[Title 32 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2002 Edition]
[From the U.S. Government Printing Office]



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                    32


          Part 800 to End

                         Revised as of July 1, 2002

National Defense





          Containing a codification of documents of general 
          applicability and future effect
          As of July 1, 2002
          With Ancillaries
          Published by
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



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                              [*COM005*emsp]




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2002



  For sale by the Superintendent of Documents, U.S. Government Printing 
                                  Office
  Internet: bookstore.gpo.gov Phone: toll free (866) 512-1800; DC area 
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      Fax: (202) 512-2250 Mail: Stop SSOP, Washington, DC 20402-0001



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                            Table of Contents



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

  Title 32:
    Subtitle A--Department of Defense (Continued)
          Chapter VII--Department of the Air Force                   5
    Subtitle B--Other Regulations Relating to National Defense
          Chapter XII--Defense Logistics Agency                    247
          Chapter XVI--Selective Service System                    313
          Chapter XVIII--National Counterintelligence Center       387
          Chapter XIX--Central Intelligence Agency                 425
          Chapter XX--Information Security Oversight Office, 
          National Archives and Records Administration             477
          Chapter XXI--National Security Council                   525
          Chapter XXIV--Office of Science and Technology 
          Policy                                                   535
          Chapter XXVII--Office for Micronesian Status 
          Negotiations                                             551
          Chapter XXVIII--Office of the Vice President of the 
          United States                                            561

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  Finding Aids:
      Table of CFR Titles and Chapters........................     575
      Alphabetical List of Agencies Appearing in the CFR......     593
      List of CFR Sections Affected...........................     603



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

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 32 CFR 806.1 refers 
                       to title 32, part 806, 
                       section 1.

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

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                               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, 2002, 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.

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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). 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, 
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a day. For payment by check, write to the Superintendent of Documents, 
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Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, 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].

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    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, 2002.



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                               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, 2002.

    The current regulations issued by the Department of Defense appear 
in the volumes containing parts 1-189 and parts 190-399; 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, National Counterintelligence Center, Central Intelligence 
Agency, Information Security Oversight Office, National Security 
Council, Office of Science and Technology Policy, Office for Micronesian 
Status Negotiations, and Office of the Vice President of the United 
States appear in the volume containing parts 800 to end.

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

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                        TITLE 32-NATIONAL DEFENSE




                  (This book contains part 800 to End)

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

              SUBTITLE A--Department of Defense (Continued)

chapter vii--Department of the Air Force....................         806

       SUBTITLE B--Other Regulations Relating to National Defense

chapter xii--Defense Logistics Agency.......................        1280

chapter xvi-- Selective Service System......................        1602

chapter xviii-- National Counterintelligence Center.........        1800

chapter xix-- Central Intelligence Agency...................        1900

chapter xx-- Information Security Oversight Office, National 
  Archives and Records Administration.......................        2001

chapter xxi-- National Security Council.....................        2102

chapter xxiv-- Office of Science and Technology Policy......        2400

chapter xxvii-- Office for Micronesian Status Negotiations..        2700

chapter xxviii-- Office of the Vice President of the United 
  States....................................................        2800

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              Subtitle A--Department of Defense (Continued)

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


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                CHAPTER VII--DEPARTMENT OF THE AIR FORCE




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

                      SUBCHAPTER A--ADMINISTRATION
Part                                                                Page
800             [Reserved]

806             Air Force Freedom of Information Act program           7
806b            Air Force Privacy Act program...............          36
807             Sale to the public..........................          56
809a            Installation entry policy, civil disturbance 
                    intervention and disaster assistance....          57
                    SUBCHAPTER B--SALES AND SERVICES
811             Release, dissemination, and sale of visual 
                    information materials...................          61
813             Visual information documentation program....          63
                SUBCHAPTER C--PUBLIC RELATIONS [RESERVED]
                   SUBCHAPTER D--CLAIMS AND LITIGATION
841             Licensing government-owned inventions in the 
                    custody of the Department of the Air 
                    Force...................................          66
842             Administrative claims.......................          71
845             Counsel fees and other expenses in foreign 
                    tribunals...............................         115
                    SUBCHAPTER E-SECURITY [RESERVED]
                         SUBCHAPTER F--AIRCRAFT
855             Civil aircraft use of United States Air 
                    Force airfields.........................         119

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861             Department of Defense commercial air carrier 
                    quality and safety review program.......         143
             SUBCHAPTER G--ORGANIZATION AND MISSION--GENERAL
865             Personnel Review boards.....................         152
                         SUBCHAPTER H [RESERVED]
                    SUBCHAPTER I--MILITARY PERSONNEL
881             Determination of active military service and 
                    discharge for civilian or contractual 
                    groups..................................         179
884             Delivery of personnel to United States 
                    civilian authorities for trial..........         181
887             Issuing of certificates in lieu of lost or 
                    destroyed certificates of separation....         187
888-888g         [Reserved]

               SUBCHAPTER J--CIVILIAN PERSONNEL [RESERVED]
               SUBCHAPTER K--MILITARY TRAINING AND SCHOOLS
901             Appointment to the United States Air Force 
                    Academy.................................         190
903             Air Force Academy Preparatory School........         199
                       SUBCHAPTERS L-M [RESERVED]
            SUBCHAPTER N--TERRITORIAL AND INSULAR REGULATIONS
935             Wake Island Code............................         204
              SUBCHAPTER O-SPECIAL INVESTIGATION [RESERVED]
                       SUBCHAPTERS P-S [RESERVED]
                 SUBCHAPTER T--ENVIRONMENTAL PROTECTION
989             Environmental impact analysis process (EIAP)         220

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                      SUBCHAPTER A--ADMINISTRATION



                           PART 800 [RESERVED]



PART 806--AIR FORCE FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents




Sec.
806.1  Summary of revisions.
806.2  Applicability.
806.3  Public information.
806.4  Definitions.
806.5  Responsibilities.
806.6  Prompt action on requests.
806.7  Use of exemptions.
806.8  Description of requested record.
806.9  Referrals.
806.10  Records management.
806.11  FOIA reading rooms.
806.12  Record availability.
806.13  5 U.S.C. 552 (a)(2) materials.
806.14  Other materials.
806.15  FOIA exemptions.
806.16  For official use only.
806.17  Release and processing procedures.
806.18  Initial determinations.
806.19  Reasonably segregable portions.
806.20  Records of non-U.S. government source.
806.21  Appeals.
806.22  Time limits.
806.23  Delay in responding to an appeal.
806.24  Fee restrictions.
806.25  Annual report.
806.26  Addressing FOIA requests.
806.27  Samples of Air Force FOIA processing documents.
806.28  Records with special disclosure procedures.
806.29  Administrative processing of Air Force FOIA requests.
806.30  FOIA exempt information examples.
806.31  Requirements of 5 U.S.C. 552(b)(4) to submitters of 
          nongovernment contract-related information.

Appendix A To Part 806--References
Appendix B To Part 806--Abbreviations and Acronyms
Appendix C To Part 806--Terms

    Authority: 5 U.S.C. 552.

    Source: 64 FR 72808, Dec. 28, 1999, unless otherwise noted.



Sec. 806.1  Summary of revisions.

    This part makes this guidance an Air Force supplement to the DoD 
regulation at 32 CFR part 286. It transfers responsibility for the Air 
Force Freedom of Information Act (FOIA) Program from the Office of the 
Secretary of the Air Force (SAF/AAI) to Headquarters United States Air 
Force (HQ USAF/SC) and Headquarters Air Force Communications and 
Information Center/Corporate Information Division (HQ AFCIC/ITC); 
contains significant changes and additions to implement the Electronic 
Freedom of Information Act (EFOIA) Amendments of 1996; addresses 
electronic records; increases time limits to 20 working days; adds 
procedures for multiple tracking and expedited processing of requests; 
changes annual report date and content; adds major command (MAJCOM) 
inspectors general (IG), MAJCOM Directors of Inquiries (IGQ), and wing 
commanders as initial denial authorities (IDAs).



Sec. 806.2  Applicability.

    A list of Air Force MAJCOMs, field operating agencies (FOAs), and 
Direct Reporting Units (DRUs) is at Sec. 806.26.



Sec. 806.3  Public information.

    (a) Functional requests. Air Force elements may receive requests for 
government information or records from the public that do not refer to 
the FOIA. Often these requests are sent to a public affairs office (PAO) 
or a specific unit. All releases of information from Air Force records, 
whether the requester cites the FOIA or not, must comply with the 
principles of the FOIA and this part. If the requested material contains 
personal privacy information that the Air Force must withhold, it is 
particularly important to handle that ``functional'' request as a 
request under the FOIA and coordinate it with the appropriate FOIA 
office and an Air Force attorney. Regardless of the nature of the 
functional request, if the responding element denies the release of 
information from Air Force records, then control the request as a FOIA 
and follow FOIA denial procedures for records withheld (cite the 
pertinent FOIA exemption and give the requester FOIA appeal rights).
    (b) HQ AFCIC/ITC will make the Air Force handbook and guide for 
requesting records available on the World Wide Web (WWW) from Air 
ForceLINK,

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at http://www.foia.af.mil/handbook.htm.



Sec. 806.4  Definitions.

    (a) Electronic reading room (ERR). Rooms established on Internet web 
sites for public access to FOIA-processed (a)(2)(D) records.
    (b) FOIA request. This includes FOIA requests made by members of 
Congress either on their own behalf or on behalf of one of their 
constituents. Process FOIA requests from members of Congress in 
accordance with this Air Force supplement. Air Force-affiliated 
requesters, to include military and civilian employees, should not use 
government equipment, supplies, stationery, postage, telephones, or 
official mail channels to make FOIA requests.
    (1) Simple requests can be processed quickly with limited impact on 
the responding units. The request clearly identifies the records with no 
(or few) complicating factors involved. There are few or no responsive 
records. Only one installation is involved and there are no outside 
Office of Primary Responsibility (OPRs). There are no classified or 
nongovernment records. No deliberative process/privileged materials are 
involved. The responsive records contain no (or limited) personal 
privacy information and do not come from a Privacy Act system of 
records. No time extensions are anticipated.
    (2) Complex requests take substantial time and cause significant 
impact on responding units. Complications and delays are likely. Records 
sought are massive in volume. Multiple organizations must review/
coordinate on requested records. Records are classified; originated with 
a nongovernment source; are part of the Air Force's decision-making 
process; or are privileged.
    (c) Government Information Locator Service (GILS). GILS is an 
automated on-line card catalog of publicly accessible information. The 
Office of Management and Budget (OMB) Bulletin 95-01, December 7, 1994, 
and OMB Memorandum, February 6, 1998, mandates that all federal agencies 
create a GILS record for information available to the public. The DoD 
GILS resides on DefenseLINK, the official DoD home page, at ``http://
www.defenselink.mil/locator/index.html.''
    (d) Initial denial authority. Only approved IDAs may deny all or 
parts of records. FOIA managers may: initially deny fee category claims, 
requests for expedited processing, and waiver or reduction of fees; 
review fee estimates; and sign ``no records'' responses. IDAs are the 
deputy chiefs of staff and chiefs of comparable offices or higher at HQ 
USAF and Secretary of the Air Force (SAF), and MAJCOM commanders. Deputy 
Chiefs of Staff and chiefs of comparable offices or higher at HQ USAF 
and SAF may name one additional position as denial authority. MAJCOM 
commanders may appoint two additional positions at the headquarters and 
also the wing commander at base level. MAJCOM IGs and MAJCOM Directors 
of Inquiries (IGQ) may act as IDAs for IG records. MAJCOM FOIA managers 
must notify HQ AFCIC/ITC in writing (by facsimile, e-mail, or regular 
mail) of IDA position titles. Send position titles only--no names. HQ 
AFCIC/ITC sends SAF/IGQ a copy of the correspondence designating IDA 
positions for IG records. When the commander changes the IDA designee 
position, MAJCOM FOIA managers will advise HQ AFCIC/ITC immediately. In 
the absence of the designated IDA, the individual filling/assuming that 
position acts as an IDA, however; all denial documentation must reflect 
the position title of the approved or designated IDA, even if in an 
acting capacity (for example, Acting Director of Communications and 
Information, Headquarters Air Combat Command).
    (e) Office of primary responsibility (OPR). A DoD element that 
either prepared, or is responsible for, records identified as responsive 
to a FOIA request. OPRs coordinate with the office of corollary 
responsibility (OCR) and FOIA managers to assist IDAs in making 
decisions on FOIA requests.
    (f) OCR. A DoD element with an official interest in, and/or 
collateral responsibility for, the contents of records identified as 
responsive to a FOIA request, even though those records were either 
prepared by, or are the primary responsibility of, a different DoD 
element. OCRs coordinate with OPRs and

[[Page 9]]

FOIA managers to assist IDAs in making decisions on FOIA requests.
    (g) Appellate authority. The SAF has designated the Deputy General 
Counsel, Fiscal, Ethics, and Civilian Personnel (SAF/GCA) as the FOIA 
appellate authority.
    (h) Reading room. Any place where a member of the public may view 
FOIA records.



Sec. 806.5  Responsibilities.

    (a) The Director, Communications and Information (HQ USAF/SC) has 
overall responsibility for the Air Force FOIA Program. The Corporate 
Information Division (HQ AFCIC/ITC) administers the procedures necessary 
to implement the Air Force FOIA Program, submits reports to the 
Director, Freedom of Information and Security Review (DFOISR), and 
provides guidance and instructions to MAJCOMs. Responsibilities of other 
Air Force elements follow.
    (b) SAF/GCA makes final decisions on FOIA administrative appeals.
    (c) Installation commanders will: Comply with FOIA electronic 
reading room (ERR) requirements by establishing a FOIA site on their 
installation public web page and making frequently requested records 
(FOIA-processed (a)(2)(D)) records available through links from that 
site, with a link to the Air Force FOIA web page at http://
www.foia.af.mil. See Sec. 806.12(c).
    (d) MAJCOM commanders implement this instruction and appoint a FOIA 
manager, in writing. Send the name, phone number, office symbol, and e-
mail address to HQ AFCIC/ITC, 1250 Air Force Pentagon, Washington, DC 
20330-1250.
    (e) Air Force attorneys review FOIA responses for legal sufficiency, 
provide legal advice to OPRs, disclosure authorities, IDAs, and FOIA 
managers, and provide written legal opinions when responsive records (or 
portions of responsive records) are withheld. Air Force attorneys ensure 
factual and legal issues raised by appellants are considered by IDAs 
prior to sending the FOIA appeal files to the Secretary of the Air 
Force's designee for final action.
    (f) Disclosure authorities and IDAs apply the policies and guidance 
in this instruction, along with the written recommendations provided by 
staff elements, when considering what decisions to make on pending FOIA 
actions. Where any responsive records are denied, the IDA tells the 
requesters the nature of records or information denied, the FOIA 
exemption supporting the denial, the reasons the records were not 
released, and gives the requester the appeal procedures. In addition, on 
partial releases, IDAs must ensure requesters can see the placement and 
general length of redactions with the applicable exemption indicated. 
This procedure applies to all media, including electronic records. 
Providing placement and general length of redacted information is not 
required if doing so would harm an interest protected by a FOIA 
exemption. When working FOIA appeal actions for the appellate authority 
review:
    (1) IDAs grant or recommend continued denial (in full or in part) of 
the requester's appeal of the earlier withholding of responsive records, 
or adverse determination (for example, IDAs may release some or all of 
the previously denied documents).
    (2) IDAs reassess a request for expedited processing due to 
demonstrated compelling need, overturning or confirming the initial 
determination made by the FOIA manager.
    (3) When an IDA denies any appellate action sought by a FOIA 
requester, the IDA, or MAJCOM FOIA manager (for no record, fee, fee 
estimates, or fee category appeals) will indicate in writing that the 
issues raised in the FOIA appeal were considered and rejected (in full 
or in part). Include this written statement in the file you send to the 
Secretary of the Air Force in the course of a FOIA appeal action. Send 
all appeal actions through the MAJCOM FOIA office.
    (g) OPRs:
    (1) Coordinate the release or denial of records requested under the 
FOIA with OCRs, FOIA offices, and with Air Force attorneys on proposed 
denials.
    (2) Provide requested records. Indicate withheld parts of records 
annotated with FOIA exemption. Ensure requesters can see the placement 
and general length of redactions. This procedure applies to all media, 
including

[[Page 10]]

electronic records. Providing placement and general length of redacted 
information is not required if doing so would harm an interest protected 
by a FOIA exemption.
    (3) Provide written recommendations to the disclosure authority to 
determine whether or not to release records, and act as declassification 
authority when appropriate.
    (4) Make frequently requested records (FOIA-processed (a)(2)(D)) 
available to the public in the FOIA ERR via the Internet. As required by 
AFIs 33-129, Transmission of Information Via the Internet, and 35-205, 
Air Force Security and Policy Review Program, OPRs request clearance of 
these records with the PAO before posting on the WWW, and coordinate 
with JA and FOIA office prior to posting. The FOIA manager, in 
coordination with the functional OPR or the owner of the records, will 
determine qualifying records, after coordination with any interested 
OCRs.
    (5) Complete the required GILS core record for each FOIA-processed 
(a)(2)(D) record.
    (6) Manage ERR records posted to the installation public web page by 
updating or removing them when no longer needed. Software for tracking 
number of hits may assist in this effort.
    (h) FOIA managers:
    (1) Ensure administrative correctness of all FOIA actions processed.
    (2) Control and process FOIA requests.
    (3) Obtain recommendations from the OPR for records.
    (4) Prepare or coordinate on all proposed replies to the requester. 
FOIA managers may sign replies to requesters when disclosure authorities 
approve the total release of records. If the MAJCOM part directs the OPR 
to prepare the reply, the OPR will coordinate their reply with the FOIA 
office.
    (5) Make determinations as to whether or not the nature of requests 
are simple or complex where multitrack FOIA request processing queues 
exist.
    (6) Approve or initially deny any requests for expedited processing.
    (7) Provide interim responses to requesters, as required.
    (8) Provide a reading room for inspecting and copying records.
    (9) Provide training.
    (10) Review publications for compliance with this part.
    (11) Conduct periodic program reviews.
    (12) Approve or deny initial fee waiver requests.
    (13) Make the initial decision on chargeable fees.
    (14) Collect fees.
    (15) Send extension notices.
    (16) Submit reports.
    (17) Sign ``no record'' responses.
    (18) Provide the requester the basis for any adverse determination 
(i.e., no records, fee denials, fee category determinations, etc.) in 
enough detail to permit the requester to make a decision whether or not 
to appeal the actions taken, and provide the requester with appeal 
procedures.
    (i) On appeals, FOIA managers:
    (1) Reassess a fee category claim by a requester, overturning or 
confirming the initial determination.
    (2) Reassess a request for expedited processing due to demonstrated 
compelling need, overturning or confirming the initial determination.
    (3) Reassess a request for a waiver or reduction of fees, 
overturning or confirming the initial determination.
    (4) Review a fee estimate, overturning or confirming the initial 
determination.
    (5) Confirm that no records were located in response to a request.
    (j) The base FOIA manager acts as the FOIA focal point for the FOIA 
site on the installation web page.
    (k) When any appellate action sought by a FOIA requester is denied 
by an IDA or FOIA manager for authorized actions, the IDA or FOIA 
manager will indicate, in writing, that the issues raised in the FOIA 
appeal were considered and rejected (in full or in part). Include this 
written statement in the file you send to the Secretary of the Air Force 
in the course of a FOIA appeal action. Send all appeal actions through 
the MAJCOM FOIA office.



Sec. 806.6  Prompt action on requests.

    (a) Examples of letters to FOIA requesters (e.g., response 
determinations and interim responses) are included in Sec. 806.27.
    (b) Multitrack processing. (1) Examples of letters to FOIA 
requesters (e.g.,

[[Page 11]]

letters to individuals who have had their FOIA request placed in the 
complex track) are included in Sec. 806.27.
    (2) Simple requests can be processed quickly, with limited impact on 
the responding units. The request clearly identifies the records with no 
(or few) complicating factors involved. There are few or no responsive 
records, only one installation is involved, there are no outside OPRs, 
no classified or nongovernment records, no deliberative process/
privileged materials are involved, records contain no (or limited) 
personal privacy information/did not come from Privacy Act systems of 
records concerning other individuals, or time extensions not 
anticipated.
    (c) Complex requests will take substantial time, will cause 
significant impact on responding units. Complications and delays are 
likely. Records sought are massive in volume, multiple organizations 
must review/coordinate on records, records are classified, records 
originated with a nongovernment source, records were part of the Air 
Force's decision-making process or are privileged.
    (d) Expedited processing. Examples of letters to individuals whose 
FOIA requests and/or appeals were not expedited are included in 
Sec. 806.27.



Sec. 806.7  Use of exemptions.

    (a) A listing of some AFIs that provide guidance on special 
disclosure procedures for certain types of records is provided in 
Sec. 806.28. Refer to those instructions for specific disclosure 
procedures. Remember, the only reason to deny a request is a FOIA 
exemption.
    (b) Refer requests from foreign government officials that do not 
cite the FOIA to your foreign disclosure office and notify the 
requester.
    (c) If you have a non-U.S. Government record, determine if you need 
to consult with the record's originator before releasing it (see 
Sec. 806.9 and Sec. 806.15(c)). This includes records created by foreign 
governments and organizations such as North Atlantic Treaty Organization 
(NATO) and North American Aerospace Defense (NORAD). You may need to 
coordinate release of foreign government records with either the U.S. 
Department of State or with the specific foreign embassy, directly 
through the MAJCOM FOIA office. Coordinate release or denial of letters 
of offer and acceptance (LOA) with SAF/IA through 11 CS/SCSR (FOIA), 
1000 Air Force Pentagon, Washington DC 20330-1000.



Sec. 806.8  Description of requested record.

    Air Force elements must make reasonable efforts to find the records 
described in FOIA requests. Reasonable efforts means searching all 
activities and locations most likely to have the records, and includes 
staged or retired records, as well as complete and thorough searches of 
relevant electronic records, such as databases, word processing, and 
electronic mail files.



Sec. 806.9  Referrals.

    (a) Send all referrals through the FOIA office. The receiving FOIA 
office must agree to accept the referral before transfer. The FOIA 
office will provide the name, phone number, mailing address, and e-mail 
address of both the FOIA office point of contact and the record OPR 
point of contact in their referral letter. Include the requested record. 
If the requested records are massive, then provide a description of 
them. Referrals to, or consultations with, DFOISR are accomplished from 
the MAJCOM level. Section 806.27 has an example of a referral memo.
    (b) In some cases, requested records are available from the GPO and 
NTIS, 5285 Port Royal Road, Springfield VA 22161. These organizations 
offer certain records for sale to the public.     Current standard 
releasable Air Force publications are available electronically on the 
WWW at http://afpubs.hq.af.mil/. For requesters without electronic 
access, NTIS has paper copies for sale. Give requesters the web address 
or NTIS address when appropriate. However, if the requester prefers to 
pursue the FOIA process, consult with HQ AFCIC/ITC through the MAJCOM. 
Refer FOIA requests for Air Force publications that are classified, 
FOUO, rescinded, or superseded to the OPR through the appropriate FOIA 
office.

[[Page 12]]



Sec. 806.10  Records management.

    Keep records that were fully released for 2 years and denied records 
for 6 years. Include in the 6-year record file copies of records or 
parts of records that were released in response to the same request. 
Refer to Air Force Manual (AFMAN) 37-139, Records Disposition Schedule 
(converting to AFMAN 33-339, see Sec. 806.9(b)). The functional OPR or 
FOIA office may keep the records released or denied. The FOIA office 
keeps the FOIA case file for each request. The FOIA case file consists 
of: the initial request; tasking to OPRs; OPR's reply; memoranda for 
record (MFR) of phone calls or other actions related to the FOIA 
request; DD Forms 2086, Record of Freedom of Information (FOI) 
Processing Cost, or 2086-1, Record of Freedom of Information (FOI) 
Processing Cost for Technical Data; final response; and any of the 
following, if applicable: extension letter; legal opinions; submitter 
notification letters and replies; the appeal and required attachments 
(except for the released or denied records if maintained by the OPR); 
and all other correspondence to and from the requester.



Sec. 806.11  FOIA reading rooms.

    Each FOIA office will arrange for a reading room where the public 
may inspect releasable records. You do not need to co-locate the reading 
room with the FOIA office. The FOIA does not require creation of a 
reading room dedicated exclusively to this purpose. A ``reading room'' 
is any location where a requester may review records. For FOIA-processed 
(a)(3) records, if requesters meet the criteria for search and review 
costs, they must be paid before inspecting records. Assess reproduction 
costs at the time of inspection, if appropriate.



Sec. 806.12  Record availability.

    (a) HQ AFCIC/ITC will make the traditional FOIA-processed (a)(2) 
materials (5 U.S.C. 552(a)(2)(A), (B), and (C)) available to the public. 
Each Air Force activity must make 5 U.S.C. 552(a)(2)(D) records (``FOIA-
processed (a)(2)(D) records''--records which they determine will, or 
have become, the subject of frequent or subsequent requests) available 
to the public in a reading room in hard copy and electronically by 
posting it to their appropriate web site. There is no requirement to 
make all FOIA-released records available electronically. The FOIA 
manager, in coordination with the functional OPR, or the owner of the 
records, determines qualifying records, after coordination with any 
interested OCRs. As required by AFIs 33-129 and 35-205, OPRs request 
clearance of these records with the PAO before posting on the WWW.
    (b) Normally, if the FOIA office or OPR receives, or anticipates 
receiving, five or more requests for the same record in a quarter, they 
will consider it a frequently requested record (FOIA-processed (a)(2)(D) 
record) and make it publicly available in hard copy and electronically 
as outlined in Sec. 806.12(a). OPRs may elect to make other records 
publicly available if they receive, or expect to receive, less than five 
requests a quarter. The purpose is to make records available in an ERR 
to potential future FOIA requesters instead of waiting to receive a FOIA 
request, and reduce the number of multiple FOIA requests for the same 
records requiring separate responses. In making these determinations, 
recognize there are some situations in which a certain type of record 
becomes the subject of simultaneous FOIA requests from all interested 
parties and then ceases to be of interest. Activities may typically 
receive a ``flurry'' of FOIA requests for contract records immediately 
after a contract is awarded, but do not receive any subsequent requests 
for such bulky records after that point. In some cases, activities may 
decide that placing records in the ERR would not serve the statutory 
purpose of ``diverting some potential FOIA requests for previously 
released records.'' The following types of records should be considered 
for inclusion in the ERR (excluding individuals assigned to overseas, 
sensitive, and routinely deployable units): organizational charts and 
limited staff directories; lists of personnel reassigned with gaining 
base; MAJCOM FOIA supplements; lists of International Merchant Purchase 
Authority Card (IMPAC) card holders. Do not post lists of e-mail 
addresses.

[[Page 13]]

    (c) GILS. Each activity that posts FOIA-processed (a)(2)(D) records 
(records which they determine will, or have become, the subject of 
frequent or subsequent requests) must create a GILS record for each 
FOIA-processed (a)(2)(D) record and post it to DefenseLINK. The OPR 
prepares the GILS record. You can complete and submit a GILS record on-
line using a web browser. Instructions for completing the GILS record, 
and an on-line form are at http://www.defenselink.mil/locator/
index.html. Follow the steps listed on the web page. The GILS site on 
DefenseLINK will serve as the central index of Air Force FOIA-processed 
(a)(2)(D) records.
    (d) In addition, installations will post a list, or index, of 
locally produced FOIA-processed (a)(2)(D) records on their web page at 
their FOIA site. Each listing will point or link to the particular 
record. In addition, MAJCOMs may choose to post their own index of 
MAJCOM specific FOIA-processed (a)(2)(D) records to their appropriate 
web site. Installation web pages will include the following phrase (or 
similar words) on their FOIA site if they do not have any frequently 
requested FOIA records: ``There are no frequently requested FOIA records 
to post at this time.'' Include the following statement, or a similar 
one, on the installation web page with the records: ``Some records are 
released to the public under the FOIA, and may therefore reflect 
deletion of some information in accordance with the FOIA's nine 
statutory exemptions. A consolidated list of such records is on 
DefenseLINK.'' Link the word ``DefenseLINK'' to www.defenselink.mil/
locator/fpr--index.html. Qualifying releasable records with exempt 
information redacted must show on the record the amount of information 
withheld and the exemption reason (for example, (b)(6)). Activities with 
such records should provide the public an index and explanation of the 
FOIA exemptions. All installation FOIA pages will include a link to the 
Air Force page.
    (e) FOIA web pages should be clearly accessed from the main 
installation page, either by a direct link to ``FOIA'' or ``Freedom of 
Information Act'' from the main page, or found under a logical heading 
such as ``Library'' or ``Sites.''



Sec. 806.13  5 U.S.C. 552(a)(2) materials.

    The GILS records on DefenseLINK will serve as the index for 5 U.S.C. 
552(a)(2)(D) materials.



Sec. 806.14  Other materials.

    HQ AFCIC/ITC makes the appropriate FOIA-processed (a)(1) materials 
available for the Air Force.



Sec. 806.15  FOIA exemptions.

