated, the cabinet must be tested and certified semiannually.
    (b) Uses. These cabinets are used if personnel protection against 
the microorganisms is required; for modest quantities of volatile, 
toxic, or radioactive chemicals (in concentrations and quantities 
associated with biological systems) if vented to the outside; and when 
sterility is not required. They are commonly used for housing tabletop 
centrifuges, in the necropsy of small animals, and for changing animal 
bedding.
    (c) Prohibitions. This class of cabinet is not to be used when 
sterility must be maintained. In addition, volatile, toxic, or 
radioactive materials can not be used in this class of cabinet when the 
exhaust air is not exhausted to the exterior.
    (d) Certifications and requirements. (1) The inward air velocity on 
these cabinets will be an average of 100 plus or minus 20 linear feet 
per minute (lfpm). Each cabinet must be certified before use and 
semiannually thereafter by a face velocity test. Additionally, smoke 
tests will be performed annually to verify containment.
    (2) The exhaust system will have a HEPA filter, which will be tested 
initially upon installation, after repair or replacement, and every 2 
years thereafter (except when required more often). Filters will be 
certified to be 99.97 percent effective in capturing particulate matter 
by a leakage test using mineral oil or other appropriate aerosol 
dispersed as 0.3 micron droplets.



Sec. 627.51  Class II biological safety cabinet.

    All Class II biological safety cabinets (figure H-II in appendix F 
to this part) are ventilated cabinets for personnel and product 
protection, having an open front with inward air flow for personnel 
protection.
    (a) Operating standards. (1) All of these cabinets must conform and 
be certified to meet National Sanitation Foundation (NSF) Standard No. 
49 revised, June 1987, for the applicable type of cabinet.
    (2) After installation and before use, and annually thereafter, the 
cabinets will be tested in accordance with NSF Standard No. 49 (latest 
revision June 1987) as follows:
    (i) Primary (required) tests--
    (A) Velocity profile test.
    (B) Work access opening airflow (face velocity) test.
    (C) HEPA filter leak test.
    (D) Cabinet integrity test (soap bubble test) for cabinets with 
positive pressure internal plenums.
    (ii) Secondary (optional) tests--
    (A) Vibration test.
    (B) Electrical leakage and ground circuit resistance tests.
    (C) Noise level test.
    (D) Lighting intensity test.
    (E) UV light intensity test.
    (3) After repairs or alterations to the cabinetry or ventilation 
system that affect the cabinet, the tests listed in Sec. 627.51(a)(2) 
will be performed for the relevant parameters.
    (4) The work access opening airflow (face velocity) test, as 
specified in NSF Standard No. 49 (latest revision, June 1987), will be 
performed to check that the cabinet is within specifications on an 
annual basis for BL-1 and BL-2 and

[[Page 672]]

toxin use. This test will be performed semiannually on cabinets used for 
BL-3 and BL-4 as well as for work with dry forms of toxins.
    (5) When the exhaust is recirculated in a BL-4 facility, the cabinet 
must be tested and certified semiannually.
    (b) Class IIA biological safety cabinets.--(1) Description. A Class 
IIA biological safety cabinet is one in which typically 70 percent of 
the air is recirculated within the cabinet and the exhaust passes 
through a HEPA filter before discharge. The exhaust may be exhausted 
into the room and positive-pressure contaminated ducts and plenums 
within the cabinet are allowed. Type A cabinets shall have a minimum 
calculated face velocity of 75 feet per minute (fmp).
    (2) Uses. These cabinets are for working with low-to-moderate risk 
biological samples and for protecting personnel against biological 
material while providing a sterile atmosphere in which to handle the 
material.
    (3) Prohibitions. Materials that are toxic or volatile must not be 
used in these cabinets.
    (c) Class IIB1 biological safety cabinets.--(1) 
Description. A Class IIB1 biological safety cabinet is one 
that maintains a minimum average inflow of air of 100 plus or minus 20 
lfpm and in which typically 30 percent of the air is recirculated. All 
recirculated and exhausted air passes through two HEPA filters in 
series. All contaminated internal ducts and plenums are under negative 
pressure. Type B cabinets shall have a minimum calculated face velocity 
of 100 fpm.
    (2) Uses. When ultra-sterility is needed, these are the cabinets of 
choice. The double filtration achieves a cleaner atmosphere. Minute 
quantities of volatile, toxic, or volatile radioactive materials 
coincidental to use in biological systems may also be used in these 
cabinets.
    (3) Prohibitions. More than minute quantities of toxic, volatile, or 
radioactive materials must not be used in these cabinets.
    (4) Additional certifications or requirements. None.
    (d) Class IIB2 biological safety cabinets.--(1) 
Description. A Class IIB2 biological safety cabinet is one 
that maintains a minimum average of 100 plus or minus 20 lfpm inward 
flow and in which all air is exhausted directly from the cabinet through 
a HEPA filter without recirculation within the cabinet. All contaminated 
ducts and plenums are under negative pressure. Type B cabinets shall 
have a minimum calculated face velocity of 100 fpm.
    (2) Uses. These cabinets are recommended when small quantities of 
volatile, flammable, or toxic chemicals must be used coincidentally with 
items requiring sterility.
    (3) Prohibitions. While these cabinets do offer the greatest degree 
of safety for volatile, toxic, and flammable chemical handling in a 
sterile environment, they are not to be used in place of a fume hood to 
prepare stock solutions of hazardous chemicals.
    (e) Class IIB3 biological safety cabinets.--(1) 
Description. A Class IIB3 biological safety cabinet is one 
that meets all of the requirements of a Class IIB2 biological 
safety cabinet except that it recirculates most (typically 70 percent) 
of the air inside the cabinet. Type B cabinets shall have a minimum 
calculated face velocity of 100 fpm.
    (2) Uses. Minute amounts of nonflammable chemicals can be used 
coincidentally with low-to-moderate risk biological agents.
    (3) Prohibitions. Flammable materials and more than minute amounts 
of toxic, radioactive, or volatile chemicals must not be used in these 
cabinets.
    (4) Additional certifications or requirements. None.



Sec. 627.52  Class III biological safety cabinet.

    (a) Description. These cabinets (figure H-III in appendix F to this 
part) are totally enclosed, ventilated cabinets of gas-tight 
construction. Operations are conducted through attached rubber gloves. 
The supply of air is drawn into the cabinet through HEPA filters. The 
exhaust air is treated by double HEPA filtration, or by HEPA filtration 
followed by incineration, and is not allowed to recirculate within the 
room.
    (b) Uses. These cabinets provide the ultimate protection for 
personnel. They are suitable for low, moderate, and high-risk etiologic 
agents.

[[Page 673]]

    (c) Prohibitions. More than minute amounts of flammables must not be 
used in these cabinets.
    (d) Certifications and requirements. (1) These cabinets will have a 
manometer or magnehelic gauge that indicates the negative pressure that 
is maintained inside the cabinet. The pressure inside the cabinet should 
be a minimum of 0.5 inches water gauge negative to the surrounding room.
    (2) These cabinets will be pressure tested by the soap bubble or 
halogen leak test as prescribed in NSF Standard No. 49, appendix B1 
(latest revision, June 1987), and certified, when the HEPA filter units 
are serviced.



Sec. 627.53  Fume hood.

    Fume hoods in which etiologic agents are handled must use proven 
technologies to provide optimal containment. Fume hood placement, 
design, and capture testing requirements for use in designing new 
laboratories can be found in the latest edition of Industrial 
Ventilation, A Manual of Recommended Practices, published by the 
American Conference of Governmental Industrial Hygienists.
    (a) Description. Fume hoods are common chemical laboratory 
furnishings designed to capture fumes from chemicals that are used 
within them. Air is drawn through the opening and vented to the exterior 
without recirculation.
    (b) Uses. Fume hoods provide excellent containment for handling 
hazardous chemicals.
    (c) Prohibitions. Moderate risk biologicals and open containers of 
dry forms of toxins must not be used in a fume hood without HEPA 
filtration. Fume hoods should never be used when sterility is required.
    (d) Certification and requirements. (1) Inward air flow will be an 
average of 100 plus or minus 20 lfpm as measured at the face of the fume 
hood. Proper function of laboratory hoods is not only a function of face 
velocity. An evaluation of the total operating environment is necessary.
    (2) When filters are required, they will be certified by the mineral 
oil droplet (HEPA) or Freon (Charcoal) leak test as appropriate. Leakage 
through the filters will be less than 0.05 percent for Freon and 0.03 
percent for oil droplets when initially installed.
    (3) Fume hoods will be provided with indicator devices to give a 
warning should the ventilation system fail or if the hood face velocity 
falls below an average of 80 lfpm
    (4) Hood air flow will be certified when installed, when maintenance 
is performed on the ventilation system, and semiannually thereafter.



Sec. 627.54  Glove box.

    (a) Description. A glove box is an enclosure that provides a 
positive barrier from liquids, solids, and chemical vapors. A glove box 
has viewing ports and glove ports for access. The box maintains 
personnel protection through solid barriers and maintenance of a 
negative pressure relative to its surroundings.
    (b) Uses. Glove boxes are used when extreme containment is needed 
for highly toxic chemicals, especially for dry chemicals that can be 
swept out of containers by the airflow in hoods.
    (c) Prohibitions. Unventilated boxes must not be used with volatile 
flammable materials and should be used with volatile toxic materials 
unless dilution ventilation is provided.
    (d) Additional certifications and requirements. (1) The glove box 
will be maintained at a pressure of at least 0.25 inches water guage 
less than its surroundings.
    (2) The pressure differential will be indicated by a manometer or 
magnehelic guage. Indicator devices will display a loss of pressure 
below 0.25 inches water guage.
    (3) Gloves will be changed at appropriate intervals (dependent on 
the box contents) to ensure they provide the protection needed.
    (4) Inlets that provide dilution air will be protected by HEPA 
filters.



Sec. 627.55  Ventilated balance enclosures.

    (a) Description. A ventilated balance enclosure is a box that 
surrounds a balance and has a small open area for access and handling 
material in the front. Air is exhausted out the rear of the enclosure.
    (b) Uses. A ventilated balance enclosure is used when containment of 
a balance is required to weigh hazardous

[[Page 674]]

materials that have a low vapor pressure (such as toxins). These 
enclosures are also used when it is best to use the balance in other 
than a fume hood (due to the turbulence and vibration) and when 
biological safety cabinets or glove boxes are inappropriate or 
unavailable. Dry forms of toxins may be weighed in these enclosures.
    (c) Prohibitions. Very volatile or highly toxic volatile materials 
must not be handled in ventilated balance enclosures unless they are 
placed in closed containers in a properly functioning fume hood before 
being transferred to the balance enclosure.
    (d) Additional certifications or requirements. (1) The flow through 
the openings in the enclosure will be at least 60 lfpm and must average 
between 60 and 80 lfpm.
    (2) Containment will be certified prior to first use and annually 
thereafter by smoke tubes.
    (3) The air flow will be certified initially and semiannually by 
averaging readings taken from the face of the opening.