    (a) Exemption number 1. When a requester seeks records that are 
classified, or should be classified, only an initial classification 
authority, or a declassification authority, can make final 
determinations with respect to classification issues. The fact that a 
record is marked with a security classification is not enough to support 
withholding the document; make sure it is ``properly and currently 
classified.'' Review the record paragraph by paragraph for releasable 
information. Review declassified and unclassified parts before release 
to see if they are exempt by other exemptions. Before releasing a 
reviewed and declassified document, draw a single black line through all 
the classification markings so they are still legible and stamp the 
document unclassified. If the requested records are ``properly and 
currently classified,'' and the Air Force withholds from release under 
FOIA exemption (b)(1), and the requester appeals the withholding, 
include a written statement from an initial classification authority or 
declassification authority certifying the data was properly classified 
originally and that it remains properly classified per Executive Order. 
Examples of initial classification and declassification authority 
statements are included in Sec. 806.27. Guidance on document 
declassification reviews is in AFI 31-401, Managing the Information 
Security Program, and DoD 5200.1-R, Information Security Program, 
January 1997.
    (b) Exemption number 3. HQ AFCIC/ITC will provide the current FOIA-
processed (b)(3) statutes list to the MAJCOMs.
    (c) Exemption number 4. The Air Force, in compliance with Executive 
Order 12600, will advise submitters of

[[Page 14]]

contractor-submitted records when a FOIA requester seeks the release of 
such records, regardless of any initial determination of whether FOIA 
exemption (b)(4) applies. (See Sec. 806.20(a) and Sec. 806.31). Due to a 
change to Title 48 CFR, Federal Acquisition Regulations System, 
submitter notification is not required prior to release of unit prices 
contained in contracts awarded based upon solicitations issued after 
January 1. 1998. For solicitations issued before January 1, 1998, 
conduct a normal submitter notice. Unit prices contained in proposals 
provided prior to contract award are protected from release, as are all 
portions of unsuccessful proposals (before and after contract award) (10 
U.S.C. 2305(g), Prohibition on Release of Contractor Proposals).
    (d) Exemption number 5. (1) Attorney-client records could include, 
e.g., when a commander expresses concerns in confidence to his or her 
judge advocate and asks for a legal opinion. The legal opinion and 
everything the commander tells the judge advocate in confidence qualify 
under this privilege. Unlike deliberative process privilege, both facts 
and opinions qualify under the attorney work product or attorney-client 
privilege. Attorney work product records are records an attorney 
prepares, or supervises the preparation of, in contemplating or 
preparing for administrative proceedings or litigation.
    (2) Based on court decisions in FOIA litigation, which led to the 
release of results of personnel surveys, FOIA managers and IDAs should 
get advice from an Air Force attorney before withholding survey results 
under FOIA exemption (b)(5).
    (e) Exemption number 6. (1) AFI 37-132, Air Force Privacy Act 
Program (will convert to AFI 33-332) provides guidance on collecting and 
safeguarding social security numbers (SSN). It states: ``SSNs are 
personal and unique to each individual. Protect them as FOUO. Do not 
disclose them to anyone without an official need to know.'' Before 
releasing an Air Force record to a FOIA requester, delete SSNs that 
belong to anyone other than the requester. In any subsequent FOIA 
release to a different requester of those same records, make sure SSNs 
are deleted. When feasible, notify Air Force employees when someone 
submits a FOIA request for information about them. The notification 
letter should include a brief description of the records requested. Also 
include a statement that only releasable records will be provided and we 
will protect personal information as required by the FOIA and Privacy 
laws.
    (2) Personal information may not be posted at publicly accessible 
DoD web sites unless to do so is clearly authorized by law and 
implementing regulation and policy. Personal information should not be 
posted at nonpublicly accessible web sites unless it is mission 
essential and appropriate safeguards have been established. See also 
AFIs 33-129 and 35-205.
    (3) Withhold names and duty addresses of personnel serving overseas 
or in sensitive or routinely deployable units. Routinely deployable 
units normally leave their permanent home stations on a periodic or 
rotating basis for peacetime operations or for scheduled training 
exercises conducted outside the United States or United States 
territories. Units based in the United States for a long time, such as 
those in extensive training or maintenance activities, do not qualify 
during that period. Units designated for deployment on contingency plans 
not yet executed and units that seldom leave the United States or United 
States territories (e.g., annually or semiannually) are not routinely 
deployable units. However, units alerted for deployment outside the 
United States or United States territories during actual execution of a 
contingency plan or in support of a crisis operation qualify. The way 
the Air Force deploys units makes it difficult to determine when a unit 
that has part of its personnel deployed becomes eligible for denial. The 
Air Force may consider a unit deployed on a routine basis or deployed 
fully overseas when 30 percent of its personnel have been either alerted 
or actually deployed. In this context, alerted means that a unit has 
received an official written warning of an impending operational mission 
outside the United States or United States territories. Sensitive units 
are those involved in special activities or classified missions, 
including, for example,

[[Page 15]]

intelligence-gathering units that collect, handle, dispose of, or store 
classified information and materials, as well as units that train or 
advise foreign personnel.
    (i) Each MAJCOM and FOA will establish a system and assign OPRs to 
identify United States-based units in their command qualifying for the 
``sensitive or routinely deployable unit'' designation, under this 
exemption. Appropriate OPRs could include directors of operations, plans 
and programs, and personnel.
    (ii) MAJCOM FOIA managers will ensure the list of sensitive and 
routinely deployable units is reviewed in January and July, and will 
follow that review with a memo to the Air Force Personnel Center (HQ 
AFPC/MSIMD), 550 C Street West, Suite 48, Randolph AFB, TX 78150-4750, 
either validating the current list or providing a revised listing based 
on the current status of deployed units at that time. This listing is in 
American Standard Code for Information Interchange (ASCII) format on a 
3\1/2\'' (double-sided, high-density) diskette, which contains the 
unit's eight-position personnel accounting symbol (PAS) code, with one 
PAS code per line (record) (8-byte record). The MAJCOM FOIA manager will 
send an electronic copy of the list of nonreleasable units to HQ AFPC/
MSIMD which is included in the personnel data system. The MAJCOM and HQ 
AFPC FOIA offices will use it to determine releasable lists of names and 
duty addresses. This reporting requirement is exempt from licensing with 
a reports control symbol (RCS) in accordance with AFI 37-124, The 
Information Collections and Reports Management Program; Controlling 
Internal, Public, and Interagency Air Force Information Collections 
(will convert to AFI 33-324).
    (f) Exemption number 7. Guidance provided in Sec. 806.15(e)(1) also 
applies to SSNs in records compiled for law enforcement purposes. Do not 
disclose SSNs to anyone without an official need to know.



Sec. 806.16  For official use only.

    (a) Markings. Record owners may also add the following sentence to 
the statement above: ``(Further distribution is prohibited without the 
approval of (owner's organization, office symbol, phone).)''
    (b) Dissemination and transmission. (1) When deciding whether to 
send FOUO records over facsimile equipment, balance the sensitivity of 
the records against the risk of disclosure. When faxing, use cover 
sheets to indicate FOUO attachments (i.e., AF Form 3227, Privacy Act 
Cover Sheet, for Privacy Act information). Consider the location of 
sending and receiving machines and ensure authorized personnel are 
available to receive FOUO information as soon as it is transmitted.
    (2) For Privacy Act records, refer to AFI 33-332 for specific 
disclosure rules. For releases to GAO and Congress, refer to AFI 90-401, 
Air Force Relations With Congress and AFI 65-401, Relations With the 
General Accounting Office. See Sec. 806.9(b) for availability.
    (c) Termination, disposal and unauthorized disclosures. You may 
recycle FOUO material. Safeguard the FOUO documents or information to 
prevent unauthorized disclosure until recycling. Recycling contracts 
must include specific responsibilities and requirements on protecting 
and destroying FOUO and Privacy Act materials.



Sec. 806.17  Release and processing procedures.

    (a) Individuals seeking Air Force information should address 
requests to an address listed in Sec. 806.26. MAJCOM FOIA office phone 
numbers and mailing addresses are available on the Air Force FOIA Web 
Page at http://www.foia.af.mil.
    (1) A list of Air Force FOIA processing steps, from receipt of the 
request through the final disposition of an administrative appeal is at 
Sec. 806.29, which also includes guidance on preparing and processing an 
Air Force FOIA appeal package.
    (2) Air Force host tenant relationships. The Air Force host base 
FOIA manager may log, process, and report FOIA requests for Air Force 
tenant units. In such cases, the host base FOIA office refers all 
recommended denials and ``no records'' appeals to the Air Force tenant 
MAJCOM FOIA manager. This does not apply to the Air

[[Page 16]]

National Guard (ANG), Air Force Reserves, or to disclosure authorities 
for specialized records.
    (b) Use FOIA procedures in this part to process any congressional 
request citing FOIA, or covering a constituent letter citing FOIA. This 
does not apply to requests from a Congressional Committee or 
Subcommittee Chair on behalf of the committee or subcommittee.



Sec. 806.18  Initial determinations.

    (a) Disclosure authorities make final decisions on providing 
releasable records within the time limits and provide recommendations to 
the IDA on proposed denials and partial denials after coordination with 
the appropriate FOIA and JA office. Normally, disclosure authorities are 
division chiefs or higher at Air Staff level. MAJCOMs will designate 
their disclosure authority levels. The level should be high enough so a 
responsible authority makes the disclosure according to the policies 
outlined in this part. At out sourced units or functions, the disclosure 
authority must be a government official. Contractors who are functional 
OPRs for official government records are not authorized to make the 
decision to disclose government records.
    (b) On receipt, Air Force FOIA offices will promptly inform Air 
Force PAOs of all FOIA requests that are potentially newsworthy, or that 
are submitted by news media requesters. FOIA offices will coordinate 
final replies for such cases with public affairs.



Sec. 806.19  Reasonably segregable portions.

    Delete information exempt from release under the FOIA from copies of 
otherwise releasable records. Do not release copies that would permit 
the requester to ``read through the marking.'' Examples of records with 
deletions of exempted data are in Sec. 806.30.



Sec. 806.20  Records of non-U.S. government source.

    (a) The Air Force, in compliance with Executive Order 12600, will 
advise submitters of contractor-submitted records when a FOIA requester 
seeks the release of such records, regardless of any initial 
determination as to whether FOIA exemption (b)(4) applies. See 
Sec. 806.15(c) and Sec. 806.31. Due to a change to 48 CFR, submitter 
notification is not required prior to release of unit prices contained 
in contracts awarded based upon solicitations issued after January 1, 
1998. For solicitations issued before January 1, 1998, conduct a normal 
submitter notice. Unit prices contained in proposals provided prior to 
contract award are protected from release, as are all portions of 
unsuccessful proposals (before and after contract award) (10 U.S.C. 
2305(g)).
    (b) Department of State involvement. Air Force FOIA managers will 
notify their MAJCOM (or equivalent) FOIA office, in writing, via fax or 
e-mail when the Department of State becomes involved in any Air Force 
FOIA actions. The MAJCOM FOIA office will provide 11 CS/SCSR, via fax or 
e-mail, a summary of the issues involved, and the name, phone number, 
mailing address and e-mail address of: their own FOIA office point of 
contact; the Air Force record OPR point of contact, the DoD component 
FOIA office point of contact (if any), and the Department of State point 
of contact. 11 CS/SCSR will inform SAF/IA of any State Department 
involvement in Air Force FOIA actions. (See Sec. 806.7(b).) An example 
of a memo advising 11 CS/SCSR of State Department involvement in an Air 
Force FOIA action is provided in Sec. 806.27.



Sec. 806.21  Appeals.

    (a) FOIA requesters seeking Air Force records must address appeals 
to the Office of the Secretary of the Air Force, through the FOIA office 
of the IDA that denied the request. Requesters should attach a copy of 
the denial letter to their appeal and give reasons for appealing. Air 
Force IDAs may reconsider any prior denials and may grant all or part of 
a requester's appeal. When any appellate action sought by a FOIA 
requester is denied by an IDA, the IDA will include a statement that the 
issues raised in the appeal were considered and rejected (in full or in 
part) in any file sent to the Secretary of the Air Force in the course 
of a FOIA appeal action. Send all appeals to IDA decisions at the wing 
level

[[Page 17]]

through the MAJCOM FOIA office for sending to the Secretary of the Air 
Force's designated appellate authority, SAF/GCA (and Air Force Legal 
Services Agency (AFLSA/JACL)). (See Secs. 806.4(g), 806.5(b), and 
Sec. 806.5(k).) Additional steps are required prior to sending an appeal 
file.
    (1) MAJCOM FOIA offices and record OPRs are responsible for ensuring 
adequate preparation of the FOIA appeal package for reconsideration by 
the IDA. FOIA offices and records OPRs will coordinate with Air Force 
attorneys, who will provide written opinions on substantive issues 
raised in the appeal.
    (2) If a requester appeals an Air Force ``no records'' 
determination, Air Force elements must search again or verify the 
adequacy of their first search. The package must include documents that 
show the Air Force element systematically tried to find responsive 
records. Tell, for example, what areas or offices were searched and how 
the search was conducted--manually, by computer, by telephone, and so 
forth. In the event a requester sues the Air Force to contest a 
determination that no responsive records exist, formal affidavits are 
required to support the adequacy of any searches conducted.
    (3) FOIA requesters seeking to appeal denials involving Office of 
Personnel Management's controlled civilian personnel records must appeal 
to the Office of the General Counsel, Office of Personnel Management, 
1900 E Street NW, Washington, DC 20415.
    (4) If a requester appeals a denial of a fee waiver, fee estimate, 
or fee reduction request, FOIA offices and record OPRs must account for 
actual and estimated costs of processing a request, and will include 
copies of the DD Forms 2086 or 2086-1 in the appeal package.
    (5) When any appellate action sought by a FOIA requester is denied 
by an IDA, prepare the FOIA appeal package as specified in Sec. 806.29, 
and then the MAJCOM FOIA office forwards the appeal file to the 
Secretary of the Air Force's designated appellate authority, SAF/GCA 
(through AFLSA/JACL), for a final administrative determination.
    (b) Air Force activities will process appeal actions expeditiously 
to ensure they reach the Office of the Secretary of the Air Force in a 
timely manner.



Sec. 806.22  Time limits.

    Any FOIA appeals received after the 60-day time limit are not 
processed, unless the requester provides adequate justification for 
failing to comply with the time limit. If a late appeal is received, and 
there is no adequate justification for failing to comply with the time 
limit, the FOIA office will advise the FOIA requester their appeal has 
been closed. An example of a closure letter is included in Sec. 806.27.



Sec. 806.23  Delay in responding to an appeal.

    For an appeal in process and not yet forwarded to AFLSA/JACL, the 
MAJCOM FOIA office is responsible for advising the requester of the 
status of the appeal. For an appeal in process at AFLSA/JACL, that 
office will advise the requester regarding status of the appeal.



Sec. 806.24  Fee restrictions.

    For FOIA purposes, Air Force activities will consider the cost of 
collecting a fee to be $15 and will not assess requesters' fees for any 
amount less than $15.



Sec. 806.25  Annual report.

    (a) MAJCOM FOIA managers and AFLSA/JACL send a consolidated report 
for the fiscal year on DD Form 2564, Annual Report Freedom of 
Information Act, to HQ AFCIC/ITC by October 30 via regular mail, e-mail, 
or facsimile. AFLSA/JACL will prepare the appeals and litigation costs 
sections of the report. HQ AFCIC/ITC will make the Air Force report 
available on the WWW.
    (b) Total requests processed. ``Processed'' includes responses that 
give an estimated cost for providing the records, even if the requester 
has not paid.
    (c) Denied in full. Do not report ``no record'' responses as 
denials.
    (d) Other reasons.
    (1) Referrals. Also include referrals within Air Force in this 
category.
    (2) Not an agency record. The ``not an agency record'' other reason 
category only applies to requests for: objects or

[[Page 18]]

articles such as structures, furniture, vehicles and equipment, whatever 
their historical value, or value as evidence; anything that is not a 
tangible or documentary record such as an individual's memory or oral 
communication; and 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. This category does not 
include ``no record'' responses.
    (e) Other. The ``Other (Specify)'' block must contain the reason 
with the total number for the reason. For example: ``FOIA request had no 
return address-4.''
    (f) 5 U.S.C. 552(b)(3) statutes invoked on initial determinations. A 
corresponding statute is required for each instance entered in the 
Exemption 3 block. List the statute by number, not title. For any 
statute on the report that is not on DoD's list of commonly used 5 
U.S.C. 552(b)(3) statutes, attach a copy of the pertinent page of the 
statute that states information must be withheld from public disclosure. 
HQ AFCIC/ITC makes the DoD list available to FOIA managers 
electronically. Statutes on the DoD list with an asterisk indicate they 
are valid 5 U.S.C. 552(b)(3) statutes from litigation. Do not enter any 
of the following as 5 U.S.C. 552(b)(3) statutes:

5 U.S.C. 552
5 U.S.C. 552a
28 U.S.C. 1498
17 U.S.C. 101
18 U.S.C. 1905.

    (g) Appeal determinations. Enter the total number of FOIA appeals 
received and total number of FOIA appeals completed during the fiscal 
year.
    (h) Average. Air Force will use the ``median age'' and will not 
collect or report averages.
    (i) Number of initial requests received during the fiscal year. This 
number includes open and closed cases.
    (j) Total number of initial requests. ``Processed'' includes 
responses which give an estimated cost for providing the records, even 
if the requester has not paid.
    (k) Total program cost. This figure includes all costs from the DD 
Forms 2086 and 2086-1, as well as personnel costs for individuals 
primarily involved in administering the FOIA program. To figure 
personnel costs, multiply the annual salary of each person by the 
percentage of time spent on FOIA.
    (l) MAJCOMs and bases do not include the 25 percent. HQ AFCIC/ITC 
will add to the final Air Force report to DoD.
    (m) Authentication. MAJCOM SCs will sign as approving official (or 
two-letter functional equivalent for FOIA offices in other functional 
areas).



Sec. 806.26  Addressing FOIA requests.

    (a) FOIA requests concerning Air National Guard Inspector General 
records should be sent to 11 CS/SCSR (FOIA), 1000 Air Force Pentagon, 
Washington, DC 20330-1000.
    (b) Addressing Air Force Freedom of Information Act requests. The 
Department of the Air Force, a component of the DoD, includes the Office 
of the Secretary of the Air Force, the Chief of Staff of the Air Force 
(who is supported by Headquarters Air Force or ``Air Staff'' elements), 
the MAJCOMs, the FOAs, and DRUs. This section lists the FOIA office 
addresses. A selected subordinate unit is also included in this section. 
Realignment of Air Force elements is frequent; addresses listed below 
are subject to change.
    (c) The Department of the Air Force does not have a central 
repository for Air Force records. FOIA requests are addressed to the Air 
Force element that has custody of the record desired. In answering 
inquiries regarding FOIA requests, Air Force personnel will assist 
requesters in determining the correct Air Force element to address their 
requests. If there is uncertainty as to the ownership of the record 
desired, refer the requester to the Air Force element that is most 
likely to have the record. Two organizations that include Air Force 
elements, and hold some Air Force-related records, are also included in 
the addresses listed below.
    (d) MAJCOMs:

(1) Air Combat Command (ACC): HQ ACC/SCTC, 230 East Flight Line Road, 
    Langley AFB VA 23665-2781.
(2) Air Education and Training Command (AETC): HQ AETC/SCTS, 61

[[Page 19]]

    Main Circle Suite 2, Randolph AFB TX 78150-4545.
(3) Air Force Materiel Command (AFMC): HQ AFMC/SCDP, 4225 Logistics 
    Avenue, Suite 6, Wright-Patterson AFB, OH 45433-5745.
(4) Air Force Reserve Command (AFRC): HQ AFRC/SCSM, 155 2nd Street, 
    Robins AFB, GA 31098-1635.
(5) Air Force Special Operations Command (AFSOC): HQ AFSOC/SCMN, 100 
    Bartley Street, Suite 201, Hurlburt Field, FL 32544-5273.
(6) Air Force Space Command (AFSPC): HQ AFSPC/SCMA, 150 Vandenberg 
    Street, Suite 1105, Peterson AFB, CO 80914-4400.
(7) Air Mobility Command (AMC): HQ AMC/SCYNR, 203 West Losey Street, 
    Room 3180, Scott AFB, IL 62225-5223.
(8) Pacific Air Forces (PACAF): HQ PACAF/SCT, 25 E Street, Suite C220, 
    Hickam AFB, HI 96853-5409.
(9) United States Air Forces in Europe (USAFE): HQ USAFE/SCMI, Unit 
    3050, Box 125, APO AE 09094-0125.

    (e) FOAs:
    (1) Air Force Audit Agency (AFAA): HQ AFAA/IMP, 1126 Air Force 
Pentagon, Washington, DC 20330-1126.
    (2) Air Force Base Conversion Agency (AFBCA): AFBCA/ESA, 1700 North 
Moore Street, Suite 2300, Arlington, VA 22209-2802.
    (3) Air Force Center for Environmental Excellence (AFCEE): HQ AFCEE/
MSI, 3207 North Road, Brooks AFB, TX 78235-5363.
    (4) Air Force Civil Engineering Support Agency (AFCESA): HQ AFCESA/
IMD, 139 Barnes Drive Suite 1, Tyndall AFB, FL 32403-5319.
    (5) Air Force Historical Research Agency (AFHRA): AFHRA/RSA, 600 
Chennault Circle, Maxwell AFB, AL 36112-6424.
    (6) Air Force Inspection Agency (AFIA): (Shared FOIA office/
function, AFIA and Air Force Safety Agency) AFSA/JAR, 9700 Avenue G SE, 
Suite 236B, Kirtland AFB, NM 87117-5670.
    (7) Air Force Medical Support Agency (AFMSA): AFMSA/CCEA, 2510 
Kennedy Circle, Suite 208, Brooks AFB, TX 78235-5121.
    (8) Air Force News Agency (AFNEWS): HQ AFNEWS/SCB, 203 Norton 
Street, Kelly AFB, TX 78241-6105.
    (9) Air Force Office of Special Investigations (AFOSI): HQ AFOSI/
SCR, P. O. Box 2218, Waldorf, MD 20604-2218.
    (10) Air Force Personnel Center (AFPC): HQ AFPC/MSIMD, 550 C Street 
West, Suite 48, Randolph AFB, TX 78150-4750.
    (11) Air Force Center for Quality and Innovation (AFCQMI): AFCQMI/
CSP, 550 E Street East, Randolph AFB, TX 78150-4451.
    (12) Air Force Safety Agency (AFSA): (Shared FOIA office/function, 
AFIA, and AFSA) AFSA/JARF, 9700 Avenue G SE, Suite 236B, Kirtland AFB, 
NM 87117-5670.
    (13) Air Force Security Forces Center (AFSFC): AFSFC/CCQ 1720 
Patrick Street, Lackland AFB, TX 78236-5226.
    (14) Air Force Services Agency (AFSVA): AFSVA/SVSR, 9504 1H-35 
North, Suite 250, San Antonio, TX 78233-6635.
    (15) Air Force Technical Applications Center (AFTAC): AFTAC/LSCS, 
1030 South Highway, Suite A1A, Patrick AFB, FL 32925-6001.
    (16) Air Intelligence Agency (AIA): AIA/DOOI, 102 Hall Boulevard, 
Suite 229, San Antonio, TX 78243-7029.
    (17) Air Reserve Personnel Center (ARPC): ARPC/SCS, 6760 East 
Irvington Place, 6600, Denver, CO 80280-6600.
    (18) Air Force Weather Agency (AFWA): HQ AFWA/SCI, 106 Peacekeeper 
Drive Suite 2N3, Offutt AFB, NE 68113-4039.
    (19) Air Force History Support Office (AFHSO): AFHSO, 500 Duncan 
Avenue Box 94, Bolling AFB, DC 20332-1111.
    (f) DRUs:
    (1) Air Force Operational Test and Evaluation Center (AFOTEC): 
AFOTEC/SCM, 8500 Gibson Boulevard SE, Kirtland AFB, NM 87117-5558.
    (2) 11th Wing: 11 CS/SCSR (FOIA), 1000 Air Force Pentagon, 
Washington, DC 20330-1000 (if a person is unsure where to send a FOIA 
request for Air Force records, or is seeking records from the Office of 
the Secretary of the Air Force, or other Headquarters Air Force records, 
use this address).
    (3) United States Air Force Academy (USAFA): 10 CS/SCBD, 2304 Cadet 
Drive, Suite 232, USAFA, CO 80840-5060.
    (g) Selected subordinate units: Air Force Communications Agency

[[Page 20]]

(AFCA): HQ AFCA/CCQI, 203 West Losey Street, Room 1022, Scott AFB, IL 
62225-5203.
    (h) Organizations which include air force elements:
    (1) Army and Air Force Exchange Service (AAFES): HQ AAFES/GC-E, P.O. 
Box 660202, Dallas, TX 75266-0202.
    (2) National Guard Bureau (NGB)/Air National Guard: NGB-AD, 2500 
Army Pentagon, Washington, DC 20310-2500. (FOIA requests concerning Air 
National Guard IG records should be sent to 11 CS/SCSR (FOIA), 1000 Air 
Force Pentagon, Washington, DC 20330-1000)



Sec. 806.27  Samples of Air Force FOIA processing documents.

    (a) This section includes suggested language in paragraph format 
that tracks Air Force and DoD FOIA guidance. The rest of the body of 
letters and memorandums should comply with Air Force administrative 
guidance. Each MAJCOM may elect to prepare their own verbiage to meet 
their specific needs, so long as FOIA processing actions are consistent 
with guidance in DoD 5400.7-R and this part. In this section, language 
in parentheses is for explanatory purposes only. Do not include any of 
the parenthetical language of this section in your FOIA correspondence. 
When optional language must be selected, the optional language will be 
presented within parentheses. Use only the portions that apply to the 
specific request or response.
    (b) Initial receipt of Freedom of Information Act request.

    We received your Freedom of Information Act (FOIA) request dated 
 Month year, for (summarize the request) on 
 Month year (date received). We will provide you our 
release determination by (enter date that is 20 workdays from date you 
received the request). (Based on our initial review, we believe we 
cannot process your request within 20 workdays.) (If ``cannot'' is used, 
add appropriate explanation; examples follow.) Please contact (name and 
commercial telephone number) if you have any questions and refer to case 
number .

    (c) Interim response:

    Your request will be delayed because: all or part of the responsive 
records are not located at this installation; (and/or) Processing this 
FOIA request will require us to collect and review a substantial number 
of records (and/or) Other Air Force activities or other agencies (if 
applicable) to include the submitter of the information, need to be 
involved in deciding whether or not to release the responsive records. 
We expect to reply to your request not later than (give a date that is 
not more than 30 workdays from the initial receipt of the request); (or) 
If processing the FOIA request will take more than the allowed time 
limits to respond). We find we are unable to meet the time limits 
imposed by the FOIA in this instance because (tell the requester the 
reason for the delay) (example: the records are classified and must be 
reviewed for possible declassification by other activities or agencies). 
We anticipate completing your request by (date).
    (When charging fees is appropriate.) The FOIA provides for the 
collection of fees based on the costs of processing a FOIA request and 
your fee category. Based on the information in your request, we have 
determined your fee category is (commercial/educational or noncommercial 
scientific institution or news media/all others). As a result, you (if 
commercial category) are required to pay all document search, review and 
duplication costs over $15.00. (or) As a result, you (if educational or 
noncommercial scientific institution or news media) will be provided the 
first 100 pages free of charge; you are required to pay any duplication 
costs over and above those amounts. (or) As a result, you will be 
provided the first 2 hours of search time and the first 100 pages free 
of charge; you are required to pay any search and duplication costs over 
and above those amounts.

    (d) Request for a more specific description:

    Your request does not sufficiently describe the desired records. The 
FOIA applies to existing Air Force records; without more specific 
information from you, we cannot identify what documents might be 
responsive to your request. Please give us whatever additional details 
you may have on the Air Force records you want. Can you tell us when the 
records were created, and what Air Force element may have created the 
records? If this request involves an Air Force contract, do you know the 
contract number and dates it covered? Our address is (include name and 
complete mailing address), our fax number is (give fax number), our e-
mail address is (optional--give complete e-mail address). Based on the 
original request you sent us, we are unable to respond.

    (e) Single letter acknowledging receipt of request and giving final 
response. (If you can complete a FOIA request within the statutory 20-
workday processing period, Air Force elements may elect to send a single 
letter to the requester, along with responsive

[[Page 21]]

records which are released to the requester in full).

    We received your Freedom of Information Act (FOIA) request dated 
 Month year, for (summarize the request) on 
 Month year (date received). A copy (or) Copies of 
(describe the record(s) being released) (is/are) releasable and (is/are) 
attached.

    (f) Collection of fees:

    The FOIA provides for the collection of fees based on the costs of 
processing a FOIA request and your fee category. We have placed you in 
the (enter the fee category) fee category. In your case, we have 
assessed a charge of $---- for processing your request. The fee was 
calculated in the following manner: (Give a detailed cost breakdown: for 
example, 15 pages of reproduction at $0.15 per page; 5 minutes of 
computer search time at $43.50 per minute, 2 hours of professional level 
search at $25 per hour.) Please make your check payable to (appropriate 
payee) and send it to (give your complete mailing address) by (date 30 
days after the letter is signed). (or) The FOIA provides for the 
collection of fees based on the costs of processing a FOIA request and 
your fee category. We have placed you in the (enter the fee category); 
however, in this case, we have waived collecting fees.

    (g) Multitrack processing letters to FOIA requesters. (When using 
the multitrack FOIA processing system, determine which of the following 
paragraphs to include in your letters to the requester. To the extent it 
may apply, include language from paragraph 2 of the sample. If a 
requester asks for expedited processing, answer carefully if you decide 
not to provide expedited processing, because requesters may appeal 
denial of their request for expedited processing. Advise requesters 
placed into the complex track in writing how they can simplify their 
request to qualify for the simple track.)

    We received your Freedom of Information Act (FOIA) request dated 
 Month year, for (summarize the request) on 
 Month year (date received). Because our organization 
has a significant number of pending FOIA requests, which prevents us 
from making a response determination within 20 workdays, we have 
instituted multitrack processing of requests. Based on the information 
you provided, we have placed your request in the (simple or complex) 
track. We have assigned number 
 to identify your request; 
should you need to contact us about your request, please write or call 
(name and telephone) and use this number to assist us in responding more 
promptly.
    Based on our current backlog, we expect to respond to your request 
not later than (give an estimated date). Our policy is to process 
requests within their respective tracks in the order in which we receive 
them. We do process each FOIA request as quickly as we can.

    (h) If the request is placed in the complex track:

    In your case, processing your request is complex because (give basic 
reasons this is a complex case: request was vague or complicated; the 
records sought are voluminous; multiple organizations will have to work 
on this request; records are classified; responsive records came from 
another command/another service/a nongovernment source; responsive 
records were part of the Air Force's decision-making process, and the 
prerelease review will require policy determinations from different Air 
Force elements; records describe law enforcement activities; records 
involve foreign policy issues; due to the nature of your request and/or 
the nature of our computer system, responding to your request or 
providing a response in the electronic format you requested will be 
technically complex, etc.). Simplifying your request might permit 
quicker processing in the following ways: (describe ways the search 
could be narrowed to fewer records, or ways policy issues could be 
avoided, etc.) Can you tell us when the records were created, and what 
Air Force element may have created the records? If this request involves 
an Air Force contract, do you know the contract number? Please give us 
whatever additional details you may have on the Air Force records you 
are seeking, so we can attempt to streamline the processing of your 
request. Our address is (give complete mailing address), our fax number 
is (give fax number), our e-mail address is (optional--give complete e-
mail address).

    (i) If the requester asks that you expedite their request:

    Because individuals receiving expedited processing may receive a 
response before other earlier requesters, there are administrative 
requirements you must meet before we can expedite a request. In your 
request, you asked that we expedite processing. In order for us to 
expedite a request, the requester must provide a statement certifying 
the reasons supporting their request are true and correct to the best of 
their knowledge.
    In the second category, ``urgently needed'' means the information 
itself has a particular value that it will lose if it is not 
disseminated quickly. Ordinarily this means the information concerns a 
breaking news story of

[[Page 22]]

general public interest. Historic information, or information sought for 
litigation or commercial activities usually would not qualify for 
expedited processing in the second category. Also, the fact that a news 
organization has an internal broadcast or publication deadline, so long 
as the deadline was unrelated to the nature of the information itself 
(for example, the information was not a breaking news story of general 
public interest) would not make the information ``urgently needed.''
    In this case, we have determined your FOIA request (will/will not) 
receive expedited processing. We came to this conclusion because you 
(did/did not) demonstrate you need the information because failure to 
obtain the records on an expedited basis (could or could not) reasonably 
expect to pose an imminent threat to life or physical safety of an 
individual (or) the information (is or is not) urgently needed in order 
to inform the public about actual or alleged Federal Government activity 
(or) failure to obtain the records on an expedited basis (could or could 
not) reasonably expect to lead to an imminent loss of substantial due 
process rights, (or) release (would or would not) serve a humanitarian 
need by promoting the welfare and interests of mankind (and/or) your 
request for expedited processing did not meet the statutory requirements 
of the FOIA; you did not provide enough information to make a 
determination of compelling need for the information you requested (and/
or) you did not properly certify your request.

    (j) If you deny a request for expedited processing:

    If you consider our decision not to expedite your request incorrect, 
you may appeal our decision. Include in your appeal letter the reasons 
for reconsidering your request for expedited processing, and attach a 
copy of this letter. Address your appeal to Secretary of the Air Force 
through (address of MAJCOM FOIA office). In the meantime, we will 
continue to process your request in the (simple/complex) processing 
track.

    (k) Certification, computer systems manager (electronic records or 
format requested).

    (When answering a request for electronic records, based on the 
configuration of your hardware and/or software, certain factors may make 
a particular request complex. Have your computer system manager advise 
you whether or not they can create the new record/format on a ``business 
as usual'' basis. If producing the record/format would entail a 
significant expenditure of resources in time and manpower that would 
cause significant interference with the operation of the information 
system and adversely affect mission accomplishment, you do not need to 
process the request. The FOIA office needs to get a certification from 
the computer systems manager to document this determination to support 
their response. Possible language for this certification is provided 
below.)
    I, (rank/grade and name) am the computer systems manager for 
(organization with electronic records responsive to FOIA request). In 
consultation with (FOIA office), I have considered the FOIA request of 
(requester's name), our  
(FOIA identifier), which asked for (describe electronic record or 
format). We (do/do not) have electronic records that are responsive to 
this request (or) data that we (can/cannot) configure into the requested 
format. (If there are electronic records) The existing electronic 
records (do/do not) contain nonreleasable data that we (can/cannot) 
remove from the electronic record. Because of the way our (computer 
system/database/software) (use all that apply, specify hardware and/or 
software nomenclature if possible; for example, IBM 
, Microsoft Excel) is configured, creating 
the electronic record (or) modifying the existing record/format would 
entail a significant expenditure of resources in time and manpower that 
would cause significant interference with the operation of the 
information system and adversely affect mission accomplishment (describe 
how responding would interfere and time/manpower resources required, 
give estimated reprogramming time, if possible). I have applied the DoD 
``standard of reasonableness'' in considering this request. I understand 
that when the capability exists to respond to a FOIA request that would 
require only a ``business as usual'' approach to electronically extract 
the data and compile an electronic record or reformat data to satisfy a 
FOIA request, then creation of the electronic record or reformatting the 
data would be appropriate. In this case, a significant expenditure of 
resources and manpower would be required to compile the electronic 
record (or) reformat existing data. This activity would cause a 
significant interference with the operation of our automated information 
system. I certify creation of the electronic record (or) reformatting 
existing data in order to respond to this request would not be 
reasonable, under the circumstances.

Signature

(Date Signed)    (Signature Block)

    (Note: Some electronic data requests may include a request for 
software. You may have to release government-developed software that is 
not otherwise exempt, if requested under the FOIA. Exemptions 1--
classified software, 2--testing, evaluation, or similar software, 3--
exempt by statute, 5--deliberative process/privileged software, and 7--
law enforcement operations software may apply, based on the nature of 
the requested software. If the software is commercial off-the-

[[Page 23]]

shelf software, as opposed to software developed by the government, the 
software may qualify to be withheld from release under FOIA exemption 4.

    (l) ``No (paper or electronic) records'' or ``requested format not 
available'' letters.

    This is in response to your Freedom of Information Act (FOIA) 
request dated  Month year, for (summarize the request) 
on  Month year (date received), our number 
.
    A thorough search by (identify the unit(s) that tried to locate 
responsive records) did not locate any records responsive to your 
request. (If the requester asked questions, and there are no responsive 
records that would provide the answers to those questions): The FOIA 
applies to existing Air Force records; the Air Force need not create a 
record in order to respond to a request.
    (or) A thorough assessment by the OPR and the computer systems 
manager has determined we cannot provide the (electronic record data) in 
the format you requested. (If this can be done on a ``business as usual 
basis):'' (Paper copies American Standard Code for Information 
Interchange (ASCII) files) of the data you requested are attached.
    If you interpret this ``o records'' response as an adverse action, 
you may appeal it in writing to the Secretary of the Air Force. Your 
appeal should be postmarked no later than 60 calendar days from the date 
of this letter. Address your letter as follows: Secretary of the Air 
Force, Thru: (MAJCOM FOIA Office), (mailing address).
    The FOIA provides for the collection of fees based on the costs of 
processing a FOIA request and your fee category. We have placed you in 
the (enter category) fee category; however, in this case, we have waived 
fees. (If paper copies or ASCII files are provided: ) The FOIA provides 
for the collection of fees based on the costs of processing a FOIA 
request and your fee category. In your case, as a requester in the fee 
category of (add appropriate category), we have assessed a charge of $--
-- for processing your request. The fee was calculated in the following 
manner: (Give a detailed cost breakdown: for example, 15 pages of 
reproduction at $0.15 per page; 5 minutes of computer search time at 
$43.50 per minute, 2 hours of professional level search at $25 per 
hour.) Please make your check payable to (appropriate payee) and send it 
to (give your complete mailing address) by (date 30 days after the 
letter is signed).

    (m) Referral or coordination letters. (These letters are to tell the 
requester all or part of the request was referred to another Air Force 
organization, to refer or coordinate the request to another federal 
government organization, and to advise a nongovernment submitter a FOIA 
request was received for information they submitted.)G56
    (1) Letter to requester.

    (If all or part of a request has been referred, write to the 
requester:) Your Freedom of Information Act (FOIA) request dated 
 Month year, for (summarize the request) received on 
 Month year (date received), our number 
, was referred (or) must be 
coordinated with (give mailing address of the FOIA office to which you 
are referring all or part of the request, the identity of the federal 
government organization you are either coordinating with or are 
referring all or part of the request to, or that you must coordinate 
with the nongovernment submitter of responsive information). (On 
referrals:) That office will process (all/part) of your request 
(describe which part is being referred if the entire request is not 
being referred) and they will respond directly to you. (On 
coordinations:) That organization has a significant interest in the 
records (or) created the records that may answer to your request. 
(Before notifying a requester of a referral to another DoD component or 
federal agency, consult with them to determine if their association with 
the material is exempt. If so, protect the association and any exempt 
information without revealing the identity of the protected activity.) 
(When a nongovernment submitter is involved:) The nongovernment 
submitter of information that may answer your request needs time to 
respond to the possible release of information under the FOIA.
    Because we must refer (or) coordinate your request outside our 
organization, your request will be delayed. We will determine whether 
any records are available; as soon as is practicable, a decision will be 
made whether to release or to withhold from disclosure any responsive 
records under the FOIA, 5 U.S.C. 552. Your request will be processed as 
expeditiously as circumstances permit.

    (2) Letter to another government agency.

    (If all or part of a request was referred or requires coordination, 
write to the government entity): On  Month year (date 
received), our organization received a Freedom of Information Act (FOIA) 
request from (identity of requester), Attachment 1, dated 
 Month year, for (summarize the request). Based on our 
assessment of that request, our number 
, we need to (refer/
coordinate) (all/part) of that request to you (describe which part is 
being referred or coordinated, if it was not the entire request). (Name 
and phone number of person who agreed to the

[[Page 24]]

referral or coordination) accepted this referral (or) coordination 
action was on (date). We notified the requester of this action (see 
Sec. 806.31).
    We (do/do not) hold records responsive to this request. (If do hold 
is used:) Copies of responsive records located in our files are included 
at Attachment 3 to assist you in making your assessment on the 
releasability of (our/your) related records. If you need to contact us, 
our phone number and address is (give name, phone and complete mailing 
address), our fax number is (give fax number), our e-mail address is 
(give complete e-mail address).

    (3) Letter to submitter of contract-related information.

    (If contractor-submitted information is involved, write to the 
submitter:) On  Month year (date received), our 
organization received a Freedom of Information Act (FOIA) request from 
(identity of requester), our number 
, dated  
Month year, for (summarize the request). Information you submitted to 
the Air Force was identified as responsive to this request, see copies 
attached.
    To determine the releasability of the information contained in these 
documents and to give you the maximum protection under the law, please 
review the attached documents and give us the information outlined in 
Sec. 806.31. If you feel the information is privileged or confidential, 
consists of proprietary commercial or financial information, and 
otherwise meets the statutory requirements for withholding the 
information from release under FOIA exemption 4, 5 U.S.C. 552(b)(4), 
respond to us in writing not later than  working days 
from the date of this letter (usually 30 calendar days). If you object 
to release of this information under the FOIA, identify the items, 
lines, columns or portions you believe we should withhold from release.
    You will also need to provide a written explanation of how release 
would adversely impact or cause harm to your competitive position, your 
commercial standing, or other legally protected interests. An assertion 
that ``we should deny because all of the information was submitted in 
confidence'' or ``deny because all of the information was marked as 
proprietary in nature'' would not justify withholding of the requested 
information under the FOIA. If you need to contact us, call or write 
(give name), phone number is (give commercial number), our address is 
(give complete mailing address), our fax number is (give fax number), 
our e-mail address is (give complete e-mail address).

    (4) Letter requesting State Department coordination. (If the State 
Department is involved in coordinating on a request, fax or e-mail 11 
CS/SCSR so they can inform SAF/IA if appropriate).

    On  Month year (date received), our organization 
received a Freedom of Information Act (FOIA) request from (identity of 
requester), our number , 
dated  Month year, for (summarize the request). 
Because of the nature of this request, we were advised by (note the 
individual and organization who told you to coordinate the request with 
the State Department; this may be a MAJCOM or Combatant Command--give 
telephone and facsimile numbers if known) we need to coordinate this 
request with the Department of State. In accordance with DoD 5400.7-R, 
Air Force Supplement, we are informing you of their involvement in this 
FOIA request. (Provide any specifics available.) Air Force records are 
involved in this action. If you need to contact us, our phone number is 
(give commercial and DSN numbers), our address is (give complete mailing 
address), our fax number is (give fax number), our e-mail address is 
(give complete e-mail address).

    (n) Certification of initial classification or declassification 
authority (When denying a FOIA request, in whole or in part, because the 
information requested is classified, the initial classification 
authority, his or her successor, or a declassification authority, needs 
to determine if the records are ``properly and currently classified,'' 
and therefore must be withheld from release under FOIA exemption (b)(1); 
also, you need to determine that you cannot release any reasonably 
segregable additional portions. Language that certifies such a 
determination was made on a FOIA request involving classified records 
follows).
    (1) Sample certification format--all information remains classified.

    I, (rank/grade and name) am the initial classification authority 
(or) the successor to the original initial classification authority (or) 
the declassification authority for (give an unclassified description of 
the records concerned). In consultation with (FOIA office), I have 
assessed the FOIA request of (requester's name), our 
 (FOIA identifier), for 
records that were properly classified at the time of their creation and 
currently remain properly classified in accordance with Executive Order 
(E.O.) 12958, National Security Information, (or) contain information 
that we have determined is classified in accordance with E.O. 12958 
Section 1.5(--) (or) in accordance with E.O. 12958 Section 1.5(--) and 
is also exempt from declassification in accordance with Section 1.6(--) 
of the E. O. (or if the record is more than 25

[[Page 25]]

years old) contain information that we have determined is exempt from 
declassification in accordance with E.O. 12958 Section 3.4(b)(--). 
Unauthorized release could cause (for TOP SECRET, use exceptionally 
grave; for SECRET use serious; for CONFIDENTIAL do not add language; 
should read cause damage) damage to national security. There are no 
reasonably segregable portions that we can release. Consequently release 
of this information is denied pursuant to 5 U.S.C. 552(b)(1).


Signature


(Date Signed)    (Signature Block)

    (2) Sample certification format--portions remain classified.

    I, (rank/grade and name) am the initial classification authority 
(or) the successor to the original initial classification authority (or) 
the declassification authority for (give an unclassified description of 
the records concerned.) In consultation with (FOIA office), I have 
assessed the FOIA request of (requester's name), our 
 (FOIA identifier), that 
asked for records, (or) portions of which were properly classified at 
the time of their creation. Portions of the records currently remain 
properly classified in accordance with E.O. 12958. The bracketed 
information is currently and properly classified in accordance with 
Section 1.5 (add appropriate subparagraph), E.O. 12958, and is also 
exempt from declassification in accordance with Section 1.6(--) of the 
Executive Order (or if the record is more than 25 years old) contain 
information that we have determined is exempt from declassification in 
accordance with E.O. 12958 Section 3.4(b)(--). Unauthorized release 
could cause (for TOP SECRET use exceptionally grave; for SECRET use 
serious; for CONFIDENTIAL do not add language; should read cause damage) 
damage to national security. There are no other reasonably segregable 
portions that we can release. Consequently this information is denied 
pursuant to 5 U.S.C. 552(b)(1).


Signature


(Date Signed)    (Signature Block)

    (o) Letter to a requester who has withdrawn their request or appeal. 
(If a FOIA requester has withdrawn a FOIA request or appeal, sending a 
final letter to the requester to close the file may be wise. Suggested 
language to the requester follows):

    We received your Freedom of Information Act (FOIA) request (or) 
appeal dated  Month year, on  Month 
year (date received). After sending us your request (or) appeal, you 
indicated by (facsimile, letter) that you wished to withdraw your 
request (or) appeal. We have, therefore, closed your file without 
further action.

    (p) Letter to a requester who has appealed after the 60-day 
deadline. (We will not process FOIA appeals received after the 60-day 
time limit, unless the requester provides adequate justification for 
failing to comply. If you receive a late appeal, and it gives inadequate 
justification for failing to comply, the FOIA office will advise the 
requester their appeal was closed; suggested language for a letter to an 
untimely requester follows.)

    We received your Freedom of Information Act (FOIA) appeal dated 
 Month year, on  Month year (date 
received). You did not appeal within 60 days of the postmarked date of 
our denial letter as outlined in our agency regulation. Therefore, we 
are closing our file.

    (q) Letter to a requester who has appealed. (There are occasions 
when, on reconsideration, an IDA grants all or part of an appeal. When 
sending their appeal to higher headquarters, notify the requester. 
Suggested language to a requester who has appealed follows):

    We received your Freedom of Information Act (FOIA) appeal, our 
number , dated 
 Month year, on  Month year (date 
received). We considered the issues raised in your appeal carefully. We 
have decided to grant (or) partially grant your appeal.
    (If you grant all or part of the appeal): Upon reconsideration, we 
are releasing the requested records (or) granting your request. (If the 
appeal is only partially granted, describe what portions remain in 
dispute). (If applicable): We are releasing and attaching all or 
portions of the responsive records. (If applicable): We will continue 
processing your appeal for the remaining withheld (records/information).



Sec. 806.28  Records with special disclosure procedures.

    Certain records have special administrative procedures to follow 
before disclosure. Selected publications that contain such guidance are 
listed below.

(a) AFI 16-701, Special Access Programs.
(b) AFI 31-206, Security Police Investigations.
(c) AFI 31-501, Personnel Security Program Management.
(d) AFI 31-601, Industrial Security Program Management.

[[Page 26]]

(e) AFI 36-2603, Air Force Board for Correction of Military Records.
(f) AFI 36-2706, Military Equal Opportunity and Treatment Program.
(g) AFI 36-2906, Personal Financial Responsibility.
(h) AFI 36-2907, Unfavorable Information File (UIF) Program.
(i) AFI 40-301, Family Advocacy.
(j) AFI 41-210, Patient Administration Functions.
(k) AFI 44-109, Mental Health and Military Law.
(l) AFI 51-201, Administration of Military Justice.
(m) AFI 51-301, Civil Litigation.
(n) AFI 51-303, Intellectual Property-Patents, Patent Related Matters, 
Trademarks, and Copyrights.
(o) AFI 51-501, Tort Claims.
(p) AFI 51-503, Aircraft, Missile, Nuclear and Space Accident 
Investigations.
(q) AFI 51-504, Legal Assistance, Notary and Preventive Law Programs.
(r) AFI 51-1102, Cooperation with the Office of the Special Counsel.
(s) AFI 61-204, Disseminating Scientific and Technical Information.
(t) AFI 61-303, Licensing Inventions Made Under Cooperative Research and 
Development Agreements.
(u) AFI 71-101, Volume 1, Criminal Investigations, and Volume 2, 
Protective Service Matters.
(v) AFI 84-101, Historical Products, Services, and Requirements.
(w) AFI 90-301, Inspector General Complaints.
(x) AFI 91-204, Safety Investigations and Reports.



Sec. 806.29  Administrative processing of Air Force FOIA requests.

    (a) This section is a checklist format of processing steps and 
explanations of Air Force and DoD guidance. Each MAJCOM may elect to 
prepare its own checklists to tailor FOIA processing actions within its 
own organizations to meet their specific needs, so long as it remains 
consistent with guidance contained in DoD 5400.7-R, DoD Freedom of 
Information Act Program, and this part.
    (b) Procedures: FOIA requests.
    (1) Note the date the request was received, give the request a 
unique identifier/number, and log the request.
    (2) Assess the request to determine initial processing requirements:
    (3) Determine what Air Force elements may hold responsive records.
    (i) Are responsive records kept at the same or different 
installations?
    (ii) Is referral of (all/part) of the request required?
    (4) Determine appropriate processing track (simple/complex/
expedited). (Air Force FOIA offices without backlogs do not multitrack 
FOIA requests.)

    Note: Requesters have a right to appeal an adverse tracking decision 
(for example, when it is determined their request will not be 
expedited). Also, if their request qualifies for the complex track, tell 
requesters so they may limit the scope of their request in order to 
qualify for the simple track. FOIA managers must assess a request before 
placing it into a specific processing track, and must support their 
actions should the requester appeal. If a request is determined to be 
complex, or is not expedited when the requester sought expedited 
processing, you must advise the requester of the adverse tracking 
decision in writing. See Sec. 806.27 for sample language for this kind 
of letter to a requester.

    (i) Simple. Defines a request that can be processed quickly, with 
limited impact on the responding units. The request clearly identifies 
the records, involves no (or few) complicating factors (e.g., there are 
few or no responsive records, involves only one installation and there 
are no outside OPRs, involves no classified records (Exemption 1), a law 
exempts the responsive records from disclosure (Exemption 3), no 
contractor-submitted records (Exemption 4), no deliberative process/
privileged materials (Exemption 5), records contain no (or limited) 
personal privacy information/did not come from Privacy Act systems of 
records concerning other individuals (Exemption 6), release of records 
would have minimal impact on law enforcement (Exemption 7); no time 
extensions expected, other than the additional 10-workdays allowed in 
situations outlined in the FOIA). If the requested data must come from 
electronic records, response can be completed on a ``business-as-usual'' 
basis; requires no (or limited) reprogramming of automated information 
systems and would cause no significant interference with operation of 
information systems by processing a simple request/providing a

[[Page 27]]

response in the electronic format requested.
    (ii) Complex. Defines a request whose processing will take 
substantial time, will cause significant impact on responding units. 
Complications and delays are likely (e.g., the request is vague (poor 
description of records, unclear who or when records were created), 
records are massive in volume, multiple organizations will receive 
tasking, records are classified (Exemption 1), records came from another 
command/service/a nongovernment source (Exemption 4), records are part 
of the Air Force's decision-making process, and not incorporated into a 
final decision (IG/audit reports, legal opinions, misconduct or mishap 
investigations etc.) or are attorney-client records (Exemption 5), 
records are largely personal information on another individual or came 
from Privacy Act systems of records (Exemption 6), records describe law 
enforcement activities or information from (and/or identities of) 
confidential sources (Exemption 7); response cannot be completed on a 
``business as usual'' basis and would require extensive reprogramming or 
cause significant interference with operation of the automated 
information systems. (Advise requester, in writing, of right to limit 
the scope of their request in order to qualify for simple track.)
    (iii) An expedited request is when a requester asks for expedited 
processing and explains the compelling need (imminent threat to life or 
physical safety; urgently needed by a person primarily engaged in 
disseminating information; due process; or humanitarian need) for the 
requested information. In order to receive expedited processing, 
requesters must provide a statement certifying their ``demonstration'' 
(description) of their specific ``compelling need'' or due process/
humanitarian need is true and correct to the best of their knowledge. 
When a requester seeks expedited processing, FOIA offices must respond 
in writing to the requester within 10 calendar days after receipt of the 
request approving or denying their request for expedited processing. 
Requesters have a right to appeal an adverse decision (e.g., when it is 
determined their requests will not be expedited). There are four 
categories of FOIA requests that qualify for expedited processing:
    (A) The requester asserts a ``compelling need'' for the records, 
because a failure to obtain records quickly could reasonably be expected 
to pose an imminent threat to the life or physical safety of an 
individual.
    (B) The requester asserts a ``compelling need'' for the records, 
because the information is ``urgently needed'' by an individual engaged 
in disseminating information to inform the public (primarily news media 
requesters; and could also include other persons with the ability to 
disseminate information).

    Note: ``Urgently needed,'' in this case, means the information has a 
particular value that will be lost if it is not disseminated quickly. 
This normally would apply to a breaking news story of general public 
interest. Information of historical interest only, or sought for 
litigation or commercial activities would not qualify, nor would the 
fact a news media entity had an internal broadcast deadline of its own, 
which was unrelated to the ``news breaking nature'' of the information 
itself, cause the requested information to qualify as ``urgently 
needed.''

    (C) Failure to obtain records quickly could cause imminent loss of 
substantial due process rights or providing the information quickly 
would serve a ``humanitarian need'' (i.e., disclosing the information 
will promote the welfare and interests of mankind). While FOIA requests 
falling into these third and fourth categories can qualify for expedited 
processing, process them in the expedited track behind the requests 
qualifying for expedited processing based on ``compelling need'' (the 
first two types of expedited FOIA requests).
    (5) Determine fee category of requester (commercial/educational---
noncommercial scientific institution--news media/all others) and assess 
fee issues. When all assessable costs are $15.00 or less, waive fees 
automatically for all categories of requesters. Assess other fee waiver 
or reduction requests on a case-by-case basis.
    (6) Apply fee waiver/fee reduction criteria in appropriate cases 
(when requester asks for fee waiver/reduction).
    (7) Find the responsive Air Force records (if any).

[[Page 28]]

    (i) Send the request to the appropriate OPRs to search for 
responsive records and to decide whether to recommend release of any 
responsive records. Include a DD Form 2086, Record of Freedom of 
Information (FOI), or a DD Form 2086-1, Record of Freedom of Information 
(FOI) Processing Cost for Technical Data, in each request. The OPR must 
complete and return the appropriate forms and statements to the FOIA 
office.
    (ii) If the OPRs find no responsive records, or if the OPRs desire 
to withhold any responsive records from release to the requester, the 
OPRs must provide a written certificate detailing either their 
unsuccessful search, or their reasons why the documents should be 
withheld from release under the FOIA; the written OPR statements must 
accompany the copies of the records the OPR desires to withhold as the 
FOIA action is processed (e.g., include it in any denial or appeal 
file).

    Note: If any part of a FOIA request is denied, and the requester 
appeals that denial, include all forms, certificates and documents 
prepared by the OPRs in the FOIA appeal package required in paragraph 
(d)(5) of this section.