Sec. 627.56  Ventilated cage enclosures.

    There are a number of cage-ventilated enclosures in which infected 
animals may be housed at levels corresponding to the various classes of 
biological safety cabinets. A brief description of four different types 
of animal ventilated cages is given below. This is not a complete 
description of all the different animal ventilated cages available. The 
proper functioning of these will be tested initially, upon each 
connection to exhaust sources, and at least annually. The inward flow 
rates on the partial containment systems and pressure checks on the 
total containment cages will be performed. Prior to selecting such 
equipment, an evaluation of the function and the equipment should be 
made, and the methods for testing and decontamination should be analyzed 
and documented.
    (a) Filter-top cages. Small laboratory animal polystyrene or 
polycarbonate cage bottoms are fitted with a dome shaped glass fiber or 
polyester filter cage cover. The dome shaped filters help reduce the 
dissemination of aerosols, and the spread of infectious agents. Adequate 
ventilation around cages fitted with a dome shaped filter is essential 
since they may contain elevated ammonia and carbon dioxide levels, and 
high temperature and humidity. Ventilation recommendations in the NIH 
publication 86-23, 1985 ``Guide for the Care and Use of Laboratory 
Animals'' will be followed.
    (b) Forced ventilation cages. This is a small HEPA-filtered cage 
connected to a centralized exhaust system. A minimum airflow of 0.03 
m\3\ /min per cage is required. Ventilation rates may vary with the size 
of the cage, and the number and type of animals being housed.
    (c) Cubicle-type isolation cage. This is a partial containment unit 
which holds several animal cages. This unit is a negative pressure HEPA-
filtered stainless steel cage. A minimum airflow of 0.3 m\3\ /min per 
cage is required for a 0.24 m\3\  unit. Ventilation rates may vary with 
the size of the cage and the number and type of animals being housed.
    (d) Total containment cage. This unit is a negative pressure or 
positive pressure HEPA-filtered stainless steel cage which has the 
filters incorporated into the design. It is halogen gas-leak tight and 
can be considered a Class III biological safety cabinet. A minimum 
airflow of 0.3 m\3\ /min per cage is required for a 0.24 m\3\  unit. 
Ventilation rates may vary with the size of the cage, and the number and 
type of animals being housed.



Sec. 627.57  Ventilated cage areas.

    Ventilated cage areas within a room that are solid-walled and 
bottomed areas for containing multiple cages housing infected animals. 
The containment for these areas is equivalent to the Class I biological 
safety cabinet. For testing purposes, they will be treated the same as a 
Class I biological safety cabinet.

                   Appendix A to Part 627--References

    Publications referenced in this part can be obtained from the 
National Technical Information Services, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.

[[Page 675]]

                          Required Publications

                                AR 11-34

    Army Respiratory Protection Program. (Cited in Secs. 627.31(h)(2) 
and 627.31(h)(4).)

                                 AR 40-5

    Preventive Medicine. (Cited in Sec. 627.8.)

                                AR 40-10

    Health Hazard Assessment Program in Support of the Army Materiel 
Acquisition Decision Process. (Cited in Sec. 627.7(a)(8).)

                                AR 40-12

    Medical and Agricultural Foreign and Domestic Quarantine Regulations 
for Vessels, Aircraft, and Other Transports of the Armed Forces. (Cited 
in Sec. 627.40(a).)

                                AR 40-66

    Medical Records and Quality Assurance Administration. (Cited in 
Sec. 627.9.)

                                AR 40-400

    Patient Administration. (Cited in Sec. 627.8(e).)

                                AR 70-65

    Management of Controlled Substances, Ethyl Alcohol, and Hazardous 
Biological Substances in Army Research, Development, Test, and 
Evaluation Facilities. (Cited in Secs. 627.36(a)(6) and 627.40(b).)

                                AR 385-10

    Army Safety Program. (Cited in Secs. 627.6 and 627.31(h)(4).)

                                AR 385-69

    Biological Defense Safety Program. (Cited in Secs. 627.6, 627.7(a), 
627.7(a)(8), 627.7(d), 627.11(c), 627.18(a) and 627.18(f)(1).)

                                AR 740-32

    Responsibilities for Technical Escort of Dangerous Materials. (Cited 
in Sec. 627.39.)

                          Related Publications

    A related publication is merely a source of additional information. 
The user does not have to read it to understand this pamphlet.

                                AR 40-14

    Control and Recording Procedures for Exposure to Ionizing Radiation 
and Radioactive Materials.

                             ANSI Z86.1-1973

    Breathing Air

                           ASHRAE Standard 62

    Bacterial Toxins: A Table of Lethal Amounts, Gill, D.M., 
Microbiological Reviews, Volume 46, Number 1; March 1982, pages 86-94.

                       Biohazards Reference Manual

    American Industrial Hygiene Association, 1985, Clinical Medicine 
Branch, Division of Host Factors, Center for Infectious Disease, Centers 
for Disease Control, Atlanta, GA 30333, telephone: (404) 639-3356, 
Compressed Gas Association Pamphlet G-7.1

                          Grade D Breathing Air

    Dangerous Goods Regulations, International Air Transport Association 
(IATA), Publications Section, 2000 Peel Street, Montreal, Quebec, Canada 
H3A 2R4, Tel (514) 844-6311. DHEW Pub. No. (NIH) 76-1165
    Biological Safety Manual for Research Involving Oncogenic Viruses, 
Executive Order 12196
    Safety and Health Programs for Federal Employees, 26 February 1980
    Guide for Adult Immunizations, Published by the American College of 
Physicians, Guide for Transportation of Hazardous Materials, Vol. 4(1) 
February 10, 1975. (Copies may be obtained from the Office of Research 
Grants Inquiries, NIH, Department of Health and Human Services, 5333 
Westbard Avenue, Bethesda, MD 20205.)
    Guidelines for Laboratory Design, Health and Safety Considerations, 
L. DiBerardinis, et al., John Wiley and Sons, 1987
    Guidelines for Prevention of Herpesvirus Simiae (B Virus) Infection 
in Monkey Handlers, Kaplan, J.E., et al., Mortality and Morbidity Weekly 
Report, Volume 36, Number 41; October 23, 1987, pages 680-689.
    HHS Publication No. (NIH) 88-8395, Biosafety in Microbiological and 
Biomedical Laboratories
    Industrial Ventilation, A Manual of Recommended Practice Published 
by the American Conference of Governmental Industrial Hygienists.
    Laboratory Safety for Arboviruses and Certain Other Viruses of 
Vertebrates, The American Journal of Tropical Medicine and Hygiene, 
29:1359-1381, 1980.
    NIH Guidelines for Research involving Recombinant DNA Molecules (51 
FR 16958, May 7, 1986).
    NIH publication 86-23, Guide for the Care and Use of Laboratory 
Animals
    NSF Standard 49, National Sanitation Foundation Standard Number 49, 
Class II (Laminar Flow) Biohazard Cabinetry
    Packaging and Shipping of Biological Materials at ATCC, The American 
Type Culture Collection (ATCC). (Copies may be obtained from the ATCC, 
12301 Parklawn Drive, Rockville, MD 20852. Telephone (301) 881-2600.)

[[Page 676]]

    Postal Bulletin No. 21246, International Mail-Hazardous Materials
    Procedures for the Domestic Handling and Transport of Diagnostic 
Specimens and Etiologic Agents, National Committee for Clinical 
Laboratory Standards (NCCLS), (H5-A2), Second edition. Vol. 5, No. 1. 
(Copies may be obtained from the NCCLS, 771 East Lancaster Avenue, 
Villanova, PA 19085.)
    Restricted Articles Tariff 6-D, Air Transport Association
    Technical Instructions for the Safe Transport of Dangerous Goods by 
Air, International Civil Aviation Organization (ICAO) Intereg Group, 
5724 Pulaski Road, Chicago, IL 60646, Tel. (312) 478-0900.
    The Centers for Disease Control, Office of Biosafety, 1600 Clifton 
Road NE., Atlanta, Georgia 30333. Telephone (404) 639-3883, or FTS: 236-
3883.

                    9 CFR Parts 102 Through 104, 122

    Animals and Animal products.

                            10 CFR Chapter 1

    Nuclear Regulatory Commission.

                    21 CFR Parts 312, 600 Through 680

    Food and drugs.

                            29 CFR Part 1910

    Occupational Health and Safety Administration Safety and Health 
Standards.

                             39 CFR Part 111

    Postal Service.

                     40 CFR Parts 1500 Through 1508

    Protection of environment.

                         42 CFR Parts 71 and 72

    Public Health Service Foreign Quarantine Regulations.

                        49 CFR Parts 172 and 173

    The Department of Transportation.