    (c) Contacts with FOIA requesters and non-Air Force submitters of 
data.
    (1) Contacts with Air Force elements. A FOIA request is considered 
``received'' (and therefore ready to process) when the FOIA office 
responsible for processing the request physically receives it, when the 
requester states a willingness to pay fees set for the appropriate fee 
category, or, if applicable, when the requester has paid any past FOIA 
debts and has reasonably described the requested records. Keep hard/
paper copies of all memoranda documenting requester contacts with Air 
Force elements regarding a pending FOIA request in the requester's FOIA 
file. If the requester contacts Air Force elements telephonically about 
a pending FOIA request, the Air Force member participating in the 
conversation must prepare notes or memorandums for record (MFR), and 
keep those notes or MFRs in the requester's FOIA file. If any part of a 
FOIA request is denied, and the requester appeals that denial, submit 
documentation of requester contacts with Air Force elements in 
chronological order in the FOIA appeal package (see paragraph (d)(1) of 
this section).
    (2) Contacts with the FOIA Requester. See Sec. 806.27 for samples of 
language to use in various types of Air Force FOIA letters. If any part 
of a FOIA request is denied, and the requester appeals that denial, 
submit documents sent by Air Force elements to the requester in the FOIA 
appeal package in chronological order (see paragraph (d)(5) of this 
section). Letters that Air Force FOIA offices may need to send to a FOIA 
requester include:
    (i) An initial notification letter that the FOIA request was 
received. This letter may advise the requester that processing of the 
FOIA request may be delayed because:
    (A) All or part of the requested records are not located at the 
installation processing the FOIA request (see Sec. 806.29(c)(2)(ii)).
    (B) An enormous number of records must be collected and reviewed.
    (C) Other Air Force activities or other agencies, to include (if 
applicable) the nongovernment submitter of information, need to be 
involved in deciding whether or not to release the records.
    (D) If you cannot complete processing of a FOIA request within 20 
workdays, advise the requester of the reasons for the delay and give a 
date (within 30 workdays after receiving the request) when the requester 
can expect a final decision.
    (ii) The initial notification letter may advise the requester all/
part of the request was referred to another Air Force element or 
government activity.
    (iii) The initial notification letter may advise the requester of 
the appropriate fee category. In cases where fees are appropriate, and 
requesters have not agreed to pay for responsive records and fees are 
likely to be more than $15.00, seek assurances that the requester agrees 
to pay appropriate fees. If more information is needed to make a fee 
category determination, or to determine whether fees should be waived/
reduced, inform the requester. FOIA offices may determine fee waiver/
reduction requests before processing a FOIA request; if a fee waiver/
reduction

[[Page 29]]

request is denied, the requester may appeal that denial; he/she may also 
appeal an adverse fee category determination (e.g., asked for news media 
fees, but was assessed commercial fees.)
    (iv) The initial notification letter may advise the requester the 
request does not sufficiently describe the desired records. If possible, 
help the requester identify the requested records by explaining what 
kind of information would make searching for responsive records easier.
    (v) If Air Force elements can complete a FOIA request within the 
statutory 20-workday processing period, you may elect to send only a 
single letter to the requester, along with responsive records that are 
released to the requester in full.
    (vi) A letter to the requester that the responding FOIA office uses 
multitrack processing due to a significant number of pending requests 
that prevents a response determination from being made within 20 
workdays. This letter advises the FOIA requester that track the request 
is in (simple/complex); in this letter, if expedited processing was 
requested, the requester is advised if the request will be expedited or 
not. If the request is found to be complex, you must advise the 
requester he/she may alter the FOIA request to simplify processing. If 
it is determined the request will not be expedited, the requester must 
be told he/she can appeal. (This may be the initial letter to the 
requester, for Air Force elements with multitrack processing; if that is 
the case, this letter may include sections discussed in 
Sec. 806.29(c)(2)(i)).
    (vii) Subsequent letters to the requester on various subjects (for 
example, releasing requested records; advising reasons for delays; 
responding to the letters, facsimiles or calls; advising the requester 
of referrals to other Air Force units or government activities; involves 
a non-Air Force submitter, etc.).
    (viii) A release letter to the requester, forwarding releasable 
responsive records with a bill (if appropriate).
    (ix) A ``no records'' response letter to the requester if there are 
no responsive records, or, a denial letter, if any responsive records 
are withheld from release. FOIA managers may sign ``no records'' or 
``requested format not available'' responses; they may also sign a 
letter that advises a requester the fee category sought was not 
determined to be appropriate, or that a fee waiver/fee reduction request 
was disapproved, or that a request for expedited processing has been 
denied. An IDA must sign any letter or document withholding responsive 
records. When denying records, you must tell the requester, in writing: 
the name and title or position of the official who made the denial 
determination, the basis for the denial in enough detail to permit the 
requester to make a decision concerning appeal, and the FOIA exemptions 
on which the denial is based. The denial letter must include a brief 
statement describing what the exemptions cover. When the initial denial 
is based (in whole or in part) on a security classification, this 
explanation should include a summary of the applicable executive order 
criteria for classification, as well as an explanation of how those 
criteria apply to the particular record in question. Estimate the volume 
of the records denied and provide this estimate to the requester, unless 
providing such an estimate would harm an interest protected by an 
exemption of the FOIA. This estimate should be in number of pages or, 
for records in other media, in some other reasonable form of estimation, 
unless the volume is otherwise indicated through deletions on records 
disclosed in part. Indicate the size and location of the redactions on 
the records released. You must also tell the requester how he/she can 
appeal the denial.
    (3) Contacts with non-Air Force submitters of data. Before releasing 
data (information or records) submitted from outside the Air Force, 
determine whether you need to write to the submitter of the data for 
their views on releasability of their data. In many cases, this non-Air 
Force data may fall under FOIA Exemption 4. If it appears you must 
contact the submitter of the data, advise the requester in writing that 
you must give the submitter of the data the opportunity to comment 
before the Air Force decides whether to release the information. Give 
the submitter a reasonable period of time (30

[[Page 30]]

calendar days) to object to release and provide justification for 
withholding the documents. If the submitter does not respond, advise the 
submitter in writing that you have not received a reply and plan to 
release the records. Provide the submitter with the reasons the Air 
Force will release the records, and give the submitter your expected 
release date (at least 2 weeks from the date of your letter). This 
permits the submitter time to seek a temporary restraining order (TRO) 
in federal court, if they can convince the judge to issue such an order. 
See Sec. 806.27 for samples of language to use in Air Force letters to 
both the FOIA requester and nongovernment submitters. Remember to 
include a copy of Sec. 806.31 as an attachment to the letter sent to the 
nongovernment submitter.
    (i) The notice requirements of this section need not be followed if 
the Air Force determines that the information should not be disclosed, 
the information has been lawfully published or officially made available 
to the public, or disclosure of the information is required by law.
    (ii) If the submitter objects to release of the records, but the Air 
Force disclosure authority considers the records releasable, tell the 
submitter before releasing the data. Include in the letter to the 
submitter a brief explanation and a specific release date at least 2 
weeks from the date of the letter. Advise the submitter once a 
determination is made that release of the data is required under the 
FOIA, failure to oppose the proposed release will lead to release of 
submitted data. Also advise the requester such a release under the FOIA 
will result in the released information entering the public domain, and 
that subsequent requests for the same information will be answered 
without any formal coordination between the Air Force and the submitter, 
unless the information is later amended, changed, or modified. A person 
equal to, or higher in rank than, the denial authority makes the final 
decision to disclose responsive records over the submitter's objection.
    (iii) When a previously released contract document has been 
modified, any contract documents not in existence at the time of an 
earlier FOIA request that are responsive to a later FOIA request for the 
same contract, will be processed as a first-time FOIA request for those 
newly created documents. Notify the nongovernment submitter of the 
pending FOIA action, and give them the same opportunity to respond as is 
detailed above. Passage of a significant period of time since the prior 
FOIA release can also require Air Force elements to comply with the 
notice requirements in this paragraph.
    (d) Denying all or part of a request. When responsive records are 
withheld from release (denied), the appropriate offices must prepare a 
denial package for the IDA. Air Force elements must send the request, 
related documents, and responsive records through their IDA's FOIA 
office to the IDA for a decision. The denial package must include:
    (1) The FOIA request and any modifications by the requester.
    (2) A copy of the responsive records, including both records that 
may be released and records recommended for denial.
    (3) Written recommendations from the OPRs and an Air Force attorney.
    (4) The exemptions cited and a discussion of how the records qualify 
for withholding under the FOIA. This discussion should also include the 
reasons for denial: to deny release of responsive records requested 
under the FOIA, you must determine that disclosure of the records would 
result in a foreseeable harm to an interest protected by a FOIA 
exemption (or exemptions), that the record is exempt from release under 
one or more of the exemptions of the FOIA, and that a discretionary 
release is not appropriate.
    (5) Any collateral documents that relate to the requested records. 
For example:
    (i) If the requested records came from a non-Air Force or non-U.S. 
Federal Government submitter, include any documents from the submitter 
that relate to the release or denial of the requested records. If you 
are not sure whether or not the non-Air Force or non-U.S. Federal 
Government submitted information is potentially exempt from release 
under the FOIA, contact an Air Force attorney. FOIA Exemptions 3, 4, 5, 
6, and 7 may apply.

[[Page 31]]

    (ii) If the requested records came from Privacy Act systems of 
records, include a written discussion of any Privacy Act issues.
    (iii) If any requested records came from another Air Force element, 
or release of the requested records would affect another Air Force 
element, FOIA offices should coordinate with that other element. If the 
FOIA request is not completely referred to the other element, include 
documents from that element.
    (iv) If any requested records are classified, include a written 
certification from a classification authority or declassification 
authority stating the data was properly classified originally, that it 
remains properly classified (per E.O. 12958), and, if applicable, that 
no reasonably segregable portions can be released.
    (e) FOIA appeal actions.
    (1) If an IDA, or a FOIA office responding on behalf of an IDA, 
withholds a record from release because they determine the record is 
exempt under one or more of the exemptions to the FOIA, the requester 
may appeal that decision, in writing, to the Secretary of the Air Force. 
The appeal should be accompanied by a copy of the denial letter. FOIA 
appeals should be postmarked within 60 calendar days after the date of 
the denial letter, and should contain the reasons the requester 
disagrees with the initial denial. Late appeals may be rejected, either 
by the element initially processing the FOIA appeal, or by subsequent 
denial authorities, if the requester does not provide adequate 
justification for the delay. Appeal procedures also apply to the denial 
of a fee category claim by a requester, denial of a request for waiver 
or reduction of fees, disputes regarding fee estimates, review on an 
expedited basis of a determination not to grant expedited access to 
agency records, and for ``no record'' or ``requested format not 
available'' determinations when the requester considers such responses 
adverse in nature.
    (2) Coordinate appeals with an Air Force attorney (and the OPR, if 
appropriate) so they can consider factual and legal arguments raised in 
the appeal, and can prepare written assessments of issues raised in the 
appeal to assist the IDA in considering the appeal. MAJCOM FOIA offices 
and 11 CS/SCSR (for OPRs at HQ USAF and SAF), send all appeals to the 
Secretary of the Air Force through AFLSA/JACL for consideration, unless 
the IDA has reconsidered the initial denial action, and granted the 
appeal.
    (3) If a requester appeals a ``no records'' determination, 
organizations must search again or verify the adequacy of their first 
search (for example, if a second search would be fruitless, the 
organization may include a signed statement from either the records OPR 
or the MAJCOM FOIA manager detailing why another search was not 
practical). The appeal package must include documents (to include a 
certification from the records OPR) that show how the organization tried 
to find responsive records. In the event a requester sues the Air Force 
to contest a determination that no responsive records exist, formal 
affidavits will be required to support the adequacy of any searches 
conducted.
    (4) General administrative matters. FOIA requesters may ultimately 
sue the Air Force in federal court if they are dissatisfied with adverse 
determinations. In these suits, the contents of the administrative 
appeal file are evaluated to determine whether the Air Force complied 
with the FOIA and its own guidance. Improper or inadequate appeal files 
make defending these cases problematic. Include all the documents 
related to the requester's FOIA action in the appeal file. If appeal 
file documents are sensitive, or are classified up to the SECRET level, 
send them separately to AFLSA/JACL, 1501 Wilson Boulevard, 7th Floor, 
Arlington, VA 22209-2403. Make separate arrangements with AFLSA/JACL for 
processing classified appeal file documents TOP SECRET or higher. Cover 
letters on appeal packages need to list all attachments. If a FOIA 
action is complicated, a chronology of events helps reviewers understand 
what happened in the course of the request and appeal. If an appeal file 
does not include documentation described below, include a blank sheet in 
proper place and mark as ``not applicable,'' ``N/A,'' or ``not used.'' 
Do not renumber and

[[Page 32]]

move the other items up. If any part of the requester's appeal is 
denied, the appeal package must include a signed statement by the IDA, 
demonstrating the IDA considered and rejected the requester's arguments, 
and the basis for that decision. This may be a separate memorandum, an 
endorsement on a legal opinion or OPR opinion, or the cover letter which 
forwards the appeal for final determination. Include in the cover letter 
forwarding the appeal to the Secretary of the Air Force the name, phone 
number and e-mail address (if any) of the person to contact about the 
appeal. The order and contents of appeal file attachments follow.
    (i) The original appeal letter and envelope.
    (ii) The initial FOIA request, any modifications of the request by 
the requester or any other communications from the requester, in 
chronological order.
    (iii) The denial letter.
    (iv) Copies of all records already released. (An index of released 
documents may be helpful, if there are a number of items. If the records 
released are ``massive'' (which means ``several cubic feet'') and AFLSA/
JACL agrees, an index or description of the records may be provided in 
place of the released records. Do not send appeal files without copies 
of released records without the express agreement of AFLSA/JACL. Usually 
AFLSA/JACL requires all the released records in appeal files. If you do 
not send the released records to AFLSA/JACL when a FOIA requester has 
appealed a partial denial, retain a copy of what was released for 6 
years.)
    (v) Copies of all administrative processing documents, including 
extension letters, search descriptions, and initial OPR recommendations 
about the request, in chronological order.
    (vi) Copies of the denied records or portions marked to show what 
was withheld. If your organization uses a single set of highlighted 
records (to show items redacted from records released to the requester), 
ensure the records are legible and insert a page in the appropriate 
place stating where the records are located. (An index of denied 
documents may be helpful, if there are a number of items. If the records 
denied are ``massive'' (which means ``several cubic feet'') and AFLSA/
JACL agrees, an index or description of the records may be provided in 
place of the denied records. Do not send appeal files without copies of 
denied records without the express agreement of AFLSA/JACL. Usually 
AFLSA/JACL requires all the denied records in appeal files. If you do 
not send the denied records to AFLSA/JACL, when a FOIA requester has 
appealed a denial, retain a copy of what was denied for 6 years.)
    (vii) All legal opinions in chronological order. Include a point-by-
point discussion of factual and legal arguments in the requester's 
appeal (prepared by an Air Force attorney and/or the OPR). If the IDA 
does not state in the cover letter he/she signed, that he/she considered 
and rejected the requester's arguments, asserting the basis for that 
decision (e.g., the IDA concurs in the legal and/or OPR assessments of 
the requester's arguments) include a signed, written statement 
containing the same information from the IDA, either as a separate 
document or an endorsement to a legal or OPR assessment. Include any 
explanation of the decision-making process for intra-agency documents 
denied under the deliberative process privilege and how the denied 
material fits into that process (if applicable).



Sec. 806.30  FOIA exempt information examples.

    (a) Certain responsive records may contain parts that are 
releasable, along with other parts that the Air Force must withhold from 
release. Carefully delete information exempt from release under the FOIA 
from copies of otherwise releasable records. Do not release copies that 
would permit the requester to ``read through the marking.'' In order to 
assist FOIA managers in redacting records, selected items appropriate to 
withhold in commonly requested Air Force records are illustrated below. 
When providing releasable portions from classified paragraphs, line 
through and do not delete, the classification marking preceding the 
paragraph.
    (b) Exemption 1. Example used is an extract from a ``simulated'' 
contingency plan (all information below is

[[Page 33]]

fictional and UNCLASSIFIED; parenthetical information and marking is 
used for illustrative purposes only).

    (U) Air Force members will safeguard all FELLOW YELLOW data (NOTE: 
FELLOW YELLOW simulates an UNCLASSIFIED code name).
    During the contingency deployment in Shambala, those members 
assigned to force element FELLOW YELLOW will cover their movements by 
employing specified camouflage and concealment activities while behind 
enemy lines. Only secure communications of limited duration as specified 
in the communications annex will be employed until FELLOW YELLOW 
personnel return to base. (Exemption 1)

    (c) Exemption 2. Example used is an extract from a ``simulated'' 
test administration guide (all information below is fictional and is 
used for illustrative purposes only).

    When administering the test to determine which technicians are 
ranked fully qualified, make sure to allow only the time specified in HQ 
AETC Pamphlet XYZ, which the technicians were permitted to review as 
part of their test preparation. For ease in scoring this exam, correct 
answers are A, A, B, B, A, B, C, C, A, B, D, D, C, C, C, D; the 
corresponding template for marking the standard answer sheet is kept 
locked up at all times when not in use to grade answer sheets. 
(Exemption ``high'' 2)

    (d) Exemption 5. Example used is a simulated IG Report of 
Investigation (ROI) recommendation. All parenthetical information in 
this example is fictional and is used for illustrative purposes only:

    Having interviewed the appropriate personnel and having reviewed the 
appropriate documents, I recommend additional training sessions for all 
branch personnel on accepted Air Force standards, and the Air Force 
pursue administrative or judicial disciplinary action with respect to 
Terry Hardcase. (Exemption 5)

    (e) Exemption 6. Example used is a simulated personnel computer 
report on a military member selected for a special assignment (all 
information below is fictional; information and marking is used for 
illustrative purposes only.):

SSgt Doe, Kerry E.                SSN: 111-11-1112    Date of Birth: 22
                                                       Jun 71
Duty Title: Special Assistant to  Office Symbol:      ..................
 CINCPAC                           CINCPAC/CCSA
Duty Station: Hickam AFB HI       Date Assigned: 12
 11111-1111                        June 1998
Marital Status: Divorced          Dependents: 01      Home Address: 12
                                                       Anystreet,
                                                       Downtown ST 11112
Home Phone: (112) 223-3344
 (Exemption 6)
------------------------------------------------------------------------

    (f) Exemption 7. Example used is summary of a law enforcement report 
on a domestic disturbance at on-base family housing (all information 
below is fictional and all parenthetical information is used for 
illustrative purposes only):

    At 2140, the law enforcement desk, extension 222-3456, took an 
anonymous call that reported a disturbance at 1234 Basestreet, quarters 
allegedly occupied by two military members. SrA Patrolman (names of law 
enforcement investigators usually are withheld under Exemptions 6 and 
7(C)) arrived on the scene at 2155. SrA Patrolman met Nora Neighbor, 
(names of witnesses usually are withheld under Exemptions 6 and 7(C)) 
who was very agitated. Because she feared her neighbors would retaliate 
against her if they knew she reported their fight, she asked that her 
name not be released before she would talk. After she was promised her 
identity would remain anonymous, she stated: (Nora Neighbor became a 
confidential informant; data that could identify her, and in some cases, 
the information she related, should be withheld from release under 
Exemptions 6, 7(C) and (D).) ``I heard cursing and heard furniture and 
dishes breaking. They fight all the time. I've seen Betty Battle (unless 
Betty is the requester, redact her name Exemptions 6 and 7(C)) with a 
black eye, and I also saw Bob Battle (unless Bob is the requester, 
redact his name Exemptions 6 and 7(C)) with bruises the day after they 
had their last fight, last Saturday night. This time, there was a 
tremendous crash; I heard a man scream ``My Lord NO!'' then I saw Betty 
Battle come out of the house with dark stains on her clothes--she got 
into her car and drove away. I could see this really well, because the 
streetlight is right between our houses; I'm the wife of their NCOIC. If 
only Nick, my husband, was here now, he'd know what to do! I haven't 
heard anything from Bob Battle.'' (Exemptions 6 and 7)

[[Page 34]]



Sec. 806.31  Requirements of 5 U.S.C. 552(b)(4) to submitters of nongovernment contract-related information.

    (a) The FOIA requires federal agencies to provide their records, 
except those specifically exempted, for the public to inspect and copy. 
Section (b) of the Act lists nine exemptions that are the only basis for 
withholding records from the public.
    (b) In this case, the fourth exemption, 5 U.S.C. 552(b)(4), may 
apply to records or information the Air Force maintains. Under this 
exemption, agencies must withhold trade secrets and commercial or 
financial information they obtained from a person or organization 
outside the government that is privileged or confidential. This 
generally includes information provided and received during the 
contracting process with the understanding that the Air Force will keep 
it privileged or confidential.
    (c) Commercial or financial matter is ``confidential'' and exempt if 
its release will probably:
    (1) Impair the government's ability to obtain necessary information 
in the future.
    (2) Substantially harm the source's competitive position or impair 
some other legitimate government interest such as compliance and program 
effectiveness.
    (d) Applicability of exemption. The exemption may be used to protect 
information provided by a nongovernment submitter when public disclosure 
will probably cause substantial harm to its competitive position. 
Examples of information that may qualify for this exemption include:
    (1) Commercial or financial information received in confidence with 
loans, bids, contracts, or proposals, as well as other information 
received in confidence or privileged, such as trade secrets, inventions, 
discoveries, or other proprietary data.

    Note: Certain proprietary and source selection information may also 
fall under exemption (b)(3), under the provisions of 10 U.S.C. 2305(g) 
or 41 U.S.C. 423, if statutory requirements are met.

    (2) Statistical data and commercial or financial information 
concerning contract performance, income, profits, losses, and 
expenditures, offered and received in confidence from a contractor or 
potential contractor.
    (3) Personal statements given during inspections, investigations, or 
audits, received and kept in confidence because they reveal trade 
secrets or commercial or financial information, normally considered 
confidential or privileged.
    (4) Financial data that private employers give in confidence for 
local wage surveys used to set and adjust pay schedules for the 
prevailing wage rate of DoD employees.
    (5) Information about scientific and manufacturing processes or 
developments that is technical or scientific or other information 
submitted with a research grant application, or with a report while 
research is in progress.
    (6) Technical or scientific data a contractor or subcontractor 
develops entirely at private expense, and technical or scientific data 
developed partly with Federal funds and partly with private funds, in 
which the contractor or subcontractor retains legitimate proprietary 
interests per 10 U.S.C. 2320 to 2321 and 48 CFR, Chapter 2, 227.71-
227.72.
    (7) Computer software copyrighted under the Copyright Act of 1976 
(17 U.S.C. 106), the disclosure of which would adversely impact its 
potential market value.
    (e) Submitter's Written Response. If release of the requested 
material would prejudice your commercial interests, give detailed 
written reasons that identify the specific information and the 
competitive harm public release will cause to you, your organization, or 
your business. The act requires the Air Force to provide any reasonably 
segregable part of a record after deleting exempt portions. If deleting 
key words or phrases would adequately protect your interests, advise us 
in writing which portions you believe we can safely release, and which 
portions you believe we need to withhold from release. If you do not 
provide details on the probability of substantial harm to your 
competitive position or other commercial interests, which would be 
caused by releasing your material to the requester, we may be required 
to release the information. Records qualify for protection on a case by 
case basis.

[[Page 35]]

    (f) Pricing Information. Generally, the prices a contractor charges 
the government for goods or services would be released under the FOIA. 
Examples of releasable data include: bids submitted in response to an 
invitation for bids (IFB), amounts actually paid by the government under 
a contract, and line item prices, contract award price, and 
modifications to a contract. Unit prices contained in a contract award 
are considered releasable as part of the post award notification 
procedure prescribed by 48 CFR 15.503, unless they are part of an 
unsuccessful proposal, then 10 U.S.C. 2305(g) protects everything 
including unit price.

                   Appendix A to Part 806--References

Title 5, United States Code, Section 552, The Freedom of Information 
Act, as amended
Title 5, United States Code, Section 552a, The Privacy Act (as amended)
Title 10, United States Code, Section 2305(g), Prohibition on Release of 
Contractor Proposals
Title 48, Code of Federal Regulations (CFR), Federal Acquisition 
Regulations (FAR) System
OMB Bulletin 95-01, 7 December 1994
OMB Memorandum, 6 February 1998
DoD 5200.1-R, Information Security Program, January 1997
AFI 16-701, Special Access Programs
AFI 31-206, Security Police Investigations
AFI 31-401, Information Security Program Management
AFI 31-501, Personnel Security Program Management
AFI 31-601, Industrial Security Program Management
AFI 33-129, Transmission of Information Via the Internet
AFI 35-205, Air Force Security and Policy Review Program
AFI 36-2603, Air Force Board for Correction of Military Records
AFI 36-2706, Military Equal Opportunity and Treatment Program
AFI 36-2906, Personal Financial Responsibility
AFI 36-2907, Unfavorable Information File (UIF) Program
AFPD 37-1, Air Force Information Management (will convert to AFPD 33-3)
AFI 37-124, The Information Collections and Reports Management Program; 
Controlling Internal, Public, and Interagency Air Force Information 
Collections (will convert to AFI 33-324)
AFI 37-132, Air Force Privacy Act Program (will convert to AFI 33-332)
AFMAN 37-139, Records Disposition Schedule (will convert to AFMAN 33-
339)
AFI 40-301, Family Advocacy
AFI 41-210, Patient Administration Functions
AFI 44-109, Mental Health and Military Law
AFI 51-201, Administration of Military Justice
AFI 51-301, Civil Litigation
AFI 51-303, Intellectual Property-Patents, Patent Related Matters, 
Trademarks, and Copyrights
AFI 51-501, Tort Claims
AFI 51-503, Aircraft, Missile, Nuclear and Space Accident Investigations
AFI 51-504, Legal Assistance, Notary and Preventive Law Programs
AFI 51-1102, Cooperation with the Office of the Special Counsel
AFI 61-204, Disseminating Scientific and Technical Information
AFI 61-303, Licensing Inventions Made Under Cooperative Research and 
Development Agreements
AFI 65-401, Relations With the General Accounting Office
AFI 71-101, Volume 1, Criminal Investigations
AFI 71-101, Volume 2, Protective Service Matters
AFI 84-101, Historical Products, Services, and Requirements
AFI 90-301, Inspector General Complaints
AFI 90-401, Air Force Relations With Congress
AFI 91-204, Safety Investigations and Reports

           Appendix B to Part 806--Abbreviations and Acronyms

AFCA--Air Force Communications Agency
AFCIC--Air Force Communications and Information Center
AFRC--Air Force Reserve Command
AFI--Air Force Instruction
AFLSA/JACL--Air Force Legal Services Agency, General Litigation Division
AFMAN--Air Force Manual
AFPC/MSIMD--Air Force Personnel Center/Records Management, FOIA, and 
Privacy Act Office
AFPD--Air Force Policy Directive
ANG--Air National Guard
ASCII--American Standard Code for Information Interchange
CFR--Code of Federal Regulations
DFAS--Defense Finance and Accounting Service
DFOISR--Director, Freedom of Information and Security Review
DoD--Department of Defense
DRU--Direct Reporting Unit
EFOIA--Electronic Freedom of Information Act
ERR--Electronic Reading Room
FOA--Field Operating Agency
FOIA--Freedom of Information Act
FOUO--For Official Use Only

[[Page 36]]

GAO--General Accounting Office
GILS--Government Information Locator Service
GPO--Government Printing Office
IDA--Initial Denial Authority
IG--Inspector General
IMPAC--International Merchant Purchase Authority Card
LOA--Letters of Offer and Acceptance
MAJCOM--Major Command
MFR--Memorandum for Record
NATO--North Atlantic Treaty Organization
NORAD--North American Aerospace Defense
NTIS--National Technical Information Service
OCR--Office of Corollary Responsibility
OMB--Office of Management and Budget
OPR--Office of Primary Responsibility
PA--Privacy Act
PAO--Public Affairs Office
PAS--Personnel Accounting Symbol
RCS--Reports Control Symbol
SAF--Secretary of the Air Force
SSN--Social Security Number
USAF--United States Air Force
U.S.C.--United States Code
WWW--World Wide Web

                      Appendix C To Part 806--Terms

Appellate Authority--The Office of the General Counsel to the Secretary 
of the Air Force (SAF/GCA).
Denial--An adverse determination on no records, fees, expedited access, 
or not disclosing records.
Determination--The written decision to release or deny records or 
information that is responsive to a request.
Disclosure--Providing access to, or one copy of, a record.
Disclosure Authority--Official authorized to release records, normally 
division chiefs or higher.
FOIA Manager--The person who manages the FOIA Program at each 
organizational level.
FOIA Request--A written request for DoD records from the public that 
cites or implies the FOIA.
Functional Request--Any request for records from the public that does 
not cite the FOIA.
Government Information Locator Service (GILS)--An automated on-line card 
catalog of publicly accessible information.
Glomar Response--A reply that neither confirms nor denies the existence 
or nonexistence of the requested record.
Initial Denial Authority (IDA)--Persons in authorized positions that may 
withhold records.
Partial Denial--A decision to withhold part of a requested record.
Public Interest--The interest in obtaining official information that 
sheds light on how an agency performs its statutory duties and informs 
citizens about what their government is doing.
Reading Room--A place where the public may inspect and copy, or have 
copied, releasable records.
Records--The products of data compilation, such as all books, papers, 
maps, and photographs, machine readable materials inclusive of those in 
electronic form or format, or other documentary materials, regardless of 
physical form or characteristics, made or received by an agency of the 
U.S. Government under Federal Law in connection with the transaction of 
public business and in the agency's possession and control at the time 
the FOIA request is made. Records include notes, working papers, and 
drafts.
Redact--To remove nonreleasable material.



PART 806b--AIR FORCE PRIVACY ACT PROGRAM--Table of Contents




             Subpart A--Overview of the Privacy Act Program

Sec.
806b.1  Basic guidelines.
806b.2  Violation penalties.
806b.3  Personal notes.
806b.4  Responsibilities.

      Subpart B--Obtaining Law Enforcement Records and Promises of 
                             Confidentiality

806b.5  Obtaining law enforcement records.
806b.6  Promising confidentiality.

               Subpart C--Collecting Personal Information

806b.7  How to collect personal information.
806b.8  When to give Privacy Act statements (PAS).
806b.9  Requesting the social security number (SSN).

             Subpart D--Giving Access to Privacy Act Records

806b.10  Making a request for access.
806b.11  Processing a request for access.
806b.12  Fees.
806b.13  Denying or limiting access.
806b.14  Denial authorities.

                     Subpart E--Amending the Record

806b.15  Amendment reasons.
806b.16  Responding to amendment requests.
806b.17  Approving or denying a record amendment.
806b.18  Seeking review of unfavorable agency determinations.
806b.19  Appeal procedures.
806b.20  Contents of Privacy Act case files.

[[Page 37]]

                  Subpart F--Privacy Act Notifications

806b.21  When to include a Privacy Act warning statement in 
          publications.
806b.22  Publishing system notices.
806b.23  Timing of notices.

             Subpart G--Protecting and Disposing of Records

806b.24  Protecting records.
806b.25  Balancing protection.
806b.26  Disposing of records.

                    Subpart H--Privacy Act Exemptions

806b.27  Requesting an exemption.
806b.28  Exemption types.
806b.29  Authorizing exemptions.
806b.30  Approved exemptions.

             Subpart I--Disclosing Records to Third Parties

806b.31  Disclosure considerations.
806b.32  Disclosing information for which consent is not required.
806b.33  Disclosing other information.
806b.34  Agencies or individuals to whom the Air Force may release 
          privacy information.
806b.35  Disclosing the medical records of minors.
806b.36  Disclosure accounting.
806b.37  Computer matching.

                           Subpart J--Training

806b.38  Who needs training.
806b.39  Training tools.

                    Subpart K--Privacy Act Reporting

806b.40  Privacy Act report (RCS: DD-DA&M(A)1379).

Appendix A to part 806b--Glossary of References, Abbreviations, 
          Acronyms, and Terms
Appendix B to part 806b--Preparing a System Notice
Appendix C to part 806b--General and Specific Exemptions

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

    Source: 59 FR 53099, Oct. 21, 1994, unless otherwise noted.