[[Page 677]]


                                   Appendix B to Part 627--Resource List for Immunoprophylaxis of Personnel at Risk                                     
                                                                                                                                                        


                         B-1. Recommendations for Immunoprophylaxis of Personnel at Risk                        
----------------------------------------------------------------------------------------------------------------
      Description of disease              Product              Recommended for use in          Source of product
----------------------------------------------------------------------------------------------------------------
Anthrax..........................  Inactivated vaccine.  Personnel working regularly with    USAMRIID.\1\       
                                                          cultures, diagnostic materials,                       
                                                          or infected animals.                                  
Botulism.........................  Pentavalent toxoid    Personnel working regularly with    CDC.\3\            
                                    (A,B,C,D,E)           cultures or toxin.                                    
                                    (IND).\2\.                                                                  
Cholera..........................  Inactivated vaccine.  Personnel working regularly with    Commercially       
                                                          large volumes or high               available.        
                                                          concentrations of infectious                          
                                                          materials.                                            
Diphtheria Tetanus (Adult).......  Combined toxoid.....  All laboratory and animal care      Commercially       
                                                          personnel irrespective of agents    available.        
                                                          handled.                                              
Eastern equine encephalitis (EEE)  Inactivated vaccine   Personnel who work directly and     USAMRIID.\1\       
                                    (IND) \2\.            regularly with EEE in the                             
                                                          laboratory.                                           
Hepatitis A......................  Immune Serum          Animal care personnel working       Commercially       
                                    Globulin [ISG         directly with chimpanzees           available.        
                                    (Human)].             naturally or experimentally                           
                                                          infected with Hepatitis A virus.                      
Hepatitis B......................  Serum-derived or      Personnel working regularly with    Commercially       
                                    recombinant vaccine.  human blood and blood components.   available.        
Influenza........................  Inactivated vaccine.  (Vaccines prepared from earlier     Commercially       
                                                          isolated strains may be of little   available.        
                                                          value in personnel working with                       
                                                          recent isolates from humans or                        
                                                          animals).                                             
Japanese Encephalitis............  Inactivated vaccine   Personnel who work directly and     CDC.\3\            
                                    (IND) \2\.            regularly with JE virus in the                        
                                                          laboratory.                                           
Measles..........................  Live attenuated       Measles-susceptible personnel       Commercially       
                                    virus vaccine.        working with the agent or           available.        
                                                          potentially infectious clinical                       
                                                          materials.                                            
Meningococcal Meningitis.........  Purified              Personnel working regularly with    Commercially       
                                    polysaccharide        large volumes or high               available.        
                                    vaccine.              concentrations of infectious                          
                                                          materials (does not protect                           
                                                          against infection with group B                        
                                                          meningococcus).                                       
Plague...........................  Inactivated vaccine.  Personnel working regularly with    Commercially       
                                                          cultures of Yersinia pestis or      available.        
                                                          infected rodents or fleas.                            
Poliomyelitis....................  Inactivated (IPV)     Polio-susceptible personnel         Commercially       
                                    and live attenuated   working with the virus or           available.        
                                    (OPV) vaccines.       entering laboratories or animal                       
                                                          rooms where the virus is in use.                      
Pox viruses (Vaccinia, Cowpox, or  Live (lyophilized)    Personnel working with orthopox     CDC.\3\            
 Monkey Pox viruses).               vaccinia virus.       viruses transmissible to humans,                      
                                                          with animals infected with these                      
                                                          agents, and persons entering                          
                                                          areas where these viruses are in                      
                                                          use.                                                  
Q Fever (Phase II) vaccine.......  Inactivated (IND)     Personnel who have no demonstrable  USAMRIID.\1\       
                                    \2\.                  sensitivity to Q fever antigen                        
                                                          and who are at high risk of                           
                                                          exposure to infectious materials                      
                                                          or animals.                                           
Rabies...........................  Human diploid line    Personnel working with all strains  Commercially       
                                    cell inactivated      of rabies virus, with infected      available.        
                                    vaccine.              animals, or persons entering                          
                                                          areas where these activities are                      
                                                          conducted.                                            
Rift Valley Fever................  Inactivated virus     All laboratory and animal care      USAMRIID.\1\       
                                    vaccine (IND) \2\.    personnel working with the agent                      
                                                          or infected animals and all                           
                                                          personnel entering laboratories                       
                                                          or animal rooms when the agent is                     
                                                          in use.                                               
Rubella..........................  Live attenuated       Rubella-susceptible personnel,      Commercially       
                                    virus vaccine.        especially women, working with      available.        
                                                          ``wild'' strains or in areas                          
                                                          where these viruses are in use.                       
Tuberculosis.....................  Live, attenuated      BCG vaccine ordinarily is not used  Commercially       
                                    (BCG) bacterial       in laboratory personnel in the      available.        
                                    vaccine.              U.S.                                                  
Tularemia........................  Live attenuated       Personnel working regularly with    USAMRIID.\1\       
                                    bacterial vaccine     cultures or infected animals or                       
                                    (IND).\2\.            persons entering areas where the                      
                                                          agent of infected animals are in                      
                                                          use.                                                  
Typhoid..........................  Inactivated vaccine.  Personnel who have no demonstrated  Commercially       
                                                          sensitivity to the vaccine and      available.        
                                                          who work regularly with cultures.                     

[[Page 678]]

                                                                                                                
Venezuelan equine (VEE)            Live attenuated       Personnel working with VEE and the  USAMRIID.\1\       
 encephalitis.                      (TC83) viral          Equine Cabassou, Everglades,                          
                                    vaccine (IND).\2\.    Mucambo, and Tonate viruses, or                       
                                                          who enter areas where these                           
                                                          viruses are in use.                                   
Western equine encephalitis (WEE)  Inactivated vaccine   Personnel who work directly and     USAMRIID.\1\       
                                    (IND) \2\ with WEE    regularly in the laboratory.                          
                                    virus.                                                                      
Yellow Fever.....................  Live attenuated       Personnel working with virulent     Commercially       
                                    (17D) virus vaccine.  and avirulent strains of Yellow     available.        
                                                          Fever virus.                                          
----------------------------------------------------------------------------------------------------------------
\1\ For information, contact: United States Army Medical Materiel Development Activity, Fort Detrick, Frederick,
  MD 21701, telephone: (301) 663-7661.                                                                          
\2\ Investigational New Drug (IND).                                                                             
\3\ Clinical Medicine Branch, Division of Host Factors, Center for Infectious Disease, Centers for Disease      
  Control, Atlanta, GA 30333, telephone: (404) 639-3356.                                                        
                                                                                                                
Source: Adapted from recommendations of the PHS Immunization Practices Advisory Committee and Biosafety in      
  Microbiological and Biomedical Laboratories.                                                                  


[[Page 679]]

     Appendix C to Part 627--Laboratory Safety Inspection Checklist

    C-1. The checklist that follows is not an exhaustive list of the 
items to consider when inspecting facilities where etiologic agents are 
used. It does provide some basic guidelines to remind safety and 
nonsafety professionals of the things that need to be considered in the 
laboratories they manage. The checklist should be used as follows: All 
area should be inspected using the general list in C-2. Certain items 
are optional, such as radiation safety. If no radioactive material is 
present in the room, then this would not be applicable. For BL-1 
facilities the list in C-2 is adequate, while BL-2, BL-3, and BL-4 
facilities must use the list in C-2 together with the appropriate list 
in C-3 to C-5.

                          C-2. Basic checklist

    (a) Housekeeping
    (1) Is the room free of clutter?
    (2) Are all aisles from the work areas to the available exits 
maintained clear of obstructions?
    (3) Are all safety equipment items unobstructed and ready for use?
    (4) Is the room clean?
    (b) Fire safety
    (1) Is the fire extinguisher hung in its proper place, ready for 
use, and unobstructed?
    (2) Are there excess flammables located outside National Fire 
Protection Association (NFPA) approved cabinetry?
    (3) Are all Class IA flammables that are in breakable containers in 
pint or smaller containers?
    (4) Are all Class IB flammables that are in breakable containers in 
liter or smaller containers?
    (c) Chemical safety
    (1) Are the chemicals stored with compatible materials?
    (2) Have the chemical fume hoods been certified in the last 6 
months?
    (3) Are the eyewash and deluge shower unobstructed and ready for 
use?
    (4) Is the eyewash and deluge shower tested regularly to document 
proper operation?
    (5) Is the organic waste container maintained in a closed position?
    (6) Are all reagents and solutions properly labeled?
    (7) Is a spill kit within a reasonable distance from the work areas?
    (8) Is appropriate protective clothing available for the chemical 
hazards present?
    (9) Is there a written hazard communication program?
    (10) Have the personnel in the laboratory been trained in the 
provisions and principles of the hazard communication program?
    (11) Are MSDSs located where they are available to the laboratory 
workers?
    (12) Is there a written chemical hygiene plan?
    (d) Radiation safety
    (1) Are the radioactive materials stored double-contained?
    (2) Is the containment for the radiation waste container adequate to 
preclude the spread of radiation?
    (3) Are all containers appropriately labeled with radiation labels?
    (4) Are all entrances to the room appropriately labeled?
    (e) Electrical safety
    (1) Are excess extension cords being utilized?
    (2) Are there any frayed cords in the room?
    (3) Are there any cords on the floor across normal traffic patterns 
in the room?
    (f) General laboratory safety
    (1) Are sharps discarded and destroyed in a safe manner?
    (2) Are work surfaces decontaminated daily and after a spill?
    (3) Is the appropriate attire worn by everyone in the room?
    (4) Is there evidence that personnel eat, drink, smoke, or store 
food, drinks, or tobacco in the room?
    (5) Was mouth pipetting observed?
    (6) Are all gas cylinders secured and are all cylinders not in use 
capped?
    (7) Are cylinders of oxidizers stored at least 20 feet from 
cylinders of flammable gases in the same room?
    (8) Are the contents of the cylinders clearly labeled?
    (9) Are the cylinders transported on appropriate dollies or hand 
trucks?
    (10) Is there a written respiratory protection program where 
respirators are used?
    (g) Etiologic agents
    (1) Are all containers of etiologic agents appropriately labeled?
    (i) Are freezers, refrigerators, and similar storage units labeled 
with the biohazard warning sign?
    (ii) Are the storage and shipping containers adequate and properly 
labeled?
    (2) Have all personnel been adequately trained in general 
microbiological techniques?
    (3) Are laboratory doors kept closed when experiments are in 
progress?
    (4) Are all operations conducted over plastic-backed absorbent paper 
or spill trays?

              C-3. Biosafety level 2 supplemental checklist

    (a) Are all floor drains filled with water or suitable disinfectant?
    (b) Is the SOP for an etiologic agent spill signed by all personnel 
who work with etiologic agents in the room?
    (c) If biological safety cabinets are used, have they been certified 
within the last year?
    (d) Are the appropriate decontaminants available?
    (e) Are all entrances to the laboratory posted with--

[[Page 680]]

    (1) The appropriate special provisions for entry?
    (2) The universal biohazard symbol?
    (3) The name and telephone number of the laboratory director or 
other responsible person?
    (f) Is entry limited and restricted?
    (g) Are gloves being worn when handling infected animals or 
infectious or toxic materials?
    (h) Is eye and respiratory protection being worn in rooms where 
nonhuman primates are present?
    (i) If materials are being transported off-site for decontamination, 
is the containment adequate?