             Subpart A--Overview of the Privacy Act Program



Sec. 806b.1  Basic guidelines.

    The Privacy Act of 1974 and this part apply only to information in 
Air Force systems of records on living United States citizens and 
permanent resident aliens.
    (a) An official system of records must be:
    (1) Authorized by law or Executive Order.
    (2) Controlled by an Air Force or lower level directive.
    (3) Needed to carry out an Air Force mission or function.
    (b) The Air Force does not:
    (1) Keep records on how a person exercises First Amendment rights. 
EXCEPTIONS are when: The Air Force has the permission of that individual 
or is authorized by federal statute; or the information pertains to an 
authorized law enforcement activity.
    (2) Penalize or harass an individual for exercising rights 
guaranteed under the Privacy Act. Give reasonable aid to individuals 
exercising their rights.
    (c) Air Force members:
    (1) Keep paper and electronic records containing personal 
information and retrieved by name or personal identifier only in 
approved systems published in the Federal Register.
    (2) Collect, maintain, and use information in such systems only to 
support programs authorized by law or Executive Order.
    (3) Safeguard the records in the system and keep them the minimum 
time required.
    (4) Keep the records timely, accurate, complete, and relevant.
    (5) Amend and correct records on request.
    (6) Let individuals review and receive copies of their own records 
unless the Secretary of the Air Force approved an exemption for the 
system or the Air Force created the records in anticipation of a civil 
action or proceeding.
    (7) Provide a review of decisions that deny individuals access to or 
amendment of their records.



Sec. 806b.2  Violation penalties.

    An individual may file a civil suit against the Air Force for 
failing to comply with the Privacy Act. The courts may find an 
individual offender guilty of a misdemeanor and fine that individual 
offender not more than $5,000 for:

[[Page 38]]

    (a) Willfully maintaining a system of records that doesn't meet the 
public notice requirements.
    (b) Disclosing information from a system of records to someone not 
entitled to the information.
    (c) Obtaining someone else's records under false pretenses.



Sec. 806b.3  Personal notes.

    If you keep personal notes on individuals to use as memory aids to 
supervise or perform other official functions, and do not share them 
with others, and an Air Force directive does not require their 
maintenance, the Privacy Act does not apply.



Sec. 806b.4  Responsibilities.

    (a) The Administrative Assistant to the Secretary of the Air Force 
(SAF/AA) manages the entire program.
    (b) The Office of the General Counsel to the Secretary of the Air 
Force (SAF/GCA) makes final decisions on appeals.
    (c) The Director of Information Management (SAF/AAI), through the 
Access Programs Office of the Policy Division, (SAF/AAIA):
    (1) Administers procedures outlined in this part.
    (2) Submits system notices and required reports to the Defense 
Privacy Office.
    (3) Guides major commands (MAJCOM) and field operating agencies 
(FOA).
    (d) MAJCOM and FOA commanders, HQ USAF and Deputy Chiefs of Staff 
(DCS), and comparable officials, and SAF offices implement this part. 
Each HQ USAF and SAF office appoints a Privacy Act monitor. Send the 
name, office symbol, and phone number to SAF/AAIA.
    (e) MAJCOM and FOA Information Managers:
    (1) Manage the program.
    (2) Appoint a command Privacy Act officer.
    (3) Send the name, office symbol, and phone number to SAF/AAIA.
    (f) Privacy Act Officers:
    (1) Guide and train.
    (2) Review the program at regular intervals.
    (3) Submit reports.
    (4) Review all publications and forms for compliance with this part.
    (5) Review system notices.
    (6) Investigate complaints.
    (7) Staff denial recommendations (at MAJCOMs and FOAs only).
    (g) System Managers:
    (1) Decide the need for, and content of systems.
    (2) Manage and safeguard the system.
    (3) Train personnel on Privacy Act requirements.
    (4) Protect records from unauthorized disclosure, alteration, or 
destruction.
    (5) Prepare system notices and reports.
    (6) Answer Privacy Act requests.
    (7) Keep records of disclosures.
    (8) Evaluate the systems annually.
    (h) Privacy Act Monitors (PAM):
    (1) Are the focal point in their functional area for general Privacy 
Act questions and correspondence.
    (2) Maintain a list of all systems of records and system managers in 
their area.
    (3) Act as liaison with the Privacy Act Officer.
    (4) Maintain statistics for the annual Privacy Act report.



      Subpart B--Obtaining Law Enforcement Records and Promises of 
                             Confidentiality



Sec. 806b.5  Obtaining law enforcement records.

    The Commander AFOSI; the Chief, Air Force Security Police Agency 
(AFSPA); MAJCOM, FOA, and base chiefs of security police; AFOSI 
detachment commanders; and designees of those offices may ask another 
agency for records for law enforcement under 5 U.S.C. 552a(b)(7). The 
requesting office must indicate in writing the specific part of the 
record desired and identify the law enforcement activity asking for the 
record.



Sec. 806b.6  Promising confidentiality.

    Record promises of confidentiality to exempt from disclosure any 
`confidential' information under subsections (k)(2), (k)(5), or (k)(7) 
of the Privacy Act.

[[Page 39]]



               Subpart C--Collecting Personal Information



Sec. 806b.7  How to collect personal information.

    Collect personal information directly from the subject of the record 
when possible. You may ask third parties when:
    (a) You must verify information.
    (b) You want opinions or evaluations.
    (c) You can't contact the subject.
    (d) The subject asks you.



Sec. 806b.8  When to give Privacy Act statements (PAS).

    (a) Give a PAS orally or in writing:
    (1) To anyone from whom you are collecting personal information that 
will be put in a system of records.
    (2) Whenever you ask someone for his or her Social Security Number 
(SSN).
    Note: Do this regardless of how you collect or record the answers. 
You may display a sign in areas where people routinely furnish this kind 
of information. Give a copy of the PAS if asked. Do not ask the person 
to sign the PAS.
    (3) A PAS must include four items:
    (i) Authority: The legal authority, that is, the United States Code 
or Executive Order authorizing the program the system supports.
    (ii) Purpose: The reason you are collecting the information.
    (iii) Routine Uses: A list of where and why the information will be 
disclosed outside DoD.
    (iv) Disclosure: Voluntary or Mandatory. (Use Mandatory only when 
disclosure is required by law and the individual will be penalized for 
not providing information.) Include any consequences of nondisclosure in 
nonthreatening language.



Sec. 806b.9  Requesting the social security number (SSN).

    (a) Do not deny people a legal right, benefit, or privilege for 
refusing to give their SSNs unless the law requires disclosure, or a law 
or regulation adopted before January 1, 1975, required the SSN and the 
Air Force uses it to verify a person's identity in a system of records 
established before that date. When you ask for an SSN to create a 
record, tell the individual:
    (1) The statute, regulation, or rule authorizing you to ask for the 
SSN.
    (2) The uses that will be made of the SSN.
    (3) If he or she is legally obligated to provide the SSN.
    (b) The Air Force requests an individual's SSN and provides the 
individual information required by law when anyone enters military 
service or becomes an Air Force civilian employee. The Air Force uses 
the SSN as a service or employment number to reference the individual's 
official records. When you ask someone for an SSN as identification (ID) 
to retrieve an existing record, you do not have to restate this 
information.
    (c) Executive Order 9397, November 22, 1943, authorizes using the 
SSN as a personal identifier. This order is not adequate authority to 
collect an SSN to create a record. When law does not require disclosing 
the SSN or when the system of records was created after January 1, 1975, 
you may ask for the SSN, but the individual does not have to disclose 
it. If the individual refuses to respond, use alternative means of 
identifying records.
    (d) SSNs are personal and unique to each individual. Protect them as 
FOR OFFICIAL USE ONLY (FOUO). Do not disclose them to anyone without an 
official need to know.



             Subpart D--Giving Access to Privacy Act Records



Sec. 806b.10  Making a request for access.

    Persons or their designated representatives may ask for a copy of 
their records in a system of records. Requesters need not state why they 
want access to their records. Verify the identity of the requester to 
avoid unauthorized disclosures. How you verify identity will depend on 
the sensitivity of the requested records. Persons without access to 
notary services may use an unsworn declaration in the following format: 
`I declare under penalty of perjury (if outside the United States, add 
`under the laws of the United States of America') that the foregoing is 
true and correct. Executed on (date). (Signature).'

[[Page 40]]



Sec. 806b.11  Processing a request for access.

    Consider a request from an individual for his or her own records in 
a system of records under both the Freedom of Information Act (FOIA) and 
the Privacy Act regardless of the Act cited. The requester need not cite 
any Act. Process the request under whichever Act gives the most 
information. When necessary, tell the requester under which Act you 
processed the request and why.
    (a) Requesters should describe the records they want. They do not 
have to name a system of records number, but they should at least name a 
type of record or functional area. For requests that ask for `all 
records about me,' ask for more information and tell the person how to 
review the Air Force systems of records published in the Federal 
Register or in AFDIR 37-144 \1\, `Privacy Act Systems of Record' 
(formerly AFR 4-36).
---------------------------------------------------------------------------

    \1\ Copies may be obtained at cost from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    (b) Requesters should not use government equipment, supplies, 
stationery, postage, telephones, or official mail channels for making 
Privacy Act requests. Privacy Act Officers and system managers process 
such requests but tell requesters that using government resources to 
make Privacy Act requests is not authorized.
    (c) Tell the requester if a record exists and how to review the 
record. If possible, respond to requests within 10 workdays of receiving 
them. If you cannot answer the request in 10 workdays, send a letter 
explaining why and give an approximate completion date no more than 20 
workdays after the first office received the request.
    (d) Show or give a copy of the record to the requester within 30 
workdays of receiving the request unless the system is exempt and the 
Air Force lists the exemption in appendix C of this part; or published 
as a final rule in the Federal Register. Give information in a form the 
requester can understand.
    (e) If the requester wants another person present during the record 
review, the system manager may ask for written consent to authorize 
discussing the record with another person present.



Sec. 806b.12  Fees.

    Give the first 100 pages free, and charge only reproduction costs 
for the remainder. Copies cost $.15 per page; microfiche costs $.25 per 
fiche. Charge the fee for the first 100 pages if records show that the 
Air Force already responded to a request for the same records at no 
charge. Do not charge fees:
    (a) When the requester can get the record without charge under 
another publication (for example, medical records).
    (b) For search.
    (c) For reproducing a document for the convenience of the Air Force.
    (d) For reproducing a record so the requester can review it.



Sec. 806b.13  Denying or limiting access.

    Process access denials within five workdays after you receive a 
request for access. When you may not release a record, send a copy of 
the request, the record, and why you recommend denying access (including 
the applicable exemption) to the denial authority through the Staff 
Judge Advocate (SJA) and the Privacy Act officer. The SJA gives a 
written legal opinion on the denial. The MAJCOM or FOA Privacy Act 
officer reviews the file, gets written advice from the SJA and the 
functional office of primary responsibility (OPR), and makes a 
recommendation to the denial authority. The denial authority sends the 
requester a letter with the decision. If the denial authority grants 
access, release the record. If the denial authority refuses access, tell 
the requester why and explain pertinent appeal rights.
    (a) Before you deny a request for access to a record, make sure 
that:
    (1) The system has an SAF approved exemption.
    (2) The exemption covers each document.
    (3) Nonexempt parts are segregated.
    (b) You may refuse to give out medical records if a physician 
believes that doing so could harm the person's mental or physical 
health. You have these options:

[[Page 41]]

    (1) Ask the requester to get a letter from a physician to whom you 
can send the records. Include a letter explaining to the physician that 
giving the records directly to the individual could be harmful.
    (2) Offer the services of a military physician other than one who 
provided treatment if naming the physician poses a hardship on the 
individual.
    (c) Do not delete third-party information from a record when the 
subject requests access, except as noted in Sec. 806b.13(d), unless the 
Air Force covers the record with an established exemption (appendix C of 
this part). Presume that all information in a file pertains to the 
subject of the file.
    (d) Do not release third-party personal data (such as SSN and home 
address). This action is not a denial.
    (e) Withhold records compiled in connection with a civil action or 
other proceeding including any action where the Air Force expects 
judicial or administrative adjudicatory proceedings. This exemption does 
not cover criminal actions. Do not release attorney work products 
prepared before, during, or after the action or proceeding.



Sec. 806b.14  Denial authorities.

    These officials or a designee may deny access or amendment of 
records. Send a letter to SAF/AAIA with the position titles of 
designees. You must get SAF/AA approval before delegating this authority 
to a lower level. Send requests for waiver with justification to SAF/
AAIA. Authorities are:
    (a) DCSs and chiefs of comparable offices or higher level at SAF or 
HQ USAF.
    (b) MAJCOM or FOA commanders.
    (c) HQ USAF/DPCP, Pentagon, Washington, DC 20330-5060 (for civilian 
personnel records).
    (d) Commander, Air Force Office of Special Investigations (AFOSI), 
Washington, DC 20332-6001 (for AFOSI records).



                     Subpart E--Amending the Record



Sec. 806b.15  Amendment reasons.

    Individuals may ask to have their records amended to make them 
accurate, timely, relevant, or complete. System managers routinely 
correct a record if the requester can show that it is factually wrong.



Sec. 806b.16  Responding to amendment requests.

    (a) Anyone may request minor corrections orally. Requests for more 
serious modifications should be in writing.
    (b) After verifying the identity of the requester, make the change, 
notify all known recipients of the record, and inform the individual.
    (c) Acknowledge requests within 10 workdays of receipt. Give an 
expected completion date unless you complete the change within that 
time. Final decisions must take no longer than 30 workdays.



Sec. 806b.17  Approving or denying a record amendment.

    The Air Force does not usually amend a record when the change is 
based on opinion, interpretation, or subjective official judgment. This 
action constitutes a denial, and requesters may appeal. If the system 
manager decides not to amend or partially amend the record, send a copy 
of the request, the record, and the recommended denial reasons to the 
denial authority through the SJA and the Privacy Act officer. SJAs will 
include a legal opinion.
    (a) The MAJCOM or FOA Privacy Act officer reviews the proposed 
denial, gets a legal opinion from the SJA and written advice from the 
functional OPR, and makes a recommendation to the denial authority.
    (b) The denial authority sends the requester a letter with the 
decision. If the denial authority approves the request, amend the record 
and notify all previous recipients that it has been changed. If the 
authority denies the request, give the requester the statutory 
authority, reason, and pertinent appeal rights.



Sec. 806b.18  Seeking review of unfavorable agency determinations.

    Requesters should pursue record corrections of subjective matters 
and opinions through proper channels to the Civilian Personnel Office 
using grievance procedures or the Air Force Board for Correction of 
Military Records (AFBCMR). Record correction

[[Page 42]]

requests denied by the AFBCMR are not subject to further consideration 
under this part.



Sec. 806b.19  Appeal procedures.

    (a) Individuals may request a denial review by writing to the 
Secretary of the Air Force through the denial authority within 60 
calendar days after receiving a denial letter. The denial authority 
promptly sends a complete appeal package to SAF/AAIA, including:
    (1) Original appeal letter.
    (2) Initial request.
    (3) Initial denial.
    (4) Copy of the record.
    (5) Any internal records or coordination actions relating to the 
denial.
    (6) Denial authority's comments on the appellant's arguments.
    (7) Legal reviews.
    (b) If the denial authority reverses an earlier denial and grants 
access or amendment, notify the requester immediately.
    (c) SAF/AAIA reviews the denial and forwards to SAF/GCA for legal 
review or staffing to grant or deny the appeal. SAF/GCA tells the 
requester the final Air Force decision and explains judicial review 
rights.
    (d) The requester may file a concise statement of disagreement with 
the system manager if SAF/GCA denies the request to amend the record. 
SAF/GCA explains the requester's rights when they issue the final appeal 
decision.
    (1) The records should clearly show that a statement of disagreement 
is filed with the record or separately.
    (2) The disputed part of the record must show that the requester 
filed a statement of disagreement.
    (3) Give copies of the statement of disagreement to the record's 
previous recipients. Inform subsequent record users about the dispute 
and give them a copy of the statement with the record.
    (4) The system manager may include a brief summary of the reasons 
for not amending the record. Limit the summary to the reasons SAF/GCA 
gave to the individual. The summary is part of the individual's record, 
but it is not subject to amendment procedures.



Sec. 806b.20  Contents of Privacy Act case files.

    Do not keep copies of disputed records in this file. Use the file 
solely for statistics and to process requests. Do not use the case files 
to make any kind of determination about an individual. Document reasons 
for untimely responses. These files include:
    (a) Requests from and replies to individuals on whether a system has 
records about them.
    (b) Requests for access or amendment.
    (c) Approvals, denials, appeals, and final review actions.
    (d) Coordination actions and related papers.



                  Subpart F--Privacy Act Notifications



Sec. 806b.21  When to include a Privacy Act warning statement in publications.

    Include a Privacy Act Warning Statement in each Air Force 
publication that requires collecting or keeping personal information in 
a system of records. Also include the warning statement when 
publications direct collection of the SSN from the individual. The 
warning statement will cite legal authority and the system of records 
number and title. You can use the following warning statement: `This 
part requires collecting and maintaining information protected by the 
Privacy Act of 1974 authorized by (U.S.C. citation and or Executive 
Order number). System of records notice (number and title) applies.'



Sec. 806b.22  Publishing system notices.

    The Air Force must publish notices in the Federal Register of new, 
amended, and deleted systems to inform the public of what records the 
Air Force keeps and give them an opportunity to comment. The Privacy Act 
also requires submission of new or significantly altered systems to the 
Office of Management and Budget (OMB) and both houses of the Congress 
before publication in the Federal Register. This includes:
    (a) Starting a new system.
    (b) Instituting significant changes to an existing system.

[[Page 43]]

    (c) Sending out data collection forms or instructions.
    (d) Issuing a request for proposal or invitation for bid to support 
a new system.



Sec. 806b.23  Timing of notices.

    At least 120 days before the effective start date, system managers 
must send the system notice to SAF/AAIA on a 5 1/4 or 3 1/2-inch disk in 
Wordstar (ASCII text file) or Microsoft Word, with a paper copy 
highlighting any changes through the MAJCOM or FOA Privacy Act Officer. 
See Appendix B of this part for a sample system notice.



             Subpart G--Protecting and Disposing of Records



Sec. 806b.24  Protecting records.

    Protect information according to its sensitivity level. Consider the 
personal sensitivity of the information and the risk of loss or 
alteration. Most information in systems of records is FOR OFFICIAL USE 
ONLY (FOUO). Refer to AFI 37-131 \2\, `Air Force Freedom of Information 
Act Program,' for protection methods.
---------------------------------------------------------------------------

    \2\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------



Sec. 806b.25  Balancing protection.

    Balance additional protection against risk and cost. AF Form 3227, 
`Privacy Act Cover Sheet', is available for use with Privacy Act 
material. For example, a password may be enough protection for an 
automated system with a log-on protocol. Classified computer systems or 
those with established audit and password systems are obviously less 
vulnerable than unprotected files or word processors in offices that are 
periodically empty. Follow AFI 33-202 \3\, `The Air Force Computer 
Security Program,' for procedures on safeguarding personal information 
in automated records.
---------------------------------------------------------------------------

    \3\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------



Sec. 806b.26  Disposing of records.

    You may use the following methods to dispose of records protected by 
the Privacy Act according to records retention schedules:
    (a) Destroy by any method that prevents compromise, such as tearing, 
burning, or shredding, so long as the personal data is not recognizable 
and beyond reconstruction.
    (b) Degauss or overwrite magnetic tapes or other magnetic medium.
    (c) Dispose of paper products through the Defense Reutilization and 
Marketing Office (DRMO) or through activities who manage a base-wide 
recycling program. The recycling sales contract must contain a clause 
requiring the contractor to safeguard privacy material until its 
destruction and to pulp, macerate, shred, or otherwise completely 
destroy the records. Originators must safeguard Privacy Act material 
until it is transferred to the recycling contractor. A federal employee 
or, if authorized, a contractor employee must witness the destruction. 
This transfer does not require a disclosure accounting.



                    Subpart H--Privacy Act Exemptions



Sec. 806b.27  Requesting an exemption.

    A system manager who believes that a system needs an exemption from 
some or all of the requirements of the Privacy Act should send a request 
to SAF/AAIA through the MAJCOM or FOA Privacy Act Officer. The request 
should detail the reasons for the exemption and the section of the Act 
that allows the exemption. SAF/AAIA gets approval for the request 
through SAF/AA and the Defense Privacy Office.



Sec. 806b.28  Exemption types.

    (a) A general exemption frees a system from most parts of the 
Privacy Act.
    (b) A specific exemption frees a system from only a few parts of the 
Privacy Act.



Sec. 806b.29  Authorizing exemptions.

    Only SAF/AA can exempt systems of records from any part of the 
Privacy Act. Denial authorities can withhold records using these 
exemptions only if SAF/AA previously approved and published an exemption 
for the system in the Federal Register. Appendix C of

[[Page 44]]

this part lists the systems of records that have approved exemptions.



Sec. 806b.30  Approved exemptions.

    Approved exemptions exist under 5 U.S.C. 552a for:
    (a) Certain systems of records used by activities whose principal 
function is criminal law enforcement (subsection (j)(2)).
    (b) Classified information in any system of records (subsection 
(k)(1)).
    (c) Law enforcement records (other than those covered by subsection 
(j)(2)). The Air Force must allow an individual access to any record 
that is used to deny rights, privileges or benefits to which he or she 
would otherwise be entitled by federal law or for which he or she would 
otherwise be eligible as a result of the maintenance of the information 
(unless doing so would reveal a confidential source) (subsection 
(k)(2)).
    (d) Statistical records required by law. Data is for statistical use 
only and may not be used to decide individuals' rights, benefits, or 
entitlements (subsection (k)(4)).
    (e) Data to determine suitability, eligibility, or qualifications 
for federal service or contracts, or access to classified information if 
access would reveal a confidential source (subsection (k)(5)).
    (f) Qualification tests for appointment or promotion in the federal 
service if access to this information would compromise the objectivity 
of the tests (subsection (k)(6)).
    (g) Information which the Armed Forces uses to evaluate potential 
for promotion if access to this information would reveal a confidential 
source (subsection (k)(7)).



             Subpart I--Disclosing Records to Third Parties



Sec. 806b.31  Disclosure considerations.

    Before releasing personal information to third parties, consider the 
consequences, check accuracy, and make sure that no law or directive 
bans disclosure. You can release personal information to third parties 
when the subject agrees orally or in writing. Air Force members consent 
to releasing their home telephone number and address when they sign and 
check the `Do Consent' block on the AF Form 624, `Base/Unit Locator and 
PSC Directory' (see AFI 37-129 \4\, `Base and Unit Personnel Locators 
and Postal Directories').
---------------------------------------------------------------------------

    \4\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------

    (a) Before including personal information such as home addresses, 
home phones, and similar information on social rosters or directories, 
ask for written consent statements. Otherwise, do not include the 
information.
    (b) You must get written consent before releasing any of these items 
of information:
    (1) Marital status.
    (2) Number and sex of dependents.
    (3) Gross salary of military personnel (see Sec. 806b.32 for 
releasable pay information).
    (4) Civilian educational degrees and major areas of study.
    (5) School and year of graduation.
    (6) Home of record.
    (7) Home address and phone.
    (8) Age and date of birth.
    (9) Present or future assignments for overseas or for routinely 
deployable or sensitive units.
    (10) Office and unit address and duty phone for overseas or for 
routinely deployable or sensitive units.



Sec. 806b.32  Disclosing information for which consent is not required.

    You don't need consent before releasing any of these items:
    (a) Information releasable under the FOIA.
    (b) Information for use within the Department of Defense by 
officials or employees with a need to know.
    (c) Name.
    (d) Rank.
    (e) Grade.
    (f) Air Force specialty code (AFSC).
    (g) Pay (including base pay, special pay, all allowances except 
Basic Allowance for Quarters (BAQ) and Variable Housing Allowance 
(VHA)).
    (h) Gross salary for civilians.
    (i) Past duty assignments.
    (j) Present and future approved and announced stateside assignments.
    (k) Position title.

[[Page 45]]

    (l) Office, unit address, and duty phone number.
    (m) Date of rank.
    (n) Entered on active duty (EAD) date.
    (o) Pay date.
    (p) Source of commission.
    (q) Professional military education.
    (r) Promotion sequence number.
    (s) Military awards and decorations.
    (t) Duty status of active, retired, or reserve.
    (u) Active duty official attendance at technical, scientific, or 
professional meetings.
    (v) Biographies and photos of key personnel.



Sec. 806b.33  Disclosing other information.

    Use these guidelines to decide whether to release information:
    (a) Would the subject have a reasonable expectation of privacy in 
the information requested?
    (b) Would disclosing the information benefit the general public? The 
Air Force considers information as meeting the public interest standard 
if it reveals anything regarding the operations or activities of the 
agency, or performance of its statutory duties.
    (c) Balance the public interest against the individual's probable 
loss of privacy. Do not consider the requester's purpose, circumstances, 
or proposed use.



Sec. 806b.34  Agencies or individuals to whom the Air Force may release privacy information.

    The Air Force may release information without consent to these 
individuals or agencies:
    (a) Agencies outside the Department of Defense for a Routine Use 
published in the Federal Register. The purpose of the disclosure must be 
compatible with the purpose in the Routine Use. When initially 
collecting the information from the subject, the Routine Uses block in 
the Privacy Act Statement must name the agencies and reason.
    (b) The Bureau of the Census to plan or carry out a census or survey 
under 13 U.S.C. 8.
    (c) A recipient for statistical research or reporting. The recipient 
must give advanced written assurance that the information is for 
statistical purposes only.
    Note: No one may use any part of the record to decide on 
individuals' rights, benefits, or entitlements. You must release records 
in a format that makes it impossible to identify the real subjects.
    (d) The Archivist of the United States and the National Archives and 
Records Administration (NARA) to evaluate records for permanent 
retention. Records stored in Federal Records Centers remain under Air 
Force control.
    (e) A federal, state, or local agency (other than the Department of 
Defense) for civil or criminal law enforcement. The head of the agency 
or a designee must send a written request to the system manager 
specifying the record or part needed and the law enforcement purpose. 
The system manager may also disclose a record to a law enforcement 
agency if the agency suspects a criminal violation. This disclosure is a 
Routine Use for all Air Force systems of records and is published in the 
Federal Register.
    (f) An individual or agency that needs the information for 
compelling health or safety reasons. The affected individual need not be 
the record subject.
    (g) The Congress, a congressional committee, or a subcommittee, for 
matters within their jurisdictions.
    (h) A congressional office acting for the record subject. A 
published, blanket Routine Use permits this disclosure. If the material 
for release is sensitive, get a release statement.
    (i) The Comptroller General or an authorized representative of the 
General Accounting Office on business.
    (j) A court order of a court of competent jurisdiction, signed by a 
judge.
    (k) A consumer credit agency according to the Debt Collections Act 
when a published system notice lists this disclosure as a Routine Use.
    (l) A contractor operating a system of records under an Air Force 
contract. Records maintained by the contractor for the management of 
contractor employees are not subject to the Privacy Act.

[[Page 46]]



Sec. 806b.35  Disclosing the medical records of minors.

    Air Force personnel may disclose the medical records of minors to 
their parents or legal guardians. The laws of each state define the age 
of majority.
    (a) The Air Force must obey state laws protecting medical records of 
drug or alcohol abuse treatment, abortion, and birth control. If you 
manage medical records, learn the local laws and coordinate proposed 
local policies with the servicing SJA.
    (b) Outside the United States (overseas), the age of majority is 18. 
Unless parents or guardians have a court order granting access or the 
minor's written consent, they will not have access to minor's medical 
records overseas when the minor sought or consented to treatment between 
the ages of 15 and 17 in a program where regulation or statute provides 
confidentiality of records and he or she asked for confidentiality.



Sec. 806b.36  Disclosure accountings.

    System managers must keep an accurate record of all disclosures made 
from any system of records except disclosures to DoD personnel for 
official use or disclosures under the FOIA. System managers may use AF 
Form 771, `Accounting of Disclosures'.
    (a) System managers may file the accounting record any way they want 
as long as they give it to the subject on request, send corrected or 
disputed information to previous record recipients, explain any 
disclosures, and provide an audit trail for reviews. Include in each 
accounting:
    (1) Release date.
    (2) Description of information.
    (3) Reason for release.
    (4) Name and address of recipient.
    (b) Some exempt systems let you withhold the accounting record from 
the subject.
    (c) You may withhold information about disclosure accountings for 
law enforcement purposes at the law enforcement agency's request.



Sec. 806b.37  Computer matching.

    Computer matching programs electronically compare records from two 
or more automated systems which may include the Department of Defense, 
another federal agency, or a state or other local government. A system 
manager proposing a match that could result in an adverse action against 
a federal employee must meet these requirements of the Privacy Act:
    (a) Prepare a written agreement between participants.
    (1) Secure approval of the Defense Data Integrity Board.
    (2) Publish a matching notice in the Federal Register before 
matching begins.
    (3) Ensure full investigation and due process.
    (4) Act on the information, as necessary.
    (b) The Privacy Act applies to matching programs that use records 
from:
    (1) Federal personnel or payroll systems.
    (2) Federal benefit programs where matching:
    (i) Determines federal benefit eligibility,
    (ii) Checks on compliance with benefit program requirements,
    (iii) Recovers improper payments or delinquent debts from current or 
former beneficiaries.
    (c) Matches used for statistics, pilot programs, law enforcement, 
tax administration, routine administration, background checks and 
foreign counterintelligence, and internal matching that won't cause any 
adverse action are exempt from Privacy Act matching requirements.
    (d) Any activity that expects to participate in a matching program 
must contact SAF/AAIA immediately. System managers must prepare a notice 
for publication in the Federal Register with a Routine Use that allows 
disclosing the information for use in a matching program. Send the 
proposed system notice to SAF/AAIA. Allow 180 days for processing 
requests for a new matching program.
    (e) Record subjects must receive prior notice of a match. The best 
way to do this is to include notice in the Privacy Act Statement on 
forms used in applying for benefits. Coordinate computer matching 
statements on forms with SAF/AAIA through the MAJCOM Privacy Act 
Officer.