              C-4. Biosafety level 3 supplemental checklist

    (a) Is laboratory clothing decontaminated before being sent to the 
laundry?
    (b) Are all windows and penetrations through the walls and ceilings 
sealed?
    (c) If biological safety cabinets are used, have they been certified 
within the last year?
    (d) Are the appropriate decontaminants available?
    (e) Are all entrances to the facility posted with--
    (1) The appropriate special provisions for entry?
    (2) The universal biohazard symbol?
    (3) The name and telephone number of the laboratory director or 
other responsible person?
    (f) Is entry limited and restricted?
    (g) Are gloves being worn when handling infected animals or 
infectious or toxic materials?
    (h) Is eye and respiratory protection being worn in rooms where 
nonhuman primates are present?
    (i) Do the monitors indicate that the room is under negative 
pressure relative to all entrances?
    (j) Are all vacuum lines protected with HEPA filters and liquid 
disinfectant traps?
    (k) Is the autoclave being properly maintained and certified?
    (l) Is the foot, elbow, or automatic handwash sink operating 
properly?
    (m) Are all operations with etiologic agents being conducted inside 
biological safety cabinets or other approved engineering controls?
    (n) Are all infected animals housed using appropriate primary 
containment systems?
    (o) Do all personnel who enter rooms housing infected animals wear 
appropriate respiratory protection?
    (p) Do personnel who exit rooms having infected animals leave their 
protective clothing in the animal and laboratory rooms?
    (q) If available, has the UV pass box ouput been certified within 
the last 3 months?

        C-5. Biosafety level 4 supplemental inspection checklist

    (a) Precautions for all areas.
    (1) Are all penetrations through the walls and ceilings sealed?
    (2) Are the appropriate decontaminants available and used properly?
    (3) Are all entrances to the facility posted with--
    (i) The appropriate special provisions for entry?
    (ii) The universal biohazard symbol?
    (iii) The name and telephone number of the laboratory director or 
other responsible person?
    (4) Is access to the laboratory controlled strictly and documented?
    (5) Do the monitors indicate that the room is under negative 
pressure relative to all entrances?
    (6) Are all vacuum lines protected with HEPA filters and liquid 
disinfectant traps?
    (7) Is the autoclave being properly maintained and certified?
    (8) Is the foot, elbow, or automatic handwash sink operating 
properly?
    (9) Do the self-closing doors to the facility operate properly?
    (10) Do personnel completely exchange street clothing for laboratory 
clothing before entry and shower upon exiting?
    (11) Is the dunk tank disinfectant fresh and appropriate for the 
agents in use?
    (b) Suit areas.
    (1) Are all operations with etiologic agents conducted in Class I or 
II biological safety cabinets?
    (2) Do the procedures in place ensure that, as much as possible, the 
contamination remains inside the cabinets (such as ensuring that 
everything removed from within the cabinets, such as gloves being worn, 
instruments, glassware, or similar items, are decontaminated or properly 
packaged first)?
    (3) Are the Class I or II cabinets in the facility certified every 6 
months?
    (4) Does the suit decontamination shower have adequate appropriate 
decontaminant available?
    (5) Has the suit decontamination shower been used or tested in the 
last month?
    (6) Is the ventilated suit air supply and emergency air supply 
adequate and working properly?
    (7) Is the emergency alarm system working properly?
    (8) Are all of the one-piece positive pressure suits available for 
use in serviceable condition?
    (9) Are infected animals housed in appropriate primary containment 
systems?
    (10) Is the static pressure in the suit area negative to all 
surrounding areas?
    (c) Nonsuit areas.
    (1) Are all operations with etiologic agents conducted inside Class 
III biological safety cabinets?

[[Page 681]]

    (2) Were the Class III biological safety cabinets certified before 
initiating the current operation?
    (3) Are all infected animals housed in Class III cabinet containment 
caging systems?

Appendix D to Part 627--Packaging and Labeling Requirements for Shipment 
                           of Etiologic Agents

D-1. Packaging and Labeling of Etiologic Agents, from HHS publication 
No. (NIH) 88-8395.
D-2. Guidelines for the Air Shipment of Diagnostic Specimens, from the 
Air Transport Association of America, Cargo Services Division, 1709 New 
York Ave., NW., Washington, DC 20006.

    Appendix E to Part 627--Permits for Importation and Shipment of 
                            Etiologic Agents

E-1. Permit Application to Import or Transport Agents or Vectors of 
Human Disease. Department of Health, Education and Welfare, PHS, CDC, 
Office of Biosafety, Atlanta, Georgia 30333.
E-2. Permit Application to Import Controlled Material; Import or 
Transport Organisms or Vectors. U.S. Department of Agriculture, Animal 
and Plant Health Inspection Service, Veterinary Services, Federal 
Building, Hyattsville, Maryland 20782.

[[Page 682]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.027



[[Page 683]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.028



[[Page 684]]

[GRAPHIC] [TIFF OMITTED] TC24OC91.029



                    Appendix G to Part 627--Glossary

Abbreviations
AIHA
American Industrial Hygiene Association
AMC
United States Army Materiel Command
ANSI
American National Standards Institute
AR
Army Regulation
ATCC
American Type Culture Collection
ASHRAE
American Society of Heating, Refrigerating, and Air Condition
Engineers, Inc.
BDP
Biological Defense Program
BL
biosafety level
CDC
Centers for Disease Control

[[Page 685]]

CFR
Code of Federal Regulations
DA PAM
Department of Army Pamphlet
DHEW
Department of Health, Education, and Welfare
DOD
Department of Defense
DOT
Department of Transportation
DNA
deoxyribonucleic acid
EPA
Environmental Protection Agency
EtO
ethylene oxide
FDA
Food and Drug Administration
fpm
feet per minute
HEPA
high efficiency particulate air
HHS
Health and Human Services
IATA
International Air Transport Association
IBC
Institutional Biosafety Committee
ICAO
International Civil Aviation Organization
lfpm
linear feet per minute
LS
large-scale
m
meter
min
minute
MSDS
Material Safety Data Sheets
MSHA
Mine Safety and Health Administration
NCCLS
National Committee for Clinical Laboratory Standards
NCI
National Cancer Institute
NEPA
National Environmental Policy Act
NFPA
National Fire Protection Association
NIH
National Institutes of Health
NIOSH
National Institute for Occupational Safety and Health
NRC
Nuclear Regulatory Commission
NSF
National Sanitation Foundation
OSHA
Occupational Safety and Health Administration
pH
the negative logarithm of hydrogen ion concentration
PHS
Public Health Service
PPE
personal protective equipment
ppm
parts per million
psi
pounds per square inch
RCRA-Listed
Resource Conservation Recovery Act of 1976 Listed Hazardous Waste
RDTE
research, development, test, and evaluation
RPO
Radiation Protection Officer
SALS
Subcommittee on Arbovirus Laboratory Safety
SAR
supplied-air respirator
SCBA
self-contained breathing apparatus
SOP
Standing Operating Procedure
TD
to deliver
TLV
threshold limit value
USDA
United States Department of Agriculture
UV
ultraviolet

                                  Terms

                     Approved respiratory protection

    Equipment which is tested and listed as satisfactory according to 
standards established by a competent authority (such as NIOSH, Mine 
Safety and Health Administration (MSHA), or host country agency) to 
provide respiratory protection against the particular hazard for which 
it is designed. For military agent protection, DA and Department of 
Defense (DOD) are the approval authorities. (Approval authority may be 
specified by law.)

                           Biocontainment area

    An area which meets the requirements for a BL-3 or BL-4 facility.
The area may be an entire building or a single room within a building. 
See subpart G for details.

                       Biological Safety Cabinets

    Engineering controls designed to enable laboratory workers to handle 
infectious etiologic agents and to provide primary containment of any 
resultant aerosol. There are three major classes of cabinets (I, II, and 
III) and several subclasses of class II cabinets. Each type of cabinet 
provides a different degree of protection to personnel and to the 
products handled inside them. The various classes of cabinets are 
described in detail in subpart H.

[[Page 686]]

                            Biosafety Level 1

    The facilities, equipment, and procedures suitable for work 
involving agents of no known or of minimal potential hazard to 
laboratory personnel and the environment.

                            Biosafety Level 2

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, or teaching laboratories, and suitable for work involving 
indigenous agents of moderate potential hazard to personnel and the 
environment. It differs from BL-1 in that (1) laboratory personnel have 
specific training in handling pathogenic agents, (2) the laboratory is 
directed by scientists with experience in the handling of specific 
agents, (3) access to the laboratory is limited when work is being 
conducted, and (4) certain procedures in which infectious aerosols could 
be created are conducted in biological safety cabinets or other physical 
containment equipment.

                            Biosafety Level 3

    The facilities, equipment, and procedures applicable to clinical, 
diagnostic, research, or production facilities in which work is 
performed with indigenous or exotic agents where potential exists for 
infection by aerosol, and the disease may have serious or lethal 
consequences. It differs from BL-2 in that (1) more extensive training 
in handling pathogenic and potentially lethal agents is necessary for 
laboratory personnel; (2) all procedures involving the manipulation of 
infectious material are conducted within biological safety cabinets, 
other physical containment devices, or by personnel wearing appropriate 
personal protective clothing and devices; (3) the laboratory has special 
engineering and design features, including access zones, sealed 
penetrations, and directional airflow; and (4) any modification of BL-3 
recommendations must be made only by the commander.

                            Biosafety Level 4

    The facilities, equipment, and procedures required for work with 
dangerous and exotic agents which pose a high individual risk of life-
threatening disease. It differs from BL-3 in that (1) members of the 
laboratory staff have specific and thorough training in handling 
extremely hazardous infectious agents; (2) laboratory personnel 
understand the primary and secondary containment functions of the 
standard and special practices, containment equipment, and laboratory 
design characteristics; (3) access to the laboratory is strictly 
controlled by the institute director; (4) the facility is either in a 
separate building or in a controlled area within a building, completely 
isolated from all other areas of the building; (5) a specific facility 
operations manual is prepared or adopted; (6) within work areas of the 
facility, all activities are confined to Class III biological safety 
cabinets or Class I or Class II biological safety cabinets used in 
conjunction with one-piece positive pressure personnel suits ventilated 
by a life support system; and (7) the maximum containment laboratory has 
special engineering and design features to prevent microorganisms from 
being disseminated to the environment.

                                Building

    A structure that contains the requisite components necessary to 
support a facility that is designed according to the required biosafety 
level. The building can contain one or more facilities conforming to one 
or more biosafety level.

                           Confirmed Exposure

    Any mishap with a BDP agent in which there was direct evidence of an 
actual exposure such as a measurable rise in antibody titer to the agent 
or a confirmed diagnosis of intoxication or disease.

                            Etiologic Agents

    Any viable microorganism, or its toxin which causes or may cause 
human disease, including those agents listed in 42 CFR 72.3 of the 
Department of Health and Human Services regulations, and any agent of 
biological origin that poses a degree of hazard similar to those agents.

                                Facility

    An area within a building that provides appropriate protective 
barriers for persons working in the facility and the environment 
external to the facility, and outside of the building.