[[Page 47]]



                           Subpart J--Training



Sec. 806b.38  Who needs training.

    The Privacy Act requires training for all persons involved in the 
design, development, operation and maintenance of any system of records. 
Some persons may need more specialized training. They include 
information managers, supervisors, and individuals working with medical, 
financial, security, and personnel records.



Sec. 806b.39  Training tools.

    Helpful aids include:
    (a) AFH 37-146 \5\, `Privacy Act Training', a self-paced course.
---------------------------------------------------------------------------

    \5\ See footnote 1 to section 806b.11, of this part.
---------------------------------------------------------------------------

    (b) `The Privacy Act of 1974,' a 32-minute film developed by the 
Defense Privacy Office. Consult your local audiovisual library.
    (c) `A Manager's Overview, What You Need to Know About the Privacy 
Act'. Contact SAF/AAIA for copies.
    Note: Formal school training groups that develop or modify blocks of 
instruction must send the material to SAF/AAIA for coordination.



                    Subpart K--Privacy Act Reporting



Sec. 806b.40  Privacy Act report (RCS: DD-DA&M(A)1379).

    By March 1, of each year, MAJCOM and FOA Privacy Act officers must 
send SAF/AAIA a report covering the previous calendar year. The report 
includes:
    (a) Total number of requests granted in whole.
    (b) Total number of requests granted in part.
    (c) Total number of requests denied and the Privacy Act exemptions 
used.
    (d) Total number of requests for which no record was found.
    (e) Total number of amendment requests granted in whole.
    (f) Total number of amendment requests granted in part.
    (g) Total number of amendment requests wholly denied.
    (h) Specific recommendations for changes to the Act or the Privacy 
Act Program.

    Appendix A to part 806b--Glossary of References, Abbreviations, 
                           Acronyms, and Terms

                          Section A-References

    a. Privacy Act of 1974, as amended, Pub. L. 93-579, 88 Stat 1896 (5 
U.S.C. 552a).
    b. 10 U.S.C 8013, `Secretary of the Air Force: Powers and Duties.'
    c. Executive Order 9397, `Numbering System for Federal Accounts 
Relating to Individual Persons.'
    d. 32 CFR part 806b, `Air Force Privacy Act Program.'
    e. DoD Directive 5400.11 \1\, `Department of Defense Privacy 
Program.'
---------------------------------------------------------------------------

    \1\ Copies may be obtained at cost from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    f. DoD 5400.11-R \2\, `Department of Defense Privacy Program.'
---------------------------------------------------------------------------

    \2\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    g. AFI 33-202 \3\, `The Air Force Computer Security Program' 
(formerly AFR 205-16).
---------------------------------------------------------------------------

    \3\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    h. AFPD 37-1 \4\, `Air Force Information Management.'
---------------------------------------------------------------------------

    \4\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    i. AFI 37-131 \5\, `Air Force Freedom of Information Act Program' 
(formerly AFR 4-33).
---------------------------------------------------------------------------

    \5\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    j. AFI 37-129 \6\, `Base and Unit Personnel Locators and Postal 
Directories' (formerly AFR 11-24).
---------------------------------------------------------------------------

    \6\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    k. AFMAN 37-139 \7\, `Disposition of Records' (formerly AFR 4-20, 
volume 2).
---------------------------------------------------------------------------

    \7\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    l. AFDIR 37-144 \8\, `Air Force Privacy Act Systems of Records 
Notices.'
---------------------------------------------------------------------------

    \8\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

    m. AFH 37-146 \9\, `Privacy Act Training.'
---------------------------------------------------------------------------

    \9\ See footnote 1 to section B, appendix A to part 806b.
---------------------------------------------------------------------------

            Section B-Definitions Abbreviations and Acronyms

    a. AETC - Air Education and Training Command
    b. AFA - Air Force Academy
    c. AFBCMR - Air Force Board for Correction of Military Records
    d. AFISA - Air Force Intelligence Services Agency
    e. AFMC - Air Force Materiel Command
    f. AFOSI - Air Force Office of Special Investigations
    g. AFSC - Air Force Specialty Code

[[Page 48]]

    h. AFSCO - Air Force Security Clearance Office
    i. AFSPA - Air Force Security Police Agency
    j. ASCII - American Standard Code for Information Interchange
    k. BAQ - Basic Allowance for Quarters
    l. CFR - Code of Federal Regulations
    m. DCS - Deputy Chief of Staff
    n. DoD - Department of Defense
    o. DR&MO - Defense Reutilization and Marketing Office
    p. EAD - Entered on Active Duty
    q. FOA - Field Operating Agency
    r. FOIA - Freedom of Information Act
    s. FOUO - For Official Use Only
    t. IG - Inspector General
    u. IMC - Interim Message Change
    v. LE - Logistics and Engineering
    w. MAJCOM - Major Command
    x. MIRS - Management Information and Research System
    y. MP - Military Personnel
    z. MPC - Military Personnel Center
    aa. NARA - National Archives and Records Administration
    bb. OMB - Office of Management and Budget
    cc. OPR - Office of Primary Responsibility
    dd. PA - Privacy Act
    ee. PAM - Privacy Act Monitor
    ff. PAS - Privacy Act Statement
    gg. RCS - Reports Control Symbol
    hh. SAF - Secretary of the Air Force
    ii. SAF/AA - The Administrative Assistant to the Secretary of the 
Air Force
    jj. SAF/AAIA - Policy Division, Directorate of Information 
Management
    kk. SAF/GCA - Assistant General Counsel for Civilian Personnel and 
Fiscal Law
    ll. SG - Surgeon General
    mm. SJA - Staff Judge Advocate
    nn. SP - Security Police
    oo. SSN - Social Security Number
    pp. US - United States
    qq. USAF - United States Air Force
    rr. U.S.C. - United States Code
    ss. VHA - Variable Housing Allowance

                             Section C-Terms

    a. Access. Allowing individuals to review or receive copies of their 
records.
    b. Amendment. The process of adding, deleting, or changing 
information in a system of records to make the data accurate, relevant, 
timely, or complete.
    c. Computer matching. A computerized comparison of two or more 
automated systems of records or a system of records with non-Federal 
records to establish or verify eligibility for payments under Federal 
benefit programs or to recover delinquent debts for these programs.
    d. Confidential source. A person or organization giving information 
under an express or implied promise of confidentiality made before 
September 27, 1975.
    e. Confidentiality. An expressed and recorded promise to withhold 
the identity of a source or the information provided by a source. The 
Air Force promises confidentiality only when the information goes into a 
system with an approved exemption for protecting the identity of 
confidential sources.
    f. Defense Data Integrity Board. Representatives from the Services 
and the Department of Defense who oversee, coordinate, and approve all 
DoD computer matching programs covered by the Act.
    g. Denial authority. The individuals with authority to deny requests 
for access or amendment of records under the Privacy Act.
    h. Disclosure. Giving information from a system, by any means, to 
anyone other than the record subject.
    i. Federal benefit program. A federally funded or administered 
program for individuals that provides cash or in-kind assistance 
(payments, grants, loans, or loan guarantees).
    j. Individual. A living United States citizen or a permanent 
resident alien.
    k. Matching agency. The agency that performs a computer match.
    l. Minor. Anyone under the age of majority according to local state 
law. If there is no applicable state law, a minor is anyone under age 
18. Military members and married persons are not minors, no matter what 
their chronological age.
    m. Personal identifier. A name, number, or symbol which is unique to 
an individual, usually the person's name or SSN.
    n. Personal information. Information about an individual other than 
items of public record.
    o. Privacy Act request. An oral or written request by an individual 
about his or her records in a system of records.
    p. Recipient agency. An agency or contractor that receives the 
records and actually performs the computer match.
    q. Record. Any information about an individual.
    r. Routine use. A disclosure of records to individuals or agencies 
outside the Department of Defense for a use that is compatible with the 
purpose for which the Air Force created the records.
    s. Source agency. A federal, state, or local government agency that 
discloses records for the purpose of a computer match.
    t. System manager. The official who is responsible for managing a 
system of records, including policies and procedures to operate and 
safeguard it. Local system managers operate record systems or are 
responsible for part of a decentralized system.
    u. System of records. A group of records containing personal 
information retrieved by

[[Page 49]]

the subject's name, personal identifier, or individual identifier 
through a cross-reference system.
    v. System notice. The official public notice published in the 
Federal Register of the existence and content of the system of records.

           Appendix B to part 806b--Preparing a System Notice

    The following elements comprise a system of records notice for 
publication in the Federal Register:
    a. System identifier. SAF/AAIA assigns the notice number, for 
example, F011 AFMC A, where `F' indicates `Air Force,' the next number 
represents the series from AFMAN 37-139 regarding records disposition, 
and the final letter group shows the system manager's command or DCS. 
The last character `A' indicates that this is the first notice for this 
series and system manager.
    b. System name. Use a short, specific, plain-language title that 
identifies the system's general purpose (limited to 55 characters).
    c. System location. Specify the address of the primary system and 
any decentralized elements, including automated data systems with a 
central computer facility and input or output terminals at separate 
locations. Use street address, 2-letter state abbreviations and 9-digit 
ZIP Codes. Spell out office names. Do not use office symbols.
    d. Categories of individuals covered by the system. Use 
nontechnical, specific categories of individuals about whom the Air 
Force keeps records. Do not use categories like `all Air Force 
personnel' unless they are actually true.
    e. Categories of records in the system. Describe in clear, 
nontechnical terms, all categories of records in the system. List only 
documents actually kept in the system. Do not show source documents that 
are used to collect data and then destroyed. Do not list form numbers.
    f. Authority for maintenance of the system. Cite the specific law or 
Executive Order that authorizes the program the records support. Cite 
the DoD directive or instruction or the Air Force or other instruction 
that authorizes the system of records. Always include titles with the 
citations.
    Note: Executive Order 9397 authorizes using the Social Security 
Number (SSN). Include this authority whenever the SSN is used to 
retrieve records.
    g. Purpose(s). Describe briefly and specifically what the Air Force 
does with the information collected.
    h. Routine uses of records maintained in the system including 
categories of users and the purpose of such uses. The Blanket Routine 
Uses published in the Air Force Directory of System Notices apply to all 
system notices unless you indicate otherwise. Also list each specific 
agency or activity outside DoD to whom the records may be released and 
the purpose for such release.
    i. Policies and practices for storing, retrieving, accessing, 
retaining, and disposing of records in the system.
    j. Storage. State the medium in which the Air Force keeps the 
records, for example, in file folders, card files, microfiche, computer, 
and so on. Storage does not refer to the storage container.
    k. Retrievability. State how the Air Force retrieves the records, 
for example, by name, SSN, or personal characteristics (such as 
fingerprints or voiceprints).
    l. Safeguards. List the kinds of officials who have immediate access 
to the system. List those responsible for safeguarding the records. 
Identify the system safeguards, for example, storage in safes, vaults, 
locked cabinets or rooms, use of guards, visitor controls, personnel 
screening, computer systems software, and so on. Describe safeguards 
fully without compromising system security.
    m. Retention and disposal. State how long AFMAN 37-139 requires the 
activity to maintain the record. Indicate when or if the records may be 
transferred to a Federal Records Center and how long the record stays 
there. Specify when the Records Center sends the record to the National 
Archives or destroys it. Indicate how the records may be destroyed.
    n. System manager(s) and address. List the title and duty address of 
the system manager. For decentralized systems, show the locations and 
the position or duty title of each category of officials responsible for 
any segment of the system.
    o. Notification procedure. List the title and duty address of the 
official authorized to tell requesters if their records are in the 
system. Specify the information a requester must submit, for example., 
full name, military status, SSN, date of birth, or proof of identity, 
and so on.
    p. Record access procedures. Explain how individuals may arrange to 
access their records. Include the titles or categories of officials who 
may assist, for example, the system manager.
    q. Contesting records procedures. SAF/AAIA provides this standard 
caption.
    r. Record source categories. Show categories of individuals or other 
information sources for the system. Do not list confidential sources 
protected by subsections (k)(2), (k)(5), or (k)(7) of the Act.
    s. Exemptions claimed for the system. When a system has no approved 
exemption, write `none' under this heading. Specifically list any 
approved exemption including the subsection in the Act.

[[Page 50]]

        Appendix C to Part 806b--General and Specific Exemptions

    (a) General exemption. The following systems of records are exempt 
under 5 U.S.C. 552a(j)(2):
    (1) System identifier and name: F124 AF A, Counter Intelligence 
Operations and Collection Records.
    (2) System identifier and name: F124 AF C, Criminal Records.
    (3) System identifier and name: F031 AF SP E, Security Forces 
Management Information System (SFMIS).
    (i) Exemption: Parts of this system may be exempt pursuant to 5 
U.S.C. 552a(j)(2) if the information is compiled and maintained by a 
component of the agency which performs as its principle function any 
activity pertaining to the enforcement of criminal laws. Portions of 
this system of records may be exempt pursuant to 5 U.S.C. 552a(j)(2) 
from the following subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d), 
(e)(1), (e)(2), (e)(3), (e)(4)(G), (H) and (I), (e)(5), (e)(8), (f), and 
(g).
    (ii) Authority: 5 U.S.C. 552a(j)(2).
    (iii) Reasons: (A) To protect ongoing investigations and to protect 
from access criminal investigation information contained in this record 
system, so as not to jeopardize any subsequent judicial or 
administrative process taken as a result of information contained in the 
file.
    (B) From subsection (c)(3) because the release of the disclosure 
accounting, for disclosures pursuant to the routine uses published for 
this system, would permit the subject of a criminal investigation or 
matter under investigation to obtain valuable information concerning the 
nature of that investigation which will present a serious impediment to 
law enforcement.   
    (C) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (D) From subsection (d) because access to the records contained in 
this system would inform the subject of an investigation of the 
existence of that investigation, provide the subject of the 
investigation with information that might enable him to avoid detection, 
and would present a serious impediment to law enforcement.
    (E) From subsection (e)(4)(H) because this system of records is 
exempt from individual access pursuant to subsection (j) of the Privacy 
Act of 1974.
    (F) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (G) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Air Force will grant access to nonexempt 
material in the records being maintained. Disclosure will be governed by 
the Department of the Air Force's Privacy Instruction, but will be 
limited to the extent that the identity of confidential sources will not 
be compromised; subjects of an investigation of an actual or potential 
violation will not be alerted to the investigation; the physical safety 
of witnesses, informants and law enforcement personnel will not be 
endangered, the privacy of third parties will not be violated; and that 
the disclosure would not otherwise impede effective law enforcement. 
Whenever possible, information of the above nature will be deleted from 
the requested documents and the balance made available. The controlling 
principle behind this limited access is to allow disclosures except 
those indicated above. The decisions to release information from these 
systems will be made on a case-by-case basis.
    (4) System identifier and name: F124 AF D, Investigative Support 
Records.
    (5) System identifier and name: F125 AF A, Correction and 
Rehabilitation Records.
    Exemption-Portions of this system that fall within 5 
U.S.C.552a(j)(2) are exempt from the following provisions of 5 U.S.C. 
552a, Sections (c)(3) and (c)(4); (d)(1) through (d)(5); (e)(2) and 
(e)(3); (e)(4)(G) and (e)(4)(H), (e)(5); (f)(1) through (f)(5); (g)(1) 
through (g)(5); and (h) of the Act.
    Authority-5 U.S.C. 552a(j)(2).
    Reason-The general exemption will protect ongoing investigations and 
protect from access criminal investigation information contained in this 
record system so as not to jeopardize any subsequent judicial or 
administrative process taken as a result of information contained in the 
files.
    (6) System identifier and name: F090 AF IG B, Inspector General 
Records.
    (i) Exemption: (A) Parts of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(j)(2) if the information is compiled and 
maintained by a component of the agency which performs as its principle 
function any activity pertaining to the enforcement of criminal laws.
    (B) Any portion of this system of records which falls within the 
provisions of 5 U.S.C. 552a(j)(2) may be exempt from the following 
subsections of 5 U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), 
(e)(4)(G), (H), and (I), (e)(5), (e)(8), (f), and (g).
    (ii) Authority: 5 U.S.C. 552a(j)(2).
    (iii) Reasons: (A) From subsection (c)(3) because the release of 
accounting of disclosure would inform a subject that he or she is under 
investigation. This information would provide considerable advantage to 
the subject in providing him or her with knowledge concerning the nature 
of the investigation and the coordinated investigative efforts and 
techniques employed by the cooperating agencies. This would greatly 
impede the Air Force IG's criminal law enforcement.
    (B) From subsection (c)(4) and (d), because notification would alert 
a subject to the fact that an open investigation on that individual is 
taking place, and might weaken the on-

[[Page 51]]

going investigation, reveal investigative techniques, and place 
confidential informants in jeopardy.
    (C) From subsection (e)(1) because the nature of the criminal and/or 
civil investigative function creates unique problems in prescribing a 
specific parameter in a particular case with respect to what information 
is relevant or necessary. Also, information may be received which may 
relate to a case under the investigative jurisdiction of another agency. 
The maintenance of this information may be necessary to provide leads 
for appropriate law enforcement purposes and to establish patterns of 
activity which may relate to the jurisdiction of other cooperating 
agencies.
    (D) From subsection (e)(2) because collecting information to the 
fullest extent possible directly from the subject individual may or may 
not be practical in a criminal and/or civil investigation.
    (E) From subsection (e)(3) because supplying an individual with a 
form containing a Privacy Act Statement would tend to inhibit 
cooperation by many individuals involved in a criminal and/or civil 
investigation. The effect would be somewhat adverse to established 
investigative methods and techniques.
    (F) From subsections (e)(4)(G), (H), and (I) because this system of 
records is exempt from the access provisions of subsection (d).
    (G) From subsection (e)(5) because the requirement that records be 
maintained with attention to accuracy, relevance, timeliness, and 
completeness would unfairly hamper the investigative process. It is the 
nature of law enforcement for investigations to uncover the commission 
of illegal acts at diverse stages. It is frequently impossible to 
determine initially what information is accurate, relevant, timely, and 
least of all complete. With the passage of time, seemingly irrelevant or 
untimely information may acquire new significance as further 
investigation brings new details to light.
    (H) From subsection (e)(8) because the notice requirements of this 
provision could present a serious impediment to law enforcement by 
revealing investigative techniques, procedures, and existence of 
confidential investigations.
    (I) From subsection (f) because the agency's rules are inapplicable 
to those portions of the system that are exempt and would place the 
burden on the agency of either confirming or denying the existence of a 
record pertaining to a requesting individual might in itself provide an 
answer to that individual relating to an on-going investigation. The 
conduct of a successful investigation leading to the indictment of a 
criminal offender precludes the applicability of established agency 
rules relating to verification of record, disclosure of the record to 
that individual, and record amendment procedures for this record system.
    (J) From subsection (g) because this system of records should be 
exempt to the extent that the civil remedies relate to provisions of 5 
U.S.C. 552a from which this rule exempts the system.
    (iv) Authority: (A) Investigative material compiled for law 
enforcement purposes, other than material within the scope of subsection 
5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). 
However, if an individual is denied any right, privilege, or benefit for 
which he would otherwise be entitled by Federal law or for which he 
would otherwise be eligible, as a result of the maintenance of the 
information, the individual will be provided access to the information 
exempt to the extent that disclosure would reveal the identify of a 
confidential source.
    Note: When claimed, this exemption allows limited protection of 
investigative reports maintained in a system of records used in 
personnel or administrative actions.
    (B) Therefore, portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(k)(2) from the following subsections of 5 
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
    (v) Reasons: (A) From subsection (c)(3) because to grant access to 
the accounting for each disclosure as required by the Privacy Act, 
including the date, nature, and purpose of each disclosure and the 
identity of the recipient, could alert the subject to the existence of 
the investigation. This could seriously compromise case preparation by 
prematurely revealing its existence and nature; compromise or interfere 
with witnesses or make witnesses reluctant to cooperate; and lead to 
suppression, alteration, or destruction of evidence.
    (B) From subsections (d) and (f) because providing access to 
investigative records and the right to contest the contents of those 
records and force changes to be made to the information contained 
therein would seriously interfere with and thwart the orderly and 
unbiased conduct of the investigation and impede case preparation. 
Providing access rights normally afforded under the Privacy Act would 
provide the subject with valuable information that would allow 
interference with or compromise of witnesses or render witnesses 
reluctant to cooperate; lead to suppression, alteration, or destruction 
of evidence; enable individuals to conceal their wrongdoing or mislead 
the course of the investigation; and result in the secreting of or other 
disposition of assets that would make them difficult or impossible to 
reach in order to satisfy any Government claim growing out of the 
investigation or proceeding.
    (C) From subsection (e)(1) because it is not always possible to 
detect the relevance or necessity of each piece of information in the

[[Page 52]]

early stages of an investigation. In some cases, it is only after the 
information is evaluated in light of other evidence that its relevance 
and necessity will be clear.
    (D) From subsections (e)(4)(G) and (H) because this system of 
records is compiled for investigative purposes and is exempt from the 
access provisions of subsections (d) and (f).
    (E) From subsection (e)(4)(I) because to the extent that this 
provision is construed to require more detailed disclosure than the 
broad, generic information currently published in the system notice, an 
exemption from this provision is necessary to protect the 
confidentiality of sources of information and to protect privacy and 
physical safety of witnesses and informants.
    (F) Consistent with the legislative purpose of the Privacy Act of 
1974, the AF will grant access to nonexempt material in the records 
being maintained. Disclosure will be governed by AF's Privacy 
Regulation, but will be limited to the extent that the identity of 
confidential sources will not be compromised; subjects of an 
investigation of an actual or potential criminal or civil violation will 
not be alerted to the investigation; the physical safety of witnesses, 
informants and law enforcement personnel will not be endangered, the 
privacy of third parties will not be violated; and that the disclosure 
would not otherwise impede effective law enforcement. Whenever possible, 
information of the above nature will be deleted from the requested 
documents and the balance made available. The controlling principle 
behind this limited access is to allow disclosures except those 
indicated above. The decisions to release information from these systems 
will be made on a case-by-case basis.
    (b) Specific exemptions. The following systems of records are 
subject to the specific exemptions shown:
    (1) Classified records.
    (i) All records in any systems of records that are properly 
classified according to Executive Orders 11652, 12065 or 12958, are 
exempt from 5 U.S.C. 552a(c)(3); (d); (e)(4)(G), (H), and (I); and (f), 
regardless of whether the entire system is otherwise exempt or not.
    (ii) Authority. 5 U.S.C. 552a(k)(1).
    (2) System identifier and name: F053 AFA C, Admissions and Registrar 
Records.
    (i) Exemption. Parts of this system of records (Liaison Officer 
Evaluation and Selection Panel Candidate Evaluation) are exempt from 5 
U.S.C. 552a(d), (e)(4)(H), and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To ensure the frankness of information used to 
determine whether cadets are qualified for graduation and commissioning 
as officers in the Air Force.
    (3) System identifier and name: F035 MPC R, Air Force Personnel Test 
851, Test Answer Cards.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f).
    (ii) Authority. 5 U.S.C. 552a(k)(6).
    (iii) Reasons. To protect the objectivity of the promotion testing 
system by keeping the test questions and answers in confidence.
    (4) System identifier and name: F035 AFA A, Cadet Personnel 
Management System.
    (i) Exemption. Parts of this system are exempt from 5 U.S.C. 
552a(d), (e)(4)(H), and (f), but only insofar as disclosure would reveal 
the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To maintain the candor and integrity of comments 
needed to evaluate an Air Force Academy cadet for commissioning in the 
Air Force.
    (5) System identifier and name: F045 AETC C, Cadet Records.
    (i) Exemption. Portions of this system (Detachment Professional 
Officer Course (POC) Selection Rating Sheets; Air Force Reserve Officer 
Training Corps (AFROTC) Form 0-24-Disenrollment Review; Memoranda for 
Record and Staff Papers with Staff Advice, Opinions, or Suggestions) are 
exempt from 5 U.S.C. 552a(c)(3); (d); (e)(4)(G) and (H), and (f), but 
only to the extent that disclosure would reveal the identity of a 
confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of a confidential source who 
furnishes information necessary to make determinations about the 
qualifications, eligibility, and suitability of cadets for graduation 
and commissioning in the Air Force.
    (6) System identifier and name: F44 AF SG Q, Family Advocacy Program 
Records.
    (i) Exemption: (A) Investigative material compiled for law 
enforcement purposes, other than material within the scope of subsection 
5 U.S.C. 552a(j)(2), may be exempt pursuant to 5 U.S.C. 552a(k)(2). 
However, if an individual is denied any right, privilege, or benefit for 
which he would otherwise be entitled by Federal law or for which he 
would otherwise be eligible, as a result of the maintenance of the 
information, the individual will be provided access to the information 
exempt to the extent that disclosure would reveal the identify of a 
confidential source. NOTE: When claimed, this exemption allows limited 
protection of investigative reports maintained in a system of records 
used in personnel or administrative actions.
    (B) Investigative material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information may be exempt pursuant to 5 U.S.C. 552a(k)(5), 
but only to the extent that such

[[Page 53]]

material would reveal the identity of a confidential source.
    (C) Therefore, portions of the system of records may be exempt 
pursuant to 5 U.S.C. 552a(c)(3) and (d), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority: 5 U.S.C. 552a(k)(2) and (k)(5).
    (iii) Reasons: From subsections (c)(3) and (d) because the exemption 
is needed to encourage those who know of exceptional medical or 
educational conditions or family maltreatments to come forward by 
protecting their identities 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. Granting individuals access to information relating to 
criminal and civil law enforcement, as well as the release of certain 
disclosure accounting, could interfere with ongoing 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 and their children. Exempted portions of this system 
also contain information considered relevant and necessary to make a 
determination as to qualifications, eligibility, or suitability for 
Federal employment and Federal contracts, and that was obtained by 
providing an express or implied promise to the source that his or her 
identity would not be revealed to the subject of the record.
    (7) System identifier and name: F035 AF MP A, Effectiveness/
Performance Reporting System.
    (i) Exemptions-Brigadier General Selectee Effectiveness Reports and 
Colonel and Lieutenant Colonel Promotion Recommendations with close out 
dates on or before January 31, 1991, may be exempt from subsections of 5 
U.S.C. 552a(c)(3); (d); (e)(4)(H); and (f).
    (ii) Authority-5 U.S.C. 552a(k)(7).
    (iii) Reasons-Subsection (c)(3) because making the disclosure 
accounting available to the individual may compromise express promises 
of confidentiality by revealing details about the report and identify 
other record sources, which may result in circumvention of the access 
exemption.
    Subsection (d) because individual disclosure compromises express 
promises of confidentiality conferred to protect the integrity of the 
promotion rating system.
    Subsection (e)(4)(H) because of and to the extent that portions of 
this record system are exempt from the individual access provisions of 
subsection (d).
    Subsection (f) because of and to the extent that portions of this 
record system are exempt from the individual access provisions of 
subsection (d).
    (8) [Reserved]
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f).
    (ii) Authority. 5 U.S.C. 552a(k)(2).
    (iii) Reasons. To enforce civil laws, court orders, and the 
activities of the Departments of Housing and Urban Development and 
Justice.
    (9) System identifier and name: F035 AP A, Files on General Officers 
and Colonels Assigned to General Officer Positions.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4)(G), (H), and (I); and (f), but only to the extent that disclosure 
would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To protect the integrity of information used in the 
Reserve Initial Brigadier General Screening Board, the release of which 
would compromise the selection process.
    (10) System identification and name: F035 AF MP P, General Officer 
Personnel Data System.
    (i) Exemption- Air Force General Officer Promotion and Effectiveness 
Reports with close out dates on or before January 31, 1991, may be 
exempt from subsections of 5 U.S.C. 552a(c)(3); (d); (e)(4)(H); and (f).
    (ii) Authority-5 U.S.C. 552a(k)(7).
    (iii) Reason-Subsection (c)(3) because making the disclosure 
accounting available to the individual may compromise express promises 
of confidentiality by revealing details about the report and identify 
other record sources, which may result in circumvention of the access 
exemption.
    Subsection (d) because individual disclosure compromises express 
promises of confidentiality conferred to protect the integrity of the 
promotion rating system.
    Subsection (e)(4)(H) because of and to the extent that portions of 
this record system are exempt from the individual access provisions of 
subsection (d).
    Subsection (f) because of and to the extent that portions of this 
record system are exempt from the individual access provisions of 
subsection (d).
    (11) System identifier and name: F035 MPC L, Historical Airman 
Promotion Master Test File.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f).
    (ii) Authority. 5 U.S.C. 552a(k)(6).
    (iii) Reasons. To protect the integrity, objectivity, and equity of 
the promotion testing system by keeping test questions and answers in 
confidence.
    (12) [Reserved]

[[Page 54]]

    (13) System identifier and name: F124 AFOSI B, Investigative 
Applicant Processing Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect those who gave information in confidence 
during Air Force Office of Special Investigations (AFOSI) applicant 
inquiries. Fear of harassment could cause sources not to make frank and 
open responses about applicant qualifications. This could compromise the 
integrity of the AFOSI personnel program that relies on selecting only 
qualified people.
    (14) System identifier and name: F035 AFB B, Master Cadet Personnel 
Record (Active/Historical).
    (i) Exemptions. Parts of these systems are exempt from 5 U.S.C. 
552a(d), (e)(4)(H), and (f), but only to the extent that they would 
reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(7).
    (iii) Reasons. To maintain the candor and integrity of comments 
needed to evaluate a cadet for commissioning in the Air Force.
    (15) System identifier and name: F205 AFISA A, Sensitive 
Compartmented Information Personnel Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(a)(3); (d); 
(e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(2) and (k)(5).
    (iii) Reasons. To protect the identity of sources to whom proper 
promises of confidentiality have been made during investigations. 
Without these promises, sources will often be unwilling to provide 
information essential in adjudicating access in a fair and impartial 
manner.
    (16) F124 AFA, Security and Related Investigative Records.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of those who give information 
in confidence for personnel security and related investigations. Fear of 
harassment could cause sources to refuse to give this information in the 
frank and open way needed to pinpoint those areas in an investigation 
that should be expanded to resolve charges of questionable conduct.
    (17) System identifier and name: F205 AFSCO A, Special Security Case 
Files.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d), 
(e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (iii) Reasons. To protect the identity of those who give information 
in confidence for personnel security and related investigations. Fear of 
harassment could cause sources to refuse to give this information in the 
frank and open way needed to pinpoint those areas in an investigation 
that should be expanded to resolve charges of questionable conduct.

    (18) System identifier and name: F205 AF SP A, Special Security 
Files.
    (i) Exemption. This system is exempt from 5 U.S.C. 552a(c)(3); (d); 
(e)(4) (G), (H), and (I); and (f), but only to the extent that 
disclosure would reveal the identity of a confidential source.
    (ii) Authority. 5 U.S.C. 552a(k)(5).
    (ii) Reasons. To protect the identity of those who give information 
in confidence for personnel security and related investigations. Fear of 
harassment could cause them to refuse to give this information in the 
frank and open way needed to pinpoint areas in an investigation that 
should be expanded to resolve charges of questionable conduct.

    (19) System identifier and name: F035 AF MP R, Applications for 
Appointment and Extended Active Duty Files.
    (i) Exemption. Parts of this system of records are exempt from 5 
U.S.C. 552a(d), but only to the extent that disclosure would reveal the 
identity of a confidential source.
    (ii) Authority.5 U.S.C. 552a(k)(5).
    (iii)Reasons. To protect the identity of confidential sources who 
furnish information necessary to make determinations about the 
qualifications, eligibility, and suitability of health care 
professionals who apply for Reserve of the Air Force appointment or 
interservice transfer to the Air Force.
    (20) System identifier and name: F111 AF JA B, Courts-Martial and 
Article 15 Records.
    (i) Exemption. Portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(j)(2) from the following subsection of 5 
U.S.C. 552a(c)(3), (c)(4), (d), (e)(1), (e)(2), (e)(3), (e)(4)(G), (H) 
and (I), (e)(5), (e)(8), (f), and (g).
    (ii) Exemption. Portions of this system of records may be exempt 
pursuant to 5 U.S.C. 552a(k)(2) from the following subsection of 5 
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f).
    (iii) Authority: 5 U.S.C. 552a(j)(2) and (k)(2).
    (iv) Reason: (1) From subsection (c)(3) because the release of the 
disclosure accounting, for disclosures pursuant to the routine uses 
published for this system, would permit the subject of a criminal 
investigation or matter under investigation to obtain valuable 
information concerning the nature of that investigation which will 
present a serious impediment to law enforcement.

[[Page 55]]

    (2) From subsection (c)(4) because an exemption is being claimed for 
subsection (d), this subsection will not be applicable.
    (3) From subsection (d) because access to the records contained in 
this system would inform the subject of a criminal investigation of the 
existence of that investigation, provide the subject of the 
investigation with information that might enable him to avoid detection 
or apprehension, and would present a serious impediment to law 
enforcement.
    (4) From subsection (e)(1) because in the course of criminal 
investigations information is often obtained concerning the violation of 
laws or civil obligations of others not relating to an active case or 
matter. In the interests of effective law enforcement, it is necessary 
that this information be retained since it can aid in establishing 
patterns of activity and provide valuable leads for other agencies and 
future cases that may be brought.
    (5) From subsection (e)(2) because in a criminal investigation the 
requirement that information be collected to the greatest extent 
possible from the subject individual would present a serious impediment 
to law enforcement in that the subject of the investigation would be 
placed on notice of the existence of the investigation and would 
therefore be able to avoid detection.
    (6) From subsection (e)(3) because the requirement that individuals 
supplying information be provided with a form stating the requirements 
of subsection (e)(3) would constitute a serious impediment to law 
enforcement in that it could compromise the existence of a confidential 
investigation, reveal the identity of confidential sources of 
information and endanger the life and physical safety of confidential 
informants.
    (7) From subsections (e)(4)(G) and (H) because this system of 
records is exempt from individual access pursuant to subsections (j) and 
(k) of the Privacy Act of 1974.
    (8) From subsection (e)(4)(I) because the identity of specific 
sources must be withheld in order to protect the confidentiality of the 
sources of criminal and other law enforcement information. This 
exemption is further necessary to protect the privacy and physical 
safety of witnesses and informants.
    (9) From subsection (e)(5) because in the collection of information 
for law enforcement purposes it is impossible to determine in advance 
what information is 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 and the accuracy of such information can only be determined in a 
court of law. The restrictions of subsection (e)(5) would restrict the 
ability of trained investigators and intelligence analysts to exercise 
their judgment in reporting on investigations and impede the development 
of intelligence necessary for effective law enforcement.
    (10) From subsection (e)(8) because the individual notice 
requirements of subsection (e)(8) could present a serious impediment to 
law enforcement as this could interfere with the ability to issue search 
authorizations and could reveal investigative techniques and procedures.
    (11) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (12) From subsection (g) because this system of records is compiled 
for law enforcement purposes and has been exempted from the access 
provisions of subsections (d) and (f).
    (13) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Air Force will grant access to nonexempt 
material in the records being maintained. Disclosure will be governed by 
the Department of the Air Force's Privacy Regulation, but will be 
limited to the extent that the identity of confidential sources will not 
be compromised; subjects of an investigation of an actual or potential 
criminal violation will not be alerted to the investigation; the 
physical safety of witnesses, informants and law enforcement personnel 
will not be endangered, the privacy of third parties will not be 
violated; and that the disclosure would not otherwise impede effective 
law enforcement. Whenever possible, information of the above nature will 
be deleted from the requested documents and the balance made available. 
The controlling principle behind this limited access is to allow 
disclosures except those indicated above. The decisions to release 
information from these systems will be made on a case-by-case basis.
    (21) System identifier and name: F036 AF DP G, Military Equal 
Opportunity and Treatment.
    (i) Exemption: Investigatory material compiled for law enforcement 
purposes may be exempt pursuant to 5 U.S.C. 552a(k)(2). However, if an 
individual is denied any right, privilege, or benefit for which he would 
otherwise be entitled by Federal law or for which he would otherwise be 
eligible, as a result of the maintenance of the information, the 
individual will be provided access to the information except to the 
extent that disclosure would reveal the identity of a confidential 
source. Portions of this system of records may be exempt pursuant to 5 
U.S.C. 552a(d), (e)(4)(H), and (f).
    (iii) Authority: 5 U.S.C. 552a(k)(2)
    (iv) Reasons: (1) From subsection (d) because access to the records 
contained in this system would inform the subject of an investigation of 
the existence of that investigation, provide the subject of the 
investigation with information that might enable him to avoid detection, 
and would present a serious impediment to law enforcement. In addition,

[[Page 56]]

granting individuals access to information collected while an Equal 
Opportunity and Treatment clarification/investigation is in progress 
conflicts with the just, thorough, and timely completion of the 
complaint, and could possibly enable individuals to interfere, obstruct, 
or mislead those clarifying/investigating the complaint.
    (2) From subsection (e)(4)(H) because this system of records is 
exempt from individual access pursuant to subsection (k) of the Privacy 
Act of 1974.
    (3) From subsection (f) because this system of records has been 
exempted from the access provisions of subsection (d).
    (4) Consistent with the legislative purpose of the Privacy Act of 
1974, the Department of the Air Force will grant access to nonexempt 
material in the records being maintained. Disclosure will be governed by 
the Department of the Air Force's Privacy Instruction, but will be 
limited to the extent that the identity of confidential sources will not 
be compromised; subjects of an investigation of an actual or potential 
violation will not be alerted to the investigation; the physical safety 
of witnesses, informants and law enforcement personnel will not be 
endangered, the privacy of third parties will not be violated; and that 
the disclosure would not otherwise impede effective law enforcement. 
Whenever possible, information of the above nature will be deleted from 
the requested documents and the balance made available. The controlling 
principle behind this limited access is to allow disclosures except 
those indicated above. The decisions to release information from this 
system will be made on a case-by-case basis.

[59 FR 53099, Oct. 21, 1994, as amended at 60 FR 36224, July 14, 1995; 
61 FR 2917, Jan. 30, 1996; 61 FR 17070, Apr. 9, 1997; 64 FR 72032, Dec. 
23, 1999; 66 FR 54930, Oct. 31, 2001; 67 FR 17619, Apr. 11, 2002]



PART 807--SALE TO THE PUBLIC--Table of Contents




Sec.
807.1  General requirements.
807.2  Charges for publications and forms.
807.3  Requests for classified material, For Official Use Only material, 
          accountable forms, storage safeguard forms, Limited (L) 
          distribution items, and items with restrictive distribution 
          caveats.
807.4  Availability and nonavailability of stock.
807.5  Processing requests.
807.6  Depositing payments.

    Authority: 10 U.S.C. 8013.

    Source: 55 FR 36631, Sept. 6, 1990, unless otherwise noted.



Sec. 807.1  General requirements.

    (a) Unaltered Air Force publications and forms will be made 
available to the public with or without charge, subject to the 
requirements of this part. Base Chiefs of Information Management will 
set up procedures to meet these needs and will make available Master 
Publications Libraries for public use according to AFR 4-61. They will 
also advise requesters that these libraries are available, since in many 
cases this will satisfy their needs and reduce workloads in processing 
sales requests. If the item is on sale by the Superintendent of 
Documents, GPO, refer the request to that outlet. Refer general public 
requests for Air Force administrative publications and forms to the 
National Technical Information Service (NTIS), Defense Publication 
Section, US Department of Commerce, 4285 Port Royal Road, Springfield, 
VA 22161-0001.
    (b) The Air Force does not consider these unaltered publications and 
forms as records, within the meaning of the Freedom of Information Act 
(FOIA), as outlined in 5 U.S.C. 552 and implemented by part 806 of this 
chapter. Refer requests that invoke the FOIA to the chief, base 
information management, for processing.
    (c) Units will process requests under the Foreign Military Sales 
Program (FMS) as specified in AFR 4-71, chapter 11.
    (d) Units will send requests from foreign governments, their 
representatives, or international organizations to the MAJCOM foreign 
disclosure policy office and to HQ USAF/CVAII, Washington DC 20330-5000. 
Also send information copies of such requests to the base public affairs 
office. Commands will supplement this requirement to include policies 
pertaining to those items for which they have authority to release.
    (e) Units will return a request for non-Air Force items to the 
requester for submission to appropriate agency.



Sec. 807.2  Charges for publications and forms.

    (a) The Air Force applies charges to all requests unless 
specifically excluded.

[[Page 57]]

    (b) The Air Force applies charges according to part 813, Schedule of 
Fees for Copying, Certifying, and Searching Records and Other 
Documentary Material. Additional guidance is in part 812, User Charges, 
including specific exclusion from charges as listed in Sec. 812.5. As 
indicated, the list of exclusions is not all inclusive and 
recommendations for additional exclusions are sent to the office of 
primary responsibility for part 812 of this chapter.
    (c) When a contractor requires publications and forms to perform a 
contract, the Air Force furnishes them without charge, if the government 
contracting officer approves these requirements.



Sec. 807.3  Requests for classified material, For Official Use Only material, accountable forms, storage safeguard forms, Limited (L) distribution items, and 
          items with restrictive distribution caveats.

    (a) Classified material. The unit receiving the requests should tell 
the requester that the Air Force cannot authorize the material for 
release because it is currently and properly classified in the interest 
of national security as authority by Executive Order, and must be 
protected from unauthorized disclosure.
    (b) For Official Use Only (FOUO) material. The office of primary 
responsibility for the material will review these requests to determine 
the material's releasability.
    (c) Accountable forms. The unit receiving the request will return it 
to the requester stating that the Air Force stringently controls these 
forms and cannot release them to unauthorized personnel since their 
misuse could jeopardize Department of Defense security or could result 
in fraudulent financial gain or claims against the government.
    (d) Storage safeguard forms. The unit receiving these requests 
returns them to the requesters stating that the Air Force specially 
controls these forms and that they are not releasable outside the 
Department of Defense since they could be put to unauthorized or 
fraudulent use.
    (e) Limited (L) distribution items are not releasable outside the 
Department of Defense without special review according to AFR 700-6. 
Units receiving these requests should refer them to the SCS manager 
shown in the index or on the cover of the publications. Advise the 
requesters of the referral.
    (f) Items with restrictive distribution caveats. Some publications 
have restrictive distribution caveats on the cover. Follow the 
instructions stated and advise the requesters of the referral.



Sec. 807.4  Availability and nonavailability of stock.

    (a) Limit quantities furnished so that stock levels required for 
operational Air Force support are not jeopardized.
    (b) If the item is not available from publishing distribution office 
(PDO) stock, obtain it from the Air Force Publishing Distribution 
Center. If the item is under revision, advise the requester that it is 
being revised and that no stock is available.
    (c) If stocks are not available and the item is being reprinted, 
advise the requester that stocks are expected to be available in 90 
calendar days and to resubmit at that time.



Sec. 807.5  Processing requests.

    Payment is required before shipping the requested material. Payment 
must be by check or money order.
    (a) Upon receipt of the request, determine the cost involved and 
request the material.
    (b) Upon receipt of the item, advise the requester to resubmit the 
required payment and send the material after payment is received.
    (c) If the material cannot be obtained, advise the requester of the 
reason.



Sec. 807.6  Depositing payments.

    Obtain instructions from the local Accounting and Finance Office 
regarding how checks or money orders must be prepared and required 
procedures for depositing them.



PART 809a--INSTALLATION ENTRY POLICY, CIVIL DISTURBANCE INTERVENTION AND DISASTER ASSISTANCE--Table of Contents




Sec.
809a.0  Purpose.

[[Page 58]]

                  Subpart A--Installation Entry Policy

809a.1  Random installation entry point checks.
809a.2  Military responsibility and authority.
809a.3  Unauthorized entry.
809a.4  Use of Government facilities.
809a.5  Barment procedures.

    Subpart B--Civil Disturbance Intervention and Disaster Assistance

809a.6  Authority.
809a.7  Definitions.
809a.8  Installation policies and laws.
809a.9  Conditions for use of Air Force resources.
809a.10  Military commanders' responsibilities.
809a.11  Procedures outside the United States.

    Authority: 10 U.S.C. 332 and 333.

    Source: 67 FR 13718, Mar. 26, 2002, unless otherwise noted.



Sec. 809a.0  Purpose.

    This part prescribes the commanders' authority for enforcing order 
within or near Air Force installations under their jurisdiction and 
controlling entry to those installations. It provides guidance for use 
of military personnel in controlling civil disturbances and in 
supporting disaster relief operations. This part applies to 
installations in the United States, its territories and possessions, and 
will be used to the maximum extent possible in the overseas commands. 
Instructions issued by the appropriate overseas commander, status of 
forces agreements, and other international agreements provide more 
definitive guidance for the overseas commands. Nothing in this part 
should be construed as authorizing or requiring security forces units to 
collect and maintain information concerning persons or organizations 
having no affiliation with the Air Force other than a list of persons 
barred from the installation.



                  Subpart A--Installation Entry Policy



Sec. 809a.1  Random installation entry point checks.

    The installation commander determines when, where, and how to 
implement random checks of vehicles or pedestrians. The commander 
conducts random checks to protect the security of the command or to 
protect government property.



Sec. 809a.2  Military responsibility and authority.

    (a) Air Force installation commanders are responsible for protecting 
personnel and property under their jurisdiction and for maintaining 
order on installations, to ensure the uninterrupted and successful 
accomplishment of the Air Force mission.
    (b) Each commander is authorized to grant or deny access to their 
installations, and to exclude or remove persons whose presence is 
unauthorized. In excluding or removing persons from the installation, 
the installation commander must not act in an arbitrary or capricious 
manner. Their action must be reasonable in relation to their 
responsibility to protect and to preserve order on the installation and 
to safeguard persons and property thereon. As far as practicable, they 
should prescribe by regulation the rules and conditions governing access 
to their installation.



Sec. 809a.3  Unauthorized entry.

    Under Section 21 of the Internal Security Act of 1950 (50 U.S.C. 
797), any directive issued by the commander of a military installation 
or facility, which includes the parameters for authorized entry to or 
exit from a military installation, is legally enforceable against all 
persons whether or not those persons are subject to the Uniformed Code 
of Military Justice (UCMJ). Military personnel who reenter an 
installation after having been properly ordered not to do so may be 
apprehended. Civilian violators may be detained and either escorted off 
the installation or turned over to proper civilian authorities. Civilian 
violators may be prosecuted under 18 U.S.C. 1382.



Sec. 809a.4  Use of Government facilities.

    Commanders are prohibited from authorizing demonstrations for 
partisan political purposes. Demonstrations on any Air Force 
installation for other than political purposes may only occur with the 
prior approval of the installation commander. Demonstrations that

[[Page 59]]

could result in interference with, or prevention of, the orderly 
accomplishment of the mission of an installation or that present a clear 
danger to loyalty, discipline or morale of members of the Armed Forces 
will not be approved.



Sec. 809a.5  Barment procedures.

    Under the authority of 50 U.S.C. 797, installation commanders may 
deny access to the installation through the use of a barment order. 
Barment orders should be in writing but may also be oral. Security 
forces maintain a list of personnel barred from the installation.



    Subpart B--Civil Disturbance Intervention and Disaster Assistance



Sec. 809a.6  Authority.

    The authority to intervene during civil disturbances and to provide 
disaster assistance is bound by directives issued by competent 
authorities. States must request federal military intervention or aid 
directly from the President of the United States by the state's 
legislature or executive. Installation commanders must immediately 
report these requests in accordance with AFI 10-802, Military Support to 
Civil Authorities (Available from National Technical Information 
Service, 5285 Port Royal Road, Springfield, VA 22161.).



Sec. 809a.7  Definitions.

    The following definitions apply to this part:
    (a) Emergencies. These are conditions which affect public welfare 
and occur as a result of enemy attack, insurrection, civil disturbances, 
earthquake, fire, flood, or other public disasters which endanger life 
and property or disrupt the usual process of government. The term 
``emergency'' includes any or all of the conditions explained in this 
section.
    (b) Civil defense emergency. This is a disaster situation resulting 
from devastation created by an enemy attack and requiring emergency 
operations during and following attack. It may also be proclaimed by 
appropriate authority in anticipation of an attack.
    (c) Civil disturbances. These are group acts of violence or disorder 
prejudicial to public law and order including those which follow a major 
disaster. They include riots, acts of violence, insurrections, unlawful 
obstructions or assemblages, or other disorders.
    (d) Major disaster. Any flood, fire, hurricane, or other catastrophe 
which, in the determination of the President, is or threatens to be of 
sufficient severity and magnitude to warrant disaster assistance by the 
Federal Government to supplement the efforts and available resources of 
the State and local governments in alleviating the damage, hardship, or 
suffering caused thereby.



Sec. 809a.8  Installation policies and laws.

    This subpart contains policies on the use of Air Force military 
personnel in civil disturbances and disasters. The more important laws 
concerning military aid to civil authorities are also summarized.
    (a) The Air Force gives military assistance to civil authorities in 
civil defense or civil disturbances and disasters only when such 
assistance is requested or directed. Commanders will not undertake such 
assistance without authority, unless the overruling demands of humanity 
compel immediate action to protect life and property and to restore 
order.
    (b) The military service having available resources nearest the 
affected area is responsible for providing initial assistance to civil 
authorities in emergencies. Subsequent operations are to be according to 
the mutual agreement between the senior service commanders concerned.
    (c) The protection of life and property and the maintenance of law 
and order within the territorial jurisdiction of any State is the 
primary responsibility of State and local authorities. It is well-
established U.S. Government policy that intervention with military 
forces takes place only after State and local authorities have used 
their own forces and are unable to control the situation, or when they 
do not take appropriate action.

[[Page 60]]



Sec. 809a.9  Conditions for use of Air Force resources.

    This part is not intended to extend Air Force responsibilities in 
emergencies to generate additional resources (manpower, materiel, 
facilities, etc.) requirements, or encourage participation in such 
operations at the expense of the Air Force primary mission. It is a 
guide for the employment of Air Force resources when:
    (a) A disaster or disturbance occurs in areas in which the U.S. Air 
Force is the executive agent of the United States.
    (b) A disaster or disturbance occurs in areas that are remote from 
an Army installation but near an Air Force installation, thereby 
necessitating Air Force assumption of responsibility pending arrival of 
Army personnel.
    (c) The overriding demand of conditions resulting from a natural 
disaster compels immediate action to protect life and property and to 
restore order.



Sec. 809a.10  Military commanders' responsibilities.

    (a) Civilians in the affected area will be informed of the rules of 
conduct and other restrictive measures to be enforced by the military. 
These will be announced by local proclamation or order, and will be 
given the widest publicity by all available media.
    (b) Persons not normally subject to military law, who are taken into 
custody by military forces incident to civil disturbances, will be 
turned over to the civil authorities as soon as possible.
    (c) Military forces will ordinarily exercise police powers 
previously inoperative in an affected area; restore and maintain order; 
maintain essential transportation and communication; and provide 
necessary relief measures.
    (d) U.S. Air Force civilian employees may be used, in any 
assignments in which they are capable and willing to serve. In planning 
for on-base contingencies of fires, floods, hurricanes, and other 
natural disasters, arrangements should be made for the identification 
and voluntary use of individual employees to the extent that the needs 
for their services are anticipated.



Sec. 809a.11  Procedures outside the United States.

    It is Air Force policy to make every reasonable effort to avoid any 
confrontation between United States military forces and host nation 
demonstrators or other dissidents posing a threat to Air Force 
resources. Intervention by United States military personnel outside the 
United States is governed by international law, bilateral and other 
international agreements to which the United States is a party, and 
host-nation laws. Local plans to counter such situations must include 
provisions to request and obtain host nation civil or military support 
as quickly as possible.

[[Page 61]]



                    SUBCHAPTER B--SALES AND SERVICES





PART 811--RELEASE, DISSEMINATION, AND SALE OF VISUAL INFORMATION MATERIALS--Table of Contents




Sec.
811.1  Exceptions.
811.2  Release of visual information materials.
811.3  Official requests for visual information productions or 
          materials.
811.4  Selling visual information materials.
811.5  Customers exempt from fees.
811.6  Visual information product/material loans.
811.7  Collecting and controlling fees.
811.8  Forms prescribed and availability of publications.

    Authority: 10 U.S.C. 8013.

    Source: 65 FR 64619, Oct. 30, 2000, unless otherwise noted.



Sec. 811.1  Exceptions.

    The regulations in this part do not apply to:
    (a) Visual information (VI) materials made for the Air Force Office 
of Special Investigations for use in an investigation or a 
counterintelligence report. (See Air Force Instruction (AFI) 90-301, The 
Inspector General Complaints, which describes who may use these 
materials.)
    (b) VI materials made during Air Force investigations of aircraft or 
missile mishaps according to AFI 91-204, Safety Investigations and 
Reports. (See AFI 90-301.)



Sec. 811.2  Release of visual information materials.

    (a) Only the Secretary of the Air Force for Public Affairs (SAF/PA) 
clears and releases Air Force materials for use outside Department of 
Defense (DoD), according to AFI 35-205, Air Force Security and Policy 
Review Program.
    (b) The Secretary of the Air Force for Legislative Liaison (SAF/LL) 
arranges the release of VI material through SAF/PA when a member of 
Congress asks for them for official use.
    (c) The International Affairs Division (HQ USAF/CVAII) or, in some 
cases, the major command (MAJCOM) Foreign Disclosure Office, must 
authorize release of classified and unclassified materials to foreign 
governments and international organizations or their representatives.



Sec. 811.3  Official requests for visual information productions or materials.

    (a) Send official Air Force requests for productions or materials 
from the DoD Central Records Centers by letter or message. Include:
    (1) Descriptions of the images needed, including media format, 
dates, etc.
    (2) Visual information record identification number (VIRIN), 
production, or Research, development, test, and evaluation (RDT&E) 
identification numbers, if known.
    (3) Intended use and purpose of the material.
    (4) The date needed and a statement of why products are needed on a 
specific date.
    (b) Send inquiries about motion picture or television materials to 
the Defense Visual Information Center (DVIC), 1363 Z Street, Building 
2730, March ARB, CA 92518-2703.
    (c) Send Air Force customer inquiries about still photographic 
materials to 11 CS/SCUA, Bolling AFB, Washington, DC 20332-0403 (the Air 
Force accessioning point).
    (d) Send non-Air Force customers' inquiries about still photographic 
materials to the DVIC.



Sec. 811.4  Selling visual information materials.

    (a) Air Force VI activities cannot sell materials.
    (b) HQ AFCIC/ITSM may approve the loan of copies of original 
materials for federal government use.
    (c) Send requests to buy:
    (1) Completed, cleared, productions, to the National Archives and 
Records Administration, National Audiovisual Center, Information Office, 
8700 Edgeworth Drive, Capitol Heights, MD 20722-3701.
    (2) Nonproduction VI motion media to the DVIC. The center may sell 
other Air Force VI motion picture and television materials, such as 
historical and stock footage. When it sells VI motion

[[Page 62]]

media, the DVIC assesses charges, unless Sec. 811.5 exempts the 
requesting activity.
    (3) VI still media to the DoD Still Media Records Center (SMRC), 
Attn: SSRC, Washington, DC 20374-1681. When SMRC sells VI still media, 
the SMRC assesses charges, unless Sec. 811.5 exempts the requesting 
activity.



Sec. 811.5  Customers exempt from fees.

    Title III of the 1968 Intergovernmental Cooperation Act (42 U.S.C. 
4201, 4231, and 4233) exempts some customers from paying for products 
and loans. This applies if the supplier has sufficient funds and if the 
exemption does not impair its mission. The requesting agency must 
certify that the materials are not commercially available. When requests 
for VI material do not meet exemption criteria, the requesting agency 
pays the fees. Exempted customers include:
    (a) DoD and other government agencies asking for materials for 
official activities (see DoD Instruction 4000.19, Interservice, and 
Intergovernmental Support, August 9, 1995, and DoD Directive 5040.2, 
Visual Information (VI), December 7, 1987.
    (b) Members of Congress asking for VI materials for official 
activities.
    (c) VI records center materials or services furnished according to 
law or Executive Order.
    (d) Federal, state, territorial, county, municipal governments, or 
their agencies, for activities contributing to an Air Force or DoD 
objective.
    (e) Nonprofit organizations for public health, education, or welfare 
purposes.
    (f) Armed Forces members with a casualty status, their next of kin, 
or authorized representative, if VI material requested relates to the 
member and does not compromise classified information or an accident 
investigation board's work.
    (g) The general public, to help the Armed Forces recruiting program 
or enhance public understanding of the Armed Forces, when SAF/PA 
determines that VI materials or services promote the Air Force's best 
interest.
    (h) Incidental or occasional requests for VI records center 
materials or services, including requests from residents of foreign 
countries, when fees would be inappropriate. AFI 16-101, International 
Affairs and Security Assistance Management, tells how a foreign 
government may obtain Air Force VI materials.
    (i) Legitimate news organizations working on news productions, 
documentaries, or print products that inform the public on Air Force 
activities.



Sec. 811.6  Visual information product/material loans.

    (a) You may request unclassified and classified copies of current 
Air Force productions and loans of DoD and other Federal productions 
from JVISDA, ATTN: ASQV-JVIA-T-AS, Bldg. 3, Bay 3, 11 Hap Arnold Blvd., 
Tobyhanna, PA 18466-5102.
    (1) For unclassified products, use your organization's letterhead, 
identify subject title, PIN, format, and quantity.
    (2) For classified products, use your organization's letterhead, 
identify subject title, personal identification number (PIN), format, 
and quantity. Also, indicate that either your organization commander or 
security officer, and MAJCOM VI manager approve the need.
    (b) You may request other VI materials, such as, still images and 
motion media stock footage, from DVIC/OM-PA, 1363 Z Street, Building 
2730, March ARB, CA 92518-2703.



Sec. 811.7  Collecting and controlling fees.

    (a) The DoD records centers usually collect fees in advance. 
Exceptions are sales where you cannot determine actual cost until work 
is completed (for example, television and motion picture services with 
per minute or per footage charges).
    (b) Customers pay fees, per AFR 177-108, Paying and Collecting 
Transactions at Base Level, with cash, treasury check, certified check, 
cashier's check, bank draft, or postal money order.