                               HEPA Filter

    A filter which removes particulate matter down to submicron sized 
particles from the air passed through it with a minimum efficiency of 
99.97 percent. While the filters remove particulate matter with great 
efficiency, vapors and gases (for example, from volatile chemicals) are 
passed through without restriction. HEPA filters are used as the primary 
means of removing infectious agents from air exhausted from engineering 
controls and facilities.

                            Human Lethal Dose

    The estimated quantity of a toxin that is a minimum lethal dose for 
a 70 kilogram individual based upon published data or upon estimates 
extrapolated from animal toxicity data.

                     Commander or Institute Director

    The commander or institute director of an Army activity conducting 
RDTE with BDP

[[Page 687]]

etiologic agents, or the equivalent, at a research organization under 
contract to the BDP.

                               Institution

    An organization such as an Army RDTE activity (institute, agency, 
center, and so forth) or a contract organization such as a school of 
medicine, or research institute that conducts RDTE with BDP etiologic 
agents.

                               Laboratory

    An individual room or rooms within a facility that provide space in 
which work with etiologic agents can be performed. It contains all of 
the appropriate engineering features and equipment required at a given 
biosafety level to protect personnel working in it and the environment 
external to the facility.

                         Large-Scale Operations

    Research or production involving viable etiologic agents in 
quantities greater than 10 liters of culture.

                        Maximum Containment Area

    An area which meets the requirements for a BL-4 facility. The area 
may be an entire building or a single room within the building. See 
chapter 7 for details.

                              Molded Masks

    Formed masks that fit snugly around the mouth and nose and are 
designed to protect against a nontoxic nuisance level of dusts and 
powders. These do not require approval by NIOSH or MSHA. Masks made of 
gauze do not qualify.

                      Potential Accidental Exposure

    Any accident in which there was reason to believe that anyone 
working with a BDP agent may have been exposed to that agent, yet no 
measurable rise in antibody titer or diagnosis of intoxication or 
disease was made. However, the high probability existed for introduction 
of an agent through mucous membranes, respiratory tract, broken skin, or 
the circulatory system as a direct result of the accident, injury, or 
incident.

    Resource Conservation Recovery Act of 1976 Listed Hazardous Waste

    The waste materials listed by the Environmental Protection Agency 
under authority of the RCRA for which the agency regulates disposal. A 
description and listing of these wastes is located in 40 CFR part 261.

                                  Suite

    An area consisting of more than one room, designed to be a 
functional unit in which entire operations can be facilitated. Suites 
may contain a combination of laboratories or animal holding rooms and 
associated support areas within a facility that are designed to conform 
to a particular biosafety level. There may be one or more suites within 
a facility.

                                  Toxin

    Toxic material of etiologic origin that has been isolated from the 
parent organism.\1\
---------------------------------------------------------------------------


    \1\ The publication ``Bacterial Toxins: a Table of Lethal Amounts,'' 
(Gill, D.M. (1982) Microbiological Reviews, 46:86-94) contains a useful 
table of mammalian toxicities of numerous toxins.
[[Page 689]]


                              FINDING AIDS




  --------------------------------------------------------------------




  A list of CFR titles, subtitles, chapters, subchapters and parts and 
an alphabetical list of agencies publishing in the CFR are included in 
the CFR Index and Finding Aids volume to the Code of Federal Regulations 
which is published separately and revised annually.
  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected



[[Page 691]]



                    Table of CFR Titles and Chapters




                      (Revised as of June 29, 1998)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
        IV  Miscellaneous Agencies (Parts 400--500)

                          Title 2--[Reserved]

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  General Accounting Office (Parts 1--99)
        II  Federal Claims Collection Standards (General 
                Accounting Office--Department of Justice) (Parts 
                100--299)

                   Title 5--Administrative Personnel

         I  Office of Personnel Management (Parts 1--1199)
        II  Merit Systems Protection Board (Parts 1200--1299)
       III  Office of Management and Budget (Parts 1300--1399)
        IV  Advisory Committee on Federal Pay (Parts 1400--1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
       VII  Advisory Commission on Intergovernmental Relations 
                (Parts 1700--1799)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Part 2100)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
        XV  Office of Administration, Executive Office of the 
                President (Parts 2500--2599)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)

[[Page 692]]

      XXII  Federal Deposit Insurance Corporation (Part 3201)
     XXIII  Department of Energy (Part 3301)
      XXIV  Federal Energy Regulatory Commission (Part 3401)
       XXV  Department of the Interior (Part 3501)
      XXVI  Department of Defense (Part 3601)
    XXVIII  Department of Justice (Part 3801)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Part 4301)
      XXXV  Office of Personnel Management (Part 4501)
        XL  Interstate Commerce Commission (Part 5001)
       XLI  Commodity Futures Trading Commission (Part 5101)
      XLII  Department of Labor (Part 5201)
     XLIII  National Science Foundation (Part 5301)
       XLV  Department of Health and Human Services (Part 5501)
      XLVI  Postal Rate Commission (Part 5601)
     XLVII  Federal Trade Commission (Part 5701)
    XLVIII  Nuclear Regulatory Commission (Part 5801)
         L  Department of Transportation (Part 6001)
       LII  Export-Import Bank of the United States (Part 6201)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Part 6401)
      LVII  General Services Administration (Part 6701)
     LVIII  Board of Governors of the Federal Reserve System (Part 
                6801)
       LIX  National Aeronautics and Space Administration (Part 
                6901)
        LX  United States Postal Service (Part 7001)
       LXI  National Labor Relations Board (Part 7101)
      LXII  Equal Employment Opportunity Commission (Part 7201)
     LXIII  Inter-American Foundation (Part 7301)
       LXV  Department of Housing and Urban Development (Part 
                7501)
      LXVI  National Archives and Records Administration (Part 
                7601)
      LXIX  Tennessee Valley Authority (Part 7901)
      LXXI  Consumer Product Safety Commission (Part 8101)
     LXXIV  Federal Mine Safety and Health Review Commission (Part 
                8401)
     LXXVI  Federal Retirement Thrift Investment Board (Part 8601)
    LXXVII  Office of Management and Budget (Part 8701)

                          Title 6--[Reserved]

                         Title 7--Agriculture

            Subtitle A--Office of the Secretary of Agriculture 
                (Parts 0--26)
            Subtitle B--Regulations of the Department of 
                Agriculture

[[Page 693]]

         I  Agricultural Marketing Service (Standards, 
                Inspections, Marketing Practices), Department of 
                Agriculture (Parts 27--209)
        II  Food and Nutrition Service, Department of Agriculture 
                (Parts 210--299)
       III  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 300--399)
        IV  Federal Crop Insurance Corporation, Department of 
                Agriculture (Parts 400--499)
         V  Agricultural Research Service, Department of 
                Agriculture (Parts 500--599)
        VI  Natural Resources Conservation Service, Department of 
                Agriculture (Parts 600--699)
       VII  Farm Service Agency, Department of Agriculture (Parts 
                700--799)
      VIII  Grain Inspection, Packers and Stockyards 
                Administration (Federal Grain Inspection Service), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
      XIII  Northeast Dairy Compact Commission (Parts 1300--1399)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  Rural Telephone Bank, Department of Agriculture (Parts 
                1600--1699)
      XVII  Rural Utilities Service, Department of Agriculture 
                (Parts 1700--1799)
     XVIII  Rural Housing Service, Rural Business-Cooperative 
                Service, Rural Utilities Service, and Farm Service 
                Agency, Department of Agriculture (Parts 1800--
                2099)
      XXVI  Office of Inspector General, Department of Agriculture 
                (Parts 2600--2699)
     XXVII  Office of Information Resources Management, Department 
                of Agriculture (Parts 2700--2799)
    XXVIII  Office of Operations, Department of Agriculture (Parts 
                2800--2899)
      XXIX  Office of Energy, Department of Agriculture (Parts 
                2900--2999)
       XXX  Office of the Chief Financial Officer, Department of 
                Agriculture (Parts 3000--3099)
      XXXI  Office of Environmental Quality, Department of 
                Agriculture (Parts 3100--3199)
     XXXII  [Reserved]

[[Page 694]]

    XXXIII  Office of Transportation, Department of Agriculture 
                (Parts 3300--3399)
     XXXIV  Cooperative State Research, Education, and Extension 
                Service, Department of Agriculture (Parts 3400--
                3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of Agriculture (Parts 3600--3699)
    XXXVII  Economic Research Service, Department of Agriculture 
                (Parts 3700--3799)
   XXXVIII  World Agricultural Outlook Board, Department of 
                Agriculture (Parts 3800--3899)
       XLI  [Reserved]
      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)

                    Title 8--Aliens and Nationality

         I  Immigration and Naturalization Service, Department of 
                Justice (Parts 1--499)

                 Title 9--Animals and Animal Products

         I  Animal and Plant Health Inspection Service, Department 
                of Agriculture (Parts 1--199)
        II  Grain Inspection, Packers and Stockyards 
                Administration (Packers and Stockyards Programs), 
                Department of Agriculture (Parts 200--299)
       III  Food Safety and Inspection Service, Meat and Poultry 
                Inspection, Department of Agriculture (Parts 300--
                599)

                           Title 10--Energy

         I  Nuclear Regulatory Commission (Parts 0--199)
        II  Department of Energy (Parts 200--699)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
        XI  United States Enrichment Corporation (Parts 1100--
                1199)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)

[[Page 695]]

       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Thrift Depositor Protection Oversight Board (Parts 
                1500--1599)
      XVII  Office of Federal Housing Enterprise Oversight, 
                Department of Housing and Urban Development (Parts 
                1700-1799)
     XVIII  Community Development Financial Institutions Fund, 
                Department of the Treasury (Parts 1800--1899)

               Title 13--Business Credit and Assistance

         I  Small Business Administration (Parts 1--199)
       III  Economic Development Administration, Department of 
                Commerce (Parts 300--399)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--499)
         V  National Aeronautics and Space Administration (Parts 
                1200--1299)

                 Title 15--Commerce and Foreign Trade

            Subtitle A--Office of the Secretary of Commerce (Parts 
                0--29)
            Subtitle B--Regulations Relating to Commerce and 
                Foreign Trade
         I  Bureau of the Census, Department of Commerce (Parts 
                30--199)
        II  National Institute of Standards and Technology, 
                Department of Commerce (Parts 200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  Foreign-Trade Zones Board, Department of Commerce 
                (Parts 400--499)
       VII  Bureau of Export Administration, Department of 
                Commerce (Parts 700--799)

[[Page 696]]

      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)
        IX  National Oceanic and Atmospheric Administration, 
                Department of Commerce (Parts 900--999)
        XI  Technology Administration, Department of Commerce 
                (Parts 1100--1199)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
            Subtitle C--Regulations Relating to Foreign Trade 
                Agreements
        XX  Office of the United States Trade Representative 
                (Parts 2000--2099)
            Subtitle D--Regulations Relating to Telecommunications 
                and Information
     XXIII  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                2300--2399)

                    Title 16--Commercial Practices

         I  Federal Trade Commission (Parts 0--999)
        II  Consumer Product Safety Commission (Parts 1000--1799)

             Title 17--Commodity and Securities Exchanges

         I  Commodity Futures Trading Commission (Parts 1--199)
        II  Securities and Exchange Commission (Parts 200--399)
        IV  Department of the Treasury (Parts 400--499)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  United States Customs Service, Department of the 
                Treasury (Parts 1--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)

[[Page 697]]

        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  Employment Standards Administration, Department of 
                Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training, Department of Labor 
                (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development, International 
                Development Cooperation Agency (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  United States Information Agency (Parts 500--599)
        VI  United States Arms Control and Disarmament Agency 
                (Parts 600--699)
       VII  Overseas Private Investment Corporation, International 
                Development Cooperation Agency (Parts 700--799)
        IX  Foreign Service Grievance Board Regulations (Parts 
                900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Board for International Broadcasting (Parts 1300--
                1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

[[Page 698]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 200--299)
       III  Government National Mortgage Association, Department 
                of Housing and Urban Development (Parts 300--399)
         V  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 500--599)
        VI  Office of Assistant Secretary for Community Planning 
                and Development, Department of Housing and Urban 
                Development (Parts 600--699) [Reserved]
       VII  Office of the Secretary, Department of Housing and 
                Urban Development (Housing Assistance Programs and 
                Public and Indian Housing Programs) (Parts 700--
                799)
      VIII  Office of the Assistant Secretary for Housing--deral 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs and Section 202 Direct Loan Program) 
                (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--999)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799)
       XII  Office of Inspector General, Department of Housing and 
                Urban Development (Parts 2000--2099)
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)
       XXV  Neighborhood Reinvestment Corporation (Parts 4100--
                4199)

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)

[[Page 699]]

        II  Indian Arts and Crafts Board, Department of the 
                Interior (Parts 300--399)
       III  National Indian Gaming Commission, Department of the 
                Interior (Parts 500--599)
        IV  Office of Navajo and Hopi Indian Relocation (Parts 
                700--799)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary-Indian Affairs, 
                Department of the Interior (Part 1001)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Part 1200)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--799)

           Title 27--Alcohol, Tobacco Products and Firearms

         I  Bureau of Alcohol, Tobacco and Firearms, Department of 
                the Treasury (Parts 1--299)

                   Title 28--Judicial Administration

         I  Department of Justice (Parts 0--199)
       III  Federal Prison Industries, Inc., Department of Justice 
                (Parts 300--399)
         V  Bureau of Prisons, Department of Justice (Parts 500--
                599)
        VI  Offices of Independent Counsel, Department of Justice 
                (Parts 600--699)
       VII  Office of Independent Counsel (Parts 700--799)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)

[[Page 700]]

      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Pension and Welfare Benefits Administration, 
                Department of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  Minerals Management Service, Department of the 
                Interior (Parts 200--299)
       III  Board of Surface Mining and Reclamation Appeals, 
                Department of the Interior (Parts 300--399)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
        VI  Bureau of Mines, Department of the Interior (Parts 
                600--699)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)

                 Title 31--Money and Finance: Treasury

            Subtitle A--Office of the Secretary of the Treasury 
                (Parts 0--50)
            Subtitle B--Regulations Relating to Money and Finance
         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of International Investment, Department of the 
                Treasury (Parts 800--899)

                      Title 32--National Defense

            Subtitle A--Department of Defense
         I  Office of the Secretary of Defense (Parts 1--399)
         V  Department of the Army (Parts 400--699)
        VI  Department of the Navy (Parts 700--799)
       VII  Department of the Air Force (Parts 800--1099)
            Subtitle B--Other Regulations Relating to National 
                Defense

[[Page 701]]

       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    XXVIII  Office of the Vice President of the United States 
                (Parts 2800--2899)
      XXIX  Presidential Commission on the Assignment of Women in 
                the Armed Forces (Part 2900)

               Title 33--Navigation and Navigable Waters

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Corps of Engineers, Department of the Army (Parts 
                200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        IV  Office of Vocational and Adult Education, Department 
                of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599)
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799)
        XI  National Institute for Literacy (Parts 1100-1199)
            Subtitle C--Regulations Relating to Education
       XII  National Council on Disability (Parts 1200--1299)

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

[[Page 702]]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
       XIV  Assassination Records Review Board (Parts 1400-1499)

             Title 37--Patents, Trademarks, and Copyrights

         I  Patent and Trademark Office, Department of Commerce 
                (Parts 1--199)
        II  Copyright Office, Library of Congress (Parts 200--299)
        IV  Assistant Secretary for Technology Policy, Department 
                of Commerce (Parts 400--499)
         V  Under Secretary for Technology, Department of Commerce 
                (Parts 500--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--99)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Rate Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--799)
         V  Council on Environmental Quality (Parts 1500--1599)

          Title 41--Public Contracts and Property Management

            Subtitle B--Other Provisions Relating to Public 
                Contracts
        50  Public Contracts, Department of Labor (Parts 50-1--50-
                999)
        51  Committee for Purchase From People Who Are Blind or 
                Severely Disabled (Parts 51-1--51-99)
        60  Office of Federal Contract Compliance Programs, Equal 
                Employment Opportunity, Department of Labor (Parts 
                60-1--60-999)
        61  Office of the Assistant Secretary for Veterans 
                Employment and Training, Department of Labor 
                (Parts 61-1--61-999)

[[Page 703]]

            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]
            Subtitle E--Federal Information Resources Management 
                Regulations System
       201  Federal Information Resources Management Regulation 
                (Parts 201-1--201-99) [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Parts 303-1--303-2)
       304  Payment from a Non-Federal Source for Travel Expenses 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
        IV  Health Care Financing Administration, Department of 
                Health and Human Services (Parts 400--499)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1999)

                   Title 43--Public Lands: Interior

            Subtitle A--Office of the Secretary of the Interior 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Lands
         I  Bureau of Reclamation, Department of the Interior 
                (Parts 200--499)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10005)

             Title 44--Emergency Management and Assistance

         I  Federal Emergency Management Agency (Parts 0--399)
        IV  Department of Commerce and Department of 
                Transportation (Parts 400--499)

[[Page 704]]

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
         X  Office of Community Services, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 1000--1099)
        XI  National Foundation on the Arts and the Humanities 
                (Parts 1100--1199)
       XII  Corporation for National and Community Service (Parts 
                1200--1299)
      XIII  Office of Human Development Services, Department of 
                Health and Human Services (Parts 1300--1399)
       XVI  Legal Services Corporation (Parts 1600--1699)
      XVII  National Commission on Libraries and Information 
                Science (Parts 1700--1799)
     XVIII  Harry S. Truman Scholarship Foundation (Parts 1800--
                1899)
       XXI  Commission on Fine Arts (Parts 2100--2199)
      XXII  Christopher Columbus Quincentenary Jubilee Commission 
                (Parts 2200--2299)
     XXIII  Arctic Research Commission (Part 2301)
      XXIV  James Madison Memorial Fellowship Foundation (Parts 
                2400--2499)
       XXV  Corporation for National and Community Service (Parts 
                2500--2599)

                          Title 46--Shipping

         I  Coast Guard, Department of Transportation (Parts 1--
                199)
        II  Maritime Administration, Department of Transportation 
                (Parts 200--399)
       III  Coast Guard (Great Lakes Pilotage), Department of 
                Transportation (Parts 400--499)
        IV  Federal Maritime Commission (Parts 500--599)

[[Page 705]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Department of Defense (Parts 200--299)
         3  Department of Health and Human Services (Parts 300--
                399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  United States Agency for International Development 
                (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  United States Information Agency (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        25  National Science Foundation (Parts 2500--2599)
        28  Department of Justice (Parts 2800--2899)
        29  Department of Labor (Parts 2900--2999)
        34  Department of Education Acquisition Regulation (Parts 
                3400--3499)
        35  Panama Canal Commission (Parts 3500--3599)
        44  Federal Emergency Management Agency (Parts 4400--4499)
        51  Department of the Army Acquisition Regulations (Parts 
                5100--5199)
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)

[[Page 706]]

        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399)
        54  Defense Logistics Agency, Department of Defense (Part 
                5452)
        57  African Development Foundation (Parts 5700--5799)
        61  General Services Administration Board of Contract 
                Appeals (Parts 6100--6199)
        63  Department of Transportation Board of Contract Appeals 
                (Parts 6300--6399)
        99  Cost Accounting Standards Board, Office of Federal 
                Procurement Policy, Office of Management and 
                Budget (Parts 9900--9999)

                       Title 49--Transportation

            Subtitle A--Office of the Secretary of Transportation 
                (Parts 1--99)
            Subtitle B--Other Regulations Relating to 
                Transportation
         I  Research and Special Programs Administration, 
                Department of Transportation (Parts 100--199)
        II  Federal Railroad Administration, Department of 
                Transportation (Parts 200--299)
       III  Federal Highway Administration, Department of 
                Transportation (Parts 300--399)
        IV  Coast Guard, Department of Transportation (Parts 400--
                499)
         V  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 500--599)
        VI  Federal Transit Administration, Department of 
                Transportation (Parts 600--699)
       VII  National Railroad Passenger Corporation (AMTRAK) 
                (Parts 700--799)
      VIII  National Transportation Safety Board (Parts 800--999)
         X  Surface Transportation Board, Department of 
                Transportation (Parts 1000--1399)

                   Title 50--Wildlife and Fisheries

         I  United States Fish and Wildlife Service, Department of 
                the Interior (Parts 1--199)
        II  National Marine Fisheries Service, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 200--299)
       III  International Fishing and Related Activities (Parts 
                300--399)
        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)

[[Page 707]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

                      CFR Index and Finding Aids

            Subject/Agency Index
            List of Agency Prepared Indexes
            Parallel Tables of Statutory Authorities and Rules
            List of CFR Titles, Chapters, Subchapters, and Parts
            Alphabetical List of Agencies Appearing in the CFR