Sec. 811.8  Forms prescribed and availability of publications.

    (a) AF Form 833, Visual Information Request, AF Form 1340, Visual 
Information Support Center Workload Report, DD Form 1995, Visual 
Information (VI) Production Request and Report,

[[Page 63]]

DD Form 2054-1, Visual Information (VI) Annual Report, and DD Form 2537, 
Visual Information Caption Sheet are prescribed by this part.
    (b) Air Force publications and forms referenced in this part are 
available from NTIS, 5285 Port Royal Road, Springfield, VA 22161 or 
online at http://www.afpubs.hq.af.mil. DoD publications are available at 
http://www.defenselink.mil/pubs.



PART 813--VISUAL INFORMATION DOCUMENTATION PROGRAM--Table of Contents




Sec.
813.1  Purpose of the visual information documentation (VIDOC) program.
813.2  Sources of VIDOC.
813.3  Responsibilities.
813.4  Combat camera operations.
813.5  Shipping or transmitting visual information documentation images.
813.6  Planning and requesting combat documentation.
813.7  Readiness reporting.

    Authority: 10 U.S.C. 8013.

    Source: 65 FR 64621, Oct. 30, 2000, unless otherwise noted.



Sec. 813.1  Purpose of the visual information documentation (VIDOC) program.

    Using various visual and audio media, the Air Force VIDOC program 
records important Air Force operations, historical events, and 
activities for use as decision making and communicative tools. VIDOC of 
Air Force combat operations is called COMCAM documentation. Air Force 
publications are available at NTIS, 5285 Port Royal Road, Springfield, 
VA 22161 or online at http://www.afpubs.hq.af.mil. DoD publications are 
available at http://www.defenselink.mil/pubs.



Sec. 813.2  Sources of VIDOC.

    Primary sources of VIDOC materials include:
    (a) HQ AMC active and reserve combat camera (COMCAM) forces, both 
ground and aerial, whose primary goal is still and motion media 
documentation of Air Force and air component combat and combat support 
operations, and related peacetime activities such as humanitarian 
actions, exercises, readiness tests, and operations.
    (b) Visual information forces with combat documentation capabilities 
from other commands: HQs ACC, AETC, AFRES, and AFSPACECOM.
    (c) Communications squadron base visual information centers 
(BVISCs).
    (d) Air Digital Recorder (ADR) images from airborne imagery systems, 
such as heads up displays, radar scopes, and images from electro-optical 
sensors carried aboard aircraft and weapons systems.
    (e) Photography of Air Force Research, Development, Test & 
Evaluation (RDT&E) activities, including high speed still and motion 
media optical instrumentation.



Sec. 813.3  Responsibilities.

    (a) HQ AFCIC/ITSM:
    (1) Sets Air Force VIDOC policy.
    (2) Oversees United States Air Force (USAF) COMCAM programs and 
combat readiness.
    (3) Makes sure Air Force participates in joint actions by 
coordinating with the Office of the Secretary of Defense staff, Joint 
Chiefs of Staff (JCS), executive departments, and other branches of the 
United States Government.
    (4) Approves use of Air Force COMCAM forces in non-Air Force 
activities.
    (b) Air components:
    (1) Manage air component COMCAM and visual information support 
within their areas of responsibility. Documents significant events and 
operations for theater and national-level use.
    (2) Sets requirements for COMCAM and VI support. Includes 
requirements in operations plans (OPLAN) force lists, concept plans 
(CONPLAN), operations orders (OPORD), and similar documents. See Air 
Force Manual (AFMAN) 10-401, Operation Plan and Concept Plan Development 
and Implementation.
    (3) Coordinate with MAJCOM VI managers to plan and source VIDOC 
forces for war, contingencies, and exercises.
    (4) Provide input (VI and COMCAM requirements) to HQ AMC/SCMV, 203 
West Losey Street, Room 3180, Scott AFB, IL 62225-5223, as required to 
develop the annual VI Exercise Support Plan. Include requirements to 
exercise

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VI forces to refine operational procedures and meet defined objectives.
    (c) HQ AMC:
    (1) Provides primary Air Force ADR theater support to the air 
component commanders.
    (2) Maintains a deployable theater support Unified Transportation 
Command (UTC) to manage ADR requirements above the aviation wing level. 
This includes the gathering, editing, copying, and distribution of ADR 
images from combat aviation squadrons for operational analysis, bomb 
damage assessment, collateral intelligence, training, historical, public 
affairs, and other needs.
    (3) Sets combat training standards and develops programs for all Air 
Force COMCAM personnel (includes both formal classroom and field 
readiness training).
    (4) Coordinates and meets COMCAM needs in war, operations, and 
concept plans.
    (5) Provides the Air Force's primary COMCAM capability and assists 
air component and joint commands with deliberate and crisis action 
planning for USAF's COMCAM assets.
    (6) Provides component and theater commands COMCAM planning 
assistance and expertise for contingencies, humanitarian actions, 
exercises, and combat operations.
    (7) Acts as manpower and equipment force packaging (MEFPAK) manager 
for COMCAM UTCs.
    (8) Funds HQ AMC COMCAM personnel and equipment for contingency or 
wartime deployments. (The requester funds temporary duty and supply 
costs for planned events, such as non-JCS exercises and competitions.)
    (9) Develops and monitors the annual Air Force-wide VI Exercise 
Support Plan for the Air Staff, with assistance from air components and 
supporting MAJCOMs. (Use criteria contained in Sec. 813.4(e)(1) and 
provide equitable deployment opportunity for tasked commands' VI 
resources.)
    (d) MAJCOM VI managers:
    (1) Plan and set policy for documenting activities of operational, 
historical, public affairs, or other significance within their commands.
    (2) Train and equip VIDOC forces to document war, contingencies, 
major events, Air Force and joint exercises, and weapons tests.
    (3) Make sure COMCAM and BVISC forces meet their wartime tasking and 
identify and resolve deficiencies. Refer significant deficiencies and 
problems and proposed resolution to HQ AFCIC/ITSM.
    (4) Allow documentation of significant Air Force activities and 
events, regardless of their sensitivity or classification. Protect 
materials as the supported command directs. Safeguard classified images 
or handle them according to Department of Defense (DoD) Directive 
5200.1, DoD Information Security Program, June 7, 1982, with Changes 1 
and 2, and AFI 31-401, Information Security Program Management. The 
authority in charge of the event or operation approves documentation 
distribution.
    (5) Update UTC availability in MAJCOM information systems.
    (6) Assist Air Force Operations Group, in identifying the command's 
capability to support COMCAM and VI requirements.
    (7) Provide inputs to HQ AMC/SCMV for the annual VI Exercise Support 
Plan for JCS exercises.
    (8) Make sure units that have deployable VI teams have Status of 
Resources and Training System (SORTS) reportable designed operational 
capability (DOC) statements that accurately reflect their mission and 
taskings.
    (9) Develop and oversee measurements, such as operational readiness 
inspection criteria, to evaluate VI force readiness at DOC-tasked units.



Sec. 813.4  Combat camera operations.

    (a) Air Force COMCAM forces document Air Force and air component 
activities.
    (b) The supported unified command or joint task force commander, 
through the air component commander (when assigned), controls Air Force 
COMCAM forces in a joint environment. If an air component is assigned, 
the air component normally manages documentation of its operations. Air 
Force COMCAM and visual information

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support for joint operations will be proportionate to USAF combat force 
participation. In airlift operations, HQ AMC may be the supported 
command.
    (c) During contingencies, exercises, and other operations, the Air 
Force provides its share of Unified Command headquarters COMCAM and 
visual information support forces for still photographic, motion media, 
graphics, and other VI services.
    (d) COMCAM and VI forces take part in Air Force and joint exercises 
to test procedures and over-all readiness. COMCAM and VI forces also 
provide VI products to command, operations, public affairs, historical, 
and other significant customers.
    (e) Sourcing COMCAM forces. See AFMAN 10-401 for specific 
procedures.
    (1) When VI support teams are required, the lead wing's VI UTC 
deploys as primary, whenever possible. If lead wing VI support is not 
available, the providing command sources the requirement from other 
active or reserve component forces, or coordinates with other MAJCOMs 
for assistance.
    (2) Air Force VI personnel who assist supported commands in 
determining COMCAM and VI requirements and sourcing consider the total 
USAF VI community as a resource. Planners consider employing USAF 
deployable VI support teams, augmentation combat documentation teams 
from AFSPACECOM, AETC, and ACC, as well as active and reserve COMCAM 
teams.



Sec. 813.5  Shipping or transmitting visual information documentation images.

    (a) COMCAM images. Send COMCAM images to the DoD Joint Combat Camera 
Center, Room 5A518, Pentagon, Washington, DC 20330-3000, by the fastest 
means possible, following the approval procedures that on-scene and 
theater commanders set.
    (b) Other non-COMCAM images. After use, send significant non-COMCAM 
images to the appropriate DoD media records center through the Air Force 
record center accessioning point.
    (c) Identification of VIDOC materials. Clearly identify all VIDOC 
and COMCAM material with slates, captions, and cover stories.



Sec. 813.6  Planning and requesting combat documentation.

    (a) Planned combat documentation. Air components identify 
documentation needs as early as possible in OPLANs, CONPLANs, and OPORDs 
and send copies of these plans to HQ AMC/SCMV, 203 West Losey Street, 
Room 3180, Scott AFB, IL 62225-5223. Include the contact for planning 
and support.
    (b) Activity documentation. MAJCOMs may request that HQ AMC document 
their activities. Send information copies of requests to HQ AFCIC/ITSM, 
1250 Air Force Pentagon, Washington, DC 20330-1250, and HQ AMC/SCMV. 
When a supporting component command operationally controls HQ AMC COMCAM 
units, other organizations that need support must coordinate requests 
with the supported command.
    (c) Unplanned combat documentation. Send short notice requests to 
the supported operational commander as soon as possible, with 
information copies to HQ AFCIC/ITSM and HQ AMC/SCMO. Identify end 
product requirements, media formats, and deadlines.
    (d) Humanitarian, disaster relief, and contingencies. Theater 
commanders normally task the supporting component through the Joint 
Operation Planning and Execution System, that in turn, requests support 
from HQ AMC. HQ USAF can directly task HQ AMC to document humanitarian, 
disaster relief, or contingency activities if it does not receive other 
tasking(s). In these cases, coordinate with the supported unified 
command.



Sec. 813.7  Readiness reporting.

    All Air Force units assigned a DOC statement report readiness status 
through the SORTS process. See AFI 10-201, Status of Resources and 
Training System, for specific information and reporting criteria.

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                SUBCHAPTER C--PUBLIC RELATIONS [RESERVED]





                   SUBCHAPTER D--CLAIMS AND LITIGATION





PART 841--LICENSING GOVERNMENT-OWNED INVENTIONS IN THE CUSTODY OF THE DEPARTMENT OF THE AIR FORCE--Table of Contents




                     Subpart A--General Information

Sec.
841.0  Purpose.
841.1  Air Force policy.
841.2  Execution of licenses.
841.3  Delegation of authority.
841.4  Definitions.
841.5  Royalties.

   Subpart B--Restrictions and Conditions for Licensing and Types of 
                                Licenses

841.6  Restrictions and conditions.
841.7  Nonexclusive licenses.
841.8  Exclusive and partially exclusive licenses.
841.9  Additional licenses.
841.10  Foreign licenses.

                     Subpart C--Licensing Procedures

841.11  Publication requirements.
841.12  Request for a license.
841.13  Contents of a license application.
841.14  Published notices.
841.15  Determination to grant or deny exclusive or partially exclusive 
          licenses.
841.16  Modification and termination.
841.17  Appeals.

      Subpart D--Transfer of Custody of Government Inventions and 
                     Confidentiality of Information

841.18  Transfer procedure.
841.19  Confidentiality of plans and reports.

    Authority: 10 U.S.C. 8012.

    Source: 50 FR 20563, May 17, 1985, unless otherwise noted.



                     Subpart A--General Information



Sec. 841.0  Purpose.

    This regulation prescribes the policies, administrative 
requirements, procedures, terms, and conditions for licensing of rights 
in federally owned patents and patent applications vested in the United 
States of America in the custody of the Department of the Air Force. It 
is consistent with General Services Administration Licensing of 
Federally Owned Inventions, 41 CFR 101-4, which implements Pub. L. 96-
517. It applies to all requests for a license under an Air Force 
invention.



Sec. 841.1  Air Force policy.

    Federally owned inventions in the custody of the Department of the 
Air Force normally will best serve the public interest when they are 
developed to the point of practical application and made available to 
the public in the shortest possible time. Nonexclusive, partially 
exclusive, or exclusive licenses for the practice of these inventions 
may be granted to applicants who agree to develop and/or market the 
inventions. All Air Force inventions normally will be made available for 
the granting of licenses to responsible applicants.



Sec. 841.2  Execution of licenses.

    Nonexclusive, partially exclusive, or exclusive licenses will be 
executed on behalf of the Department of the Air Force by the Secretary 
or by anyone to whom this authority is delegated.



Sec. 841.3  Delegation of authority.

    The administration of this part is delegated to The Judge Advocate 
General, who may redelegate the administration of this part to the 
Chief, Patents Division, Office of The Judge Advocate General. All 
communications received in any Air Force activity requesting information 
regarding the licensing of a Government invention will be acknowledged 
and sent without further action directly to HQ USAF/JACP, Washington DC 
20324.



Sec. 841.4  Definitions.

    (a) Air Force invention means an invention, plant, or design which 
is covered by a patent or patent application in the United States, or a 
patent, patent application, plant variety protection, or other form of 
protection in a foreign country, title to which has been assigned to or 
otherwise vested in the United States Government and in

[[Page 67]]

the custody of the Department of the Air Force.
    (b) Small business firm means a small business concern as defined in 
section 2 of Pub. L. 85-536 (15 U.S.C. 632) and implementing regulations 
of the Administrator of the Small Business Administration.
    (c) Practical Application means to manufacture in the case of a 
composition or product, to practice in the case of a process or method, 
or to operate in the case of a machine or system; and in each case, 
under such conditions as to establish that the invention is being 
utilized and that its benefits are to the extent permitted by law or 
Government regulations available to the public on reasonable terms.
    (d) United States means the United States of America, its 
territories and possessions, the District of Columbia, and the 
Commonwealth of Puerto Rico.



Sec. 841.5  Royalties.

    (a) Royalties may or may not be charged under nonexclusive licenses 
granted to US citizens and US corporations on Government inventions; 
however, the Department of the Air Force may require other 
considerations when a royalty is not charged.
    (b) Normally, an exclusive or partially exclusive license on an Air 
Force invention will contain a royalty provision and/or other 
consideration flowing to the Government.



   Subpart B--Restrictions and Conditions for Licensing and Types of 
                                Licenses



Sec. 841.6  Restrictions and conditions.

    The following restrictions and conditions apply to all licenses 
granted under this part:
    (a) Restrictions: (1) A license may be granted only if the applicant 
has supplied the Air Force with a satisfactory plan for development or 
marketing of the invention, or both, and with information about the 
applicant's capability to fulfill the plan.
    (2) A license granting rights to use or sell under an Air Force 
invention in the United States shall normally be granted only to a 
licensee who agrees that any product embodying the invention or produced 
through the use of the invention will be manufactured substantially in 
the United States.
    (b) Conditions. Licenses shall contain such terms and conditions as 
the Air Force determines are appropriate for the protection of the 
interests of the Federal Government and the public and are not in 
conflict with law or this part. The following terms and conditions apply 
to any license:
    (1) The duration of the license shall be for a period specified in 
the license agreement, unless sooner terminated according to provisions 
therein.
    (2) The license may be granted for all or less than all fields of 
use of the invention or in specified geographical areas, or both.
    (3) The license may extend to subsidiaries of the licensee or other 
parties if provided for in the license but shall be nonassignable 
without approval of the Air Force, except to the successor of that part 
of the licensee's business to which the invention pertains.
    (4) The license may provide the licensee the right to grant 
sublicenses under the license, subject to the approval of the Air Force. 
Each sublicense shall make reference to the license, including the 
rights retained by the Government, and a copy of each sublicense shall 
be furnished to the Air Force.
    (5) The license shall require the licensee to carry out the plan for 
development or marketing of the invention, or both, to bring the 
invention to practical application within a period specified in the 
license, and to continue to make the benefits of the invention 
reasonably accessible to the public.
    (6) The license shall require the licensee to report, at least 
annually, on the utilization or efforts at obtaining utilization that 
are made by the licensee, with particular reference to the plan 
submitted.
    (7) Licenses may be royalty-free or for royalties or other 
consideration.
    (8) When the licensee agrees that any products embodying the 
invention or produced through use of the invention will be manufactured 
substantially in the United States, the license shall recite such 
agreement.
    (9) The license shall provide for the right of the Air Force to 
terminate the license, in whole or in part, if:

[[Page 68]]

    (i) The Air Force determines that the licensee is not executing the 
plan submitted with its requests for a license and the licensee cannot 
otherwise demonstrate to the satisfaction of the Air Force that it has 
taken or can be expected to take within a reasonable time effective 
steps to achieve practical application of the invention;
    (ii) The Air Force determines that such action is necessary to meet 
requirements for public use specified by Federal regulations issued 
after the date of the license and such requirements are not reasonably 
satisfied by the licensee;
    (iii) The licensee has willfully made a false statement of or 
willfully omitted a material fact in the license application or in any 
report required by the license agreement; or
    (iv) The licensee commits a substantial breach of a covenant or 
agreement contained in the license.
    (10) The license may be modified or terminated consistent with this 
part upon mutual agreement of the Air Force and the licensee.
    (11) Nothing relating to the grant of a license, nor the grant 
itself, shall be construed to confer upon any person, any immunity from 
or defense under the antitrust laws or from a charge of patent misuse, 
and the acquisition and use of rights pursuant to this subpart shall not 
be immunized from the operation of state or Federal law by reason of the 
source of the grant.
    (12) The license shall contain a provision that the government makes 
no representation or warranty as to the validity of any licensed patent 
or patent application, or of the scope of any of the claims contained 
therein, or that the exercise of the license will not result in the 
infringement of any other patent and that the Government assumes no 
liability whatsoever resulting from the exercise of the license.



Sec. 841.7  Nonexclusive licenses.

    Each Air Force invention normally will be made available for the 
granting of nonexclusive licenses, subject to the provisions of any 
other license, including those in Sec. 841.8, and subject to the 
following condition: the nonexclusive license may also provide that, 
after termination of a period specified in the license agreement, the 
Air Force may restrict the license to the fields of use or geographic 
areas, or both, in which the licensee has brought the invention to 
practical application and continues to make the benefits of the 
invention reasonably accessible to the public. However, such restriction 
shall be made only in order to grant an exclusive or partially exclusive 
license according to this part.



Sec. 841.8  Exclusive and partially exclusive licenses.

    Each Government invention may be made available for the granting of 
an exclusive or partially exclusive license subject to the following 
restrictions and conditions:
    (a) Restrictions. Exclusive or partially exclusive licenses may be 
granted on federally owned inventions as follows:
    (1) Three months after notice of the invention's availability has 
been announced in the Federal Register; or
    (2) Without such notice where the Air Force determines that 
expeditious granting of such a license will best serve the interest of 
the Federal Government and the public; and
    (3) In either situation specified in paragraph (a) (1) or (2) of 
this section only if:
    (i) Notice of a prospective license, identifying the invention and 
the prospective licensee, has been published in the Federal Register, 
providing opportunity for filing written objections within a 60-day 
period;
    (ii) After expiration of the 60-day period and consideration of any 
written objections received during the period, the Air Force makes the 
determinations required by Sec. 841.15 favorably to the applicant; and
    (iii) The Air Force has given first preference to any small business 
firms submitting plans that are determined by the agency to be within 
the capabilities of the firms and as equally likely, if executed, to 
bring the invention to practical application as any plans submitted by 
applicants that are not small business firms.
    (b) Conditions. In addition to the provisions of Sec. 841.6, the 
following terms and conditions apply to domestic exclusive and partially 
exclusive licenses:

[[Page 69]]

    (1) The license shall be subject to the irrevocable royalty-free 
right of the Government of the United States to practice and have 
practiced the invention on behalf of the United States and on behalf of 
any foreign government or international organization pursuant to any 
existing or future treaty or agreement with the United States.
    (2) The license shall reserve to the Air Force the right to require 
the licensee to grant sublicenses to responsible applicants, on 
reasonable terms, when necessary to fulfill health or safety needs.
    (3) The license shall be subject to any licenses in force at the 
time of the grant of the exclusive or partially exclusive license.
    (4) The license may grant the licensee the right of enforcement of 
the licensed patent pursuant to the provisions of 35 U.S.C. 29, as 
determined appropriate in the public interest.



Sec. 841.9  Additional licenses.

    Nothing in this part will preclude the Air Force from granting 
licenses for Air Force inventions which are the result of an authorized 
exchange of rights in the settlement of patent disputes. The following 
exemplify circumstances wherein such licenses may be granted:
    (a) In consideration of the settlement of an interference;
    (b) In consideration of a release of a claim of infringement; or
    (c) In exchange for or as part of the consideration for a license 
under adversely held patents.



Sec. 841.10  Foreign licenses.

    (a) Exclusive or partially exclusive licenses may be granted on an 
Air Force invention covered by a foreign patent, patent application, or 
other form of protection, provided that:
    (1) Notice of a prospective license identifying the invention and 
prospective licensee has been published in the Federal Register, 
providing opportunity for filing written objections within a 60-day 
period and following consideration of such objections;
    (2) The Air Force has considered whether the interests of the 
Federal Government or United States industry in foreign commerce will be 
enhanced; and
    (3) The Air Force has not determined that the grant of such license 
will tend substantially to lessen competition or result in undue 
concentration in any section of the United States in any line of 
commerce to which the technology to be licensed relates, or to create or 
maintain other situations inconsistent with antitrust laws.
    (b) In addition to the provisions of Sec. 841.6, the following terms 
and conditions apply to foreign exclusive and partially exclusive 
licenses:
    (1) The license shall be subject to the irrevocable, royalty-free 
right of the United States Government to practice and have practiced the 
invention on behalf of any foreign government or international 
organization pursuant to any existing or future treaty or agreement with 
the United States.
    (2) The license shall be subject to any licenses in force at the 
time of the grant of the exclusive license.
    (3) The license may grant the licensee the right to take any 
suitable and necessary action to protect the licensed property on behalf 
of the United States Government.



                     Subpart C--Licensing Procedures



Sec. 841.11  Publication requirements.

    The Department of the Air Force will cause to be published in the 
Federal Register, and at least one other publication that the Air Force 
deems would best serve the public interest, a list of Government 
inventions in the custody of the Department of the Air Force available 
for licensing under the conditions specified in subpart B.



Sec. 841.12  Request for a license.

    Requests for a license under an Air Force invention should be 
addressed to the Chief, Patents Division, HQ USAF/JACP, Washington DC 
20324.



Sec. 841.13  Contents of a license application.

    An application for a license will include:
    (a) Identification of the invention for which the license is desired 
including the patent application serial number or

[[Page 70]]

patent number, title, and date, if known;
    (b) Identification of the type of license for which the application 
is submitted;
    (c) Name and address of the person, company, or organization 
applying for the license and the citizenship or place of incorporation 
of the applicant;
    (d) Name, address, and telephone number of the representative of the 
applicant to whom correspondence should be sent;
    (e) Nature and type of applicant's business, identifying products or 
services which the applicant has successfully commercialized, and 
approximate number of applicant's employees;
    (f) Source of information concerning the availability of a license 
on the invention;
    (g) A statement indicating whether the applicant is a small business 
firm as defined in Sec. 841.4 of this subpart;
    (h) A detailed description of the applicant's plan for development 
or marketing of the invention, or both, which should include:
    (1) A statement of the time, nature, and amount of anticipated 
investment of capital and other resources which applicant believes will 
be required to bring the invention to practical application;
    (2) A statement as to applicant's capability and intention to 
fulfill the plan, including information regarding manufacturing, 
marketing, financial, and technical resources;
    (3) A statement of the fields of use for which applicant intends to 
practice the invention; and
    (4) A statement of the geographic areas in which the applicant 
intends to manufacture any products embodying the invention and 
geographic areas where applicant intends to use or sell the invention, 
or both;
    (i) Identification of licenses previously granted to applicant under 
federally owned inventions;
    (j) A statement containing the applicant's best knowledge of the 
extent to which the invention is being practiced by private industry or 
Government, or both, or is otherwise available commercially; and
    (k) Any other information which applicant believes will support a 
determination to grant the license to applicant.



Sec. 841.14  Published notices.

    A notice that the prospective exclusive or partially exclusive 
licensee has been selected will be published by the Department of the 
Air Force in the Federal Register and a copy of the notice will be sent 
to the Attorney General. The notice will include:
    (a) Identification of the invention;
    (b) Identification of the selected licensee; and
    (c) A statement that the license will be granted unless any written 
objection is received within 60 days.



Sec. 841.15  Determination to grant or deny exclusive or partially exclusive licenses.

    (a) After the notice is published in the Federal Register that a 
prospective exclusive or partially exclusive licensee has been selected 
and the 60 days for filing written objections has expired, a decision 
will be made whether to grant or deny the license considering all 
arguments and evidence of record. A memorandum of the decision will be 
prepared and shall include:
    (1) An identification of the invention, type of license desired, and 
name and address of the party applying for the license;
    (2) The name and address of all third parties who objected to the 
granting of the license, if any;
    (3) A brief statement of the reasons for the objections, if any;
    (4) A discussion of the relative merits of the license application 
vs. the objections filed by third parties, if any;
    (5) Determinations, and reasons supporting the determinations, 
whether:
    (i) The interests of the Federal Government and the public will be 
served by the proposed license, in view of the applicant's intentions, 
plans, and ability to bring the invention to practical application or 
otherwise promote the invention's utilization by the public;
    (ii) The desired practical application has not been achieved or is 
not likely expeditiously to be achieved under any nonexclusive license 
which has been granted on the invention;
    (iii) Exclusive or partially exclusive licensing is a reasonable and 
necessary

[[Page 71]]

incentive to call forth the investment of risk capital and expenditures 
to bring the invention to practical application or otherwise promote the 
invention's utilization by the public;
    (iv) The proposed terms and scope of exclusivity are not greater 
than reasonably necessary to provide the incentive for bringing the 
invention to practical application or otherwise promote the invention's 
utilization by the public;
    (v) The grant of such license will tend substantially to lessen 
competition or result in undue concentration in any section of the 
country in any line of commerce to which the technology to be licensed 
relates, or to create or maintain other situations inconsistant with the 
antitrust laws; and
    (vi) The interest of the United States Government or industry in 
foreign commerce will be enhanced, if the license request is under a 
foreign patent, patent application, or other form of protection.
    (6) The signature of the individuals making the determinations.
    (b) A record of the determinations to grant or deny an exclusive or 
a partially exclusive license shall be maintained by the Patents 
Division.



Sec. 841.16  Modification and termination.

    Before modifying or terminating a license, other than by mutual 
agreement, the Air Force shall furnish the licensee and any sublicensee 
of record a written notice of intention to modify or terminate the 
license, and the licensee and any sublicensee shall be allowed 30 days 
after such notice to remedy any breach of the license or show cause why 
the license should not be modified or terminated.



Sec. 841.17  Appeals.

    A party whose application for a license has been denied, a licensee 
whose license has been modified or terminated, in whole or in part, or a 
party who timely filed a written objection in response to the notice 
required in Sec. 841.8 and Sec. 841.10 and who can demonstrate to the 
satisfaction of the Air Force that such party may be damaged by the 
agency action, may appeal to The Judge Advocate General, any decision or 
determination concerning the grant, denial, interpretation, 
modification, or termination of a license. The appeal must be in writing 
and submitted within 60 days from the date the decision or determination 
was mailed to the party.



      Subpart D--Transfer of Custody of Government Inventions and 
                     Confidentiality of Information



Sec. 841.18  Transfer procedure.

    Under certain circumstances it may be in the best interest of the 
Air Force to enter into an agreement to transfer its custody of any 
invention to another Government agency for purposes of administration 
including the granting of licenses pursuant to this part. Such transfers 
will be made on a case-by-case basis.



Sec. 841.19  Confidentiality of plans and reports.

    Title 35 U.S.C. 209 provides that any plan submitted pursuant to 
Sec. 841.13 above and any report required by Sec. 841.6 may be treated 
by the Air Force as commercial and financial information obtained from a 
person and priviledged and confidential and not subject to disclosure 
under 5 U.S.C. 552.



PART 842--ADMINISTRATIVE CLAIMS--Table of Contents




Sec.
842.0  Scope.

                     Subpart A--General Information

842.1  Scope of this subpart.
842.2  Definitions.
842.3  Claims authorities.
842.4  Where to file a claim.
842.5  Claims forms.
842.6  Signature on the claim form.
842.7  Who may file a claim.
842.8  Insured claimants.
842.9  Splitting a claim.

                Subpart B--Functions and Responsibilities

842.10  Scope of this subpart.
842.11  Air Force claims organization.
842.12  HQ USAF claims responsibility.
842.13  Staff Judge Advocates' responsibility.
842.14  Claims and assistant claims officers.

[[Page 72]]

 Subpart C--Claims Under Article 139, Uniform Code of Military Justice 
                         (UCMJ) (10 U.S.C. 939)

842.15  Scope of this subpart.
842.16  Definitions.
842.17  Claims