[[Page 709]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of June 29, 1998)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
Advisory Commission on Intergovernmental          5, VII
     Relations
Advisory Committee on Federal Pay                 5, IV
Advisory Council on Historic Preservation         36, VIII
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development, United      22, II
     States
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Cooperative State Research, Education, and      7, XXXIV
       Extension Service
  Economic Research Service                       7, XXXVII
  Energy, Office of                               7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        7, VIII; 9, II
       Administration
  Information Resources Management, Office of     7, XXVII
  Inspector General, Office of                    7, XXVI
  National Agricultural Library                   7, XLI
  National Agricultural Statistics Service        7, XXXVI
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Rural Business-Cooperative Service              7, XVIII, XLII
  Rural Development Administration                7, XLII
  Rural Housing Service                           7, XVIII, XXXV
  Rural Telephone Bank                            7, XVI
  Rural Utilities Service                         7, XVII, XVIII, XLII
  Secretary of Agriculture, Office of             7, Subtitle A
  Transportation, Office of                       7, XXXIII
  World Agricultural Outlook Board                7, XXXVIII
Air Force Department                              32, VII
  Federal Acquisition Regulation Supplement       48, 53
Alcohol, Tobacco and Firearms, Bureau of          27, I
AMTRAK                                            49, VII
American Battle Monuments Commission              36, IV
American Indians, Office of the Special Trustee   25, VII
Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 710]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI
Arms Control and Disarmament Agency, United       22, VI
     States
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
Assassination Records Review Board                36, XIV
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase From People Who Are
Board for International Broadcasting              22, XIII
Census Bureau                                     15, I
Central Intelligence Agency                       32, XIX
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X
Christopher Columbus Quincentenary Jubilee        45, XXII
     Commission
Civil Rights, Commission on                       45, VII
Civil Rights, Office for                          34, I
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               44, IV
  Census Bureau                                   15, I`
  Economic Affairs, Under Secretary               37, V
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Export Administration, Bureau of                15, VII
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Telecommunications and Information     15, XXIII; 47, III
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office                     37, I
  Productivity, Technology and Innovation,        37, IV
       Assistant Secretary for
  Secretary of Commerce, Office of                15, Subtitle A
  Technology, Under Secretary for                 37, V
  Technology Administration                       15, XI
  Technology Policy, Assistant Secretary for      37, IV
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Product Safety Commission                5, LXXI; 16, II
Cooperative State Research, Education, and        7, XXXIV
     Extension Service
Copyright Office                                  37, II
Corporation for National and Community Service    45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 711]]

  Army Department                                 32, V; 33, II; 36, III, 
                                                  48, 51
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 2
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Affairs, Under Secretary                 37, V
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Civil Rights, Office for                        34, I
  Educational Research and Improvement, Office    34, VII
       of
  Elementary and Secondary Education, Office of   34, II
  Federal Acquisition Regulation                  48, 34
  Postsecondary Education, Office of              34, VI
  Secretary of Education, Office of               34, Subtitle A
  Special Education and Rehabilitative Services,  34, III
       Office of
  Vocational and Adult Education, Office of       34, IV
Educational Research and Improvement, Office of   34, VII
Elementary and Secondary Education, Office of     34, II
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             5, XXIII; 10, II, III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Enrichment Corporation, United States             10, XI
Environmental Protection Agency                   5, LIV; 40, I
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Administration, Office of                       5, XV
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                25, III, LXXVII; 48, 99
  National Drug Control Policy, Office of         21, III
  National Security Council                       32, XXI; 47, 2
  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export Administration, Bureau of                  15, VII
Export-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII

[[Page 712]]

Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               4, II
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       11, I
Federal Emergency Management Agency               44, I
  Federal Acquisition Regulation                  48, 44
Federal Employees Group Life Insurance Federal    48, 21
     Acquisition Regulation
Federal Employees Health Benefits Acquisition     48, 16
     Regulation
Federal Energy Regulatory Commission              5, XXIV; 18, I
Federal Financial Institutions Examination        12, XI
     Council
Federal Financing Bank                            12, VIII
Federal Highway Administration                    23, I, II; 49, III
Federal Home Loan Mortgage Corporation            1, IV
Federal Housing Enterprise Oversight Office       12, XVII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority, and General    5, XIV; 22, XIV
     Counsel of the Federal Labor Relations 
     Authority
Federal Law Enforcement Training Center           31, VII
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Pay, Advisory Committee on                5, IV
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Property Management Regulations System    41, Subtitle C
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Fine Arts, Commission on                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
Fishery Conservation and Management               50, VI
Food and Drug Administration                      21, I
Food and Nutrition Service                        7, II
Food Safety and Inspection Service                9, III
Foreign Agricultural Service                      7, XV
Foreign Assets Control, Office of                 31, V
Foreign Claims Settlement Commission of the       45, V
     United States
Foreign Service Grievance Board                   22, IX
Foreign Service Impasse Disputes Panel            22, XIV
Foreign Service Labor Relations Board             22, XIV
Foreign-Trade Zones Board                         15, IV
Forest Service                                    36, II
General Accounting Office                         4, I, II
General Services Administration                   5, LVII
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Property Management Regulations System  41, 101, 105
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
     of Certain Employees
[[Page 713]]

  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes Pilotage                              46, III
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Health Care Financing Administration            42, IV
  Human Development Services, Office of           45, XIII
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Health Care Financing Administration              42, IV
Housing and Urban Development, Department of      5, LXV; 24, Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Human Development Services, Office of             45, XIII
Immigration and Naturalization Service            8, I
Independent Counsel, Office of                    28, VII
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Information Agency, United States                 22, V
  Federal Acquisition Regulation                  48, 19
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Intergovernmental Relations, Advisory Commission  5, VII
     on
Interior Department
  American Indians, Office of the Special         25, VII
       Trustee
  Endangered Species Committee                    50, IV
  Federal Acquisition Regulation                  48, 14
  Federal Property Management Regulations System  41, 114
  Fish and Wildlife Service, United States        50, I, IV
  Geological Survey                               30, IV
  Indian Affairs, Bureau of                       25, I, V
  Indian Affairs, Office of the Assistant         25, VI
       Secretary
  Indian Arts and Crafts Board                    25, II
  Land Management, Bureau of                      43, II
  Minerals Management Service                     30, II

[[Page 714]]

  Mines, Bureau of                                30, VI
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Reclamation, Bureau of                          43, I
  Secretary of the Interior, Office of            43, Subtitle A
  Surface Mining and Reclamation Appeals, Board   30, III
       of
  Surface Mining Reclamation and Enforcement,     30, VII
       Office of
Internal Revenue Service                          26, I
International Boundary and Water Commission,      22, XI
     United States and Mexico, United States 
     Section
International Development, United States Agency   22, II
     for
  Federal Acquisition Regulation                  48, 7
International Development Cooperation Agency,     22, XII
     United States
  International Development, United States        22, II; 48, 7
       Agency for
  Overseas Private Investment Corporation         5, XXXIII; 22, VII
International Fishing and Related Activities      50, III
International Investment, Office of               31, VIII
International Joint Commission, United States     22, IV
     and Canada
International Organizations Employees Loyalty     5, V
     Board
International Trade Administration                15, III; 19, III
International Trade Commission, United States     19, II
Interstate Commerce Commission                    5, XL
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                5, XXVIII; 28, I
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             4, II
  Federal Prison Industries, Inc.                 28, III
  Foreign Claims Settlement Commission of the     45, V
       United States
  Immigration and Naturalization Service          8, I
  Offices of Independent Counsel                  28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  5, XLII
  Benefits Review Board                           20, VII
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Employment Standards Administration             20, VI
  Federal Acquisition Regulation                  48, 29
  Federal Contract Compliance Programs, Office    41, 60
       of
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Pension and Welfare Benefits Administration     29, XXV
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training, Office of    41, 61; 20, IX
       the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I
Labor-Management Standards, Office of             29, II, IV
Land Management, Bureau of                        43, II
Legal Services Corporation                        45, XVI
Library of Congress                               36, VII
  Copyright Office                                37, II
Management and Budget, Office of                  5, III, LXXVII; 48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II
Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II

[[Page 715]]

Mines, Bureau of                                  30, VI
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
National Aeronautics and Space Administration     5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National Archives and Records Administration      5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Bureau of Standards                      15, II
National Capital Planning Commission              1, IV
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National and Community Service, Corporation for   45, XII, XXV
National Council on Disability                    34, XII
National Credit Union Administration              12, VII
National Drug Control Policy, Office of           21, III
National Foundation on the Arts and the           45, XI
     Humanities
National Highway Traffic Safety Administration    23, II, III; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute for Literacy                   34, XI
National Institute of Standards and Technology    15, II
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       5, XLIII; 45, VI
  Federal Acquisition Regulation                  48, 25
National Security Council                         32, XXI
National Security Council and Office of Science   47, II
     and Technology Policy
National Telecommunications and Information       15, XXIII; 47, III
     Administration
National Transportation Safety Board              49, VIII
National Weather Service                          15, IX
Natural Resources Conservation Service            7, VI
Navajo and Hopi Indian Relocation, Office of      25, IV
Navy Department                                   32, VI
  Federal Acquisition Regulation                  48, 52
Neighborhood Reinvestment Corporation             24, XXV
Northeast Dairy Compact Commission                7, XIII
Nuclear Regulatory Commission                     5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Offices of Independent Counsel                    28, VI
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Panama Canal Commission                           48, 35
Panama Canal Regulations                          35, I
Patent and Trademark Office                       37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension and Welfare Benefits Administration       29, XXV
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 45, VIII
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
     Acquisition Regulation
[[Page 716]]

  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Postal Rate Commission                            5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Commission on the Assignment of      32, XXIX
     Women in the Armed Forces
Presidential Documents                            3
Prisons, Bureau of                                28, V
Productivity, Technology and Innovation,          37, IV
     Assistant Secretary
Public Contracts, Department of Labor             41, 50
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Regional Action Planning Commissions              13, V
Relocation Allowances                             41, 302
Research and Special Programs Administration      49, I
Rural Business-Cooperative Service                7, XVIII, XLII
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV
Rural Telephone Bank                              7, XVI
Rural Utilities Service                           7, XVII, XVIII, XLII
Saint Lawrence Seaway Development Corporation     33, IV
Science and Technology Policy, Office of          32, XXIV
Science and Technology Policy, Office of, and     47, II
     National Security Council
Secret Service                                    31, IV
Securities and Exchange Commission                17, II
Selective Service System                          32, XVI
Small Business Administration                     13, I
Smithsonian Institution                           36, V
Social Security Administration                    20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  22, I
  Federal Acquisition Regulation                  48, 6
Surface Mining and Reclamation Appeals, Board of  30, III
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Technology Administration                         15, XI
Technology Policy, Assistant Secretary for        37, IV
Technology, Under Secretary for                   37, V
Tennessee Valley Authority                        5, LXIX; 18, XIII
Thrift Depositor Protection Oversight Board       12, XV
Thrift Supervision Office, Department of the      12, V
     Treasury
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     5, L
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Commercial Space Transportation                 14, III
  Contract Appeals, Board of                      48, 63
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II; 49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 49, V
  Research and Special Programs Administration    49, I
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A

[[Page 717]]

  Surface Transportation Board                    49, X
Transportation, Office of                         7, XXXIII
Temporary Duty (TDY) Travel Allowances            41, 301
Treasury Department                               5, XXI; 17, IV
  Alcohol, Tobacco and Firearms, Bureau of        27, I
  Community Development Financial Institutions    12, XVIII
       Fund
  Comptroller of the Currency                     12, I
  Customs Service, United States                  19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Law Enforcement Training Center         31, VII
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  International Investment, Office of             31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S., Scholarship Foundation          45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
United States Enrichment Corporation              10, XI
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training, Office of the  41, 61; 20, IX
     Assistant Secretary for
Vice President of the United States, Office of    32, XXVIII
Vocational and Adult Education, Office of         34, IV
Wage and Hour Division                            29, V
Water Resources Council                           18, VI
Workers' Compensation Programs, Office of         20, I
World Agricultural Outlook Board                  7, XXXVIII

[[Page 719]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations which were 
made by documents published in the Federal Register since January 1, 
1986, are enumerated in the following list. Entries indicate the nature 
of the changes effected. Page numbers refer to Federal Register pages. 
The user should consult the entries for chapters and parts as well as 
sections for revisions.
For the period before January 1, 1986, see the ``List of CFR Sections 
Affected, 1949-1963, 1964-1972, and 1973-1985'' published in seven 
separate volumes.

                                  1986

32 CFR
                                                                   51 FR
                                                                    Page
Chapter V
513  Revised........................................................7268
513.1  (d)(2)(iii) corrected........................................8824
    (j) removed....................................................17961
513.2  (a)(3)(iii) corrected........................................8824
513.5  (c) introductory text corrected..............................8824
513  Appendix C corrected...........................................8824
552  Authority citation revised....................................11723
552.16  Undesignated center heading designated as Subpart A........11722
552.18--552.19  Undesignated center heading designated as Subpart 
        B..........................................................11722
552.25 (Subpart C)  Heading added..................................11722
552.30--552.39  Undesignated center heading designated as Subpart 
        D and revised..............................................11722
552.50--552.83  Undesignated center heading designated as Subpart 
        E..........................................................11722
552.84--552.97 (Subpart F)  Added..................................11723
553.22  (j), (k), (l), and Appendix A added........................19708
    (b) revised....................................................43742
588  Added..........................................................4082

                                  1987

32 CFR
                                                                   52 FR
                                                                    Page
Chapter V
536  Revised.......................................................45939
537  Revised.......................................................45176
552.25  Revised....................................................44393
552.105--552.111 (Subpart G)  Added................................25862

                                  1988

32 CFR
                                                                   53 FR
                                                                    Page
Chapter V
505.1  (g) revised.................................................43690
518.15  (a)(4)(i) through (xvii) revised; (a)(4)(xviii) through 
        (xxiii) removed.............................................8901
527  Added.........................................................19286
536  Revised.......................................................49298
537  Revised.......................................................48899
552.105--552.111  Redesignated as Subpart H.........................1752
552.98--552.104  (Subpart G) Added..................................1752
552.105--552.111  (Subpart H) Redesignated from Subpart G...........1752

                                  1989

32 CFR
                                                                   54 FR
                                                                    Page
Chapter V
518.15  (a)(4) (i) through (xvii) revised; (a)(4)(xix) through 
        (xxiv) added................................................9991
    (a)(4)(xviii) added............................................10541

[[Page 720]]

    (a)(4)(xxv) added..............................................18653
    (a)(4)(xviii) correctly designated.............................27793
    (a)(4)(xxv) correctly designated...............................36965
536  Revised.......................................................43892
536.5  (d) through (g) correctly revised...........................21343
537  Revised.......................................................43914
621.2  (e) (1), (5), (g)(1), and (h) revised; (f)(1) removed; (f) 
        (2) and (3) redesignated as (f) (1) and (2)................48097

                                  1990

32 CFR
                                                                   55 FR
                                                                    Page
Chapter V
516  Revised.......................................................10351
518  Revised.......................................................10870
518.54  (d)(25) added..............................................33289
556  Revised; eff. 7-30-90.........................................27104
556.22  (c) revised................................................32243
589  Added.........................................................47042
619  Added.........................................................52976

                                  1991

32 CFR
                                                                   56 FR
                                                                    Page
Chapter V
505.1  (g) introductory text revised...............................29583
507  Revised.......................................................23513
518  Revised.......................................................48932
518.5  Amended.....................................................56010
518.10  (c) introductory text amended; (e) revised.................56010
518.21  Introductory text revised..................................56010
518.22  (b) amended................................................56010
518.24  (a) amended; (b) revised...................................56010
518.29  (e) revised; (f) added.....................................56010
518.37  (d)(1) revised.............................................56010
518.50  Correctly designated.......................................56010
518.54  Introductory text revised; (g)(1) removed; (g)(2) and (3) 
        redesignated as (g)(1) and (2).............................56010
518.60  Revised....................................................56010
518.61  Revised....................................................56010
518.85  (g)(3) revised.............................................56011
518.99  (b)(2) introductory text, (3) introductory text and (c) 
        amended....................................................56011
518  Appendix E amended............................................56011
519  Revised.......................................................65392
552.112--552.125 (Subpart I)  Added................................25040
552.126--552.130 (Subpart J)  Added................................37130
589.4  (a)(1), (b)(4), (5), (f) and (g) revised; (b)(6) added........371
619  Carrier qualification program requirement temporarily 
        suspended..................................................45895
619.2  Revised......................................................2850
619.4  Revised......................................................5651
626  Added..........................................................3186
    Authority citation revised.....................................13759
    Suspended......................................................37019
626.4  (g)(3) and (4) revised......................................13759
626.7  (i)(1) revised..............................................13759
626.8  (b) revised.................................................13759
626.15  (b) revised................................................13759
627  Added..........................................................9424
    Suspended......................................................37019

                                  1992

32 CFR
                                                                   57 FR
                                                                    Page
Chapter V
505  Authority citation revised....................................33126
505.5  (d) revised; (e) amended....................................33126
519  Regulation at 56 FR 65392 withdrawn............................9501
583.1  Removed.......................................................525
591  Removed........................................................6677
619  Technical correction..........................................47572
619.1  Amended.....................................................44239
619.2  (c) added...................................................44239
619.4  Revised.....................................................44239
619.5  (a)(4) added................................................44239
619.6  Introductory text revised; (k) added........................44239
619.7  Revised.....................................................44239
619.8  Revised.....................................................44240
619  Appendix designated as Appendix A and revised.................44240
    Appendixes B through F added...................................44242
626  Revised.......................................................11368
627    Revised.....................................................12604

[[Page 721]]

                                  1993

32 CFR
                                                                   58 FR
                                                                    Page
Chapter V
505.1  (d)(1) and (2), (g), and (h) revised........................51012
505.3  (b)(10)(i) through (iv) and (11)(i) through (iv) revised....51013
505.5  (e) amended..............................................61027...
592  Removed.....................................................6716...
593  Removed.....................................................6716...
594  Removed.....................................................6716...
595  Removed.....................................................6716...
596  Removed.....................................................6716...
597  Removed.....................................................6716...
598  Removed.....................................................6716...
599  Removed.....................................................6716...
600  Removed.....................................................6716...
601  Removed.....................................................6716...
602  Removed.....................................................6716...
603  Removed.....................................................6716...
604  Removed.....................................................6716...
605  Removed.....................................................6716...
606  Removed.....................................................6716...
608  Removed.....................................................6716...
612  Removed.....................................................6716...
616  Removed.....................................................6716...
619  Revised....................................................44405...

                                  1994

32 CFR
                                                                   59 FR
                                                                    Page
Chapter V
516  Revised.......................................................38236
516.4  (b), (i) and (o) correctly revised..........................45974
516.5  Correctly designated........................................45974
516.9  (b) correctly revised.......................................45975
516.10  (b) correctly revised......................................45975
536  Revised.......................................................64017
537  Removed.......................................................64017
552.140--552.145 (Subpart K)  Added; interim.......................34581
    Added..........................................................42755
552.150--552.153 (Subpart L)  Added................................31144
552.160--552.172 (Subpart M)  Added; interim.......................34762
552.180--552.185 (Subpart N)  Added; interim.......................45212
553.15  (f) through (i) redesignated as (g) through (j); new (f) 
        added; interim.............................................60559
553.15a  (e) through (h) redesignated as (f) through (i); new (e) 
        added; interim..........................................60559...

                                  1995

32 CFR
                                                                   60 FR
                                                                    Page
Chapter V
505.5  (e) amended.......................................48652, 51919...
536  Regulation at 59 FR 64017 withdrawn.........................1735...
537  Regulation at 59 FR 64017 withdrawn.........................1735...
552.160--552.172 (Subpart M)  Regulation at 59 FR 34762 confirmed 
                                                                    8305
553.15  Regulation at 59 FR 60559 confirmed......................8305...
553.15a  Regulation at 59 FR 60559 confirmed; heading revised; 
        (e)(2) amended...........................................8305...

                                  1996

32 CFR
                                                                   61 FR
                                                                    Page
Chapter V
505.5  Revised.....................................................43657
    (e) amended; (c)(1) revised..................................2916...
619.1  Amended..................................................49061...
619.4  (a), (b) introductory text and (5) revised...............49061...
619.6  Introductory text and (k) revised........................49061...
619.7  (d) revised..............................................49061...
619.8  Revised..................................................49061...
619  Appendix G added...........................................49062...
623.5  (c)(5)(A) through (D) redesignated as (c)(5)(i) through 
        (iv)....................................................45890...

                                  1997

32 CFR
                                                                   62 FR
                                                                    Page
Chapter V
505.5  (e)(20) removed..........................................48480...
543  Removed....................................................12544...
544  Removed....................................................12544...
552.211--552.216 (Subpart P)  Added.............................33998...

                                  1998

   (Regulations published from January 1, 1998, through July 1, 1998)

32 CFR
                                                                   63 FR
                                                                    Page
Chapter V
507  Revised.......................................................27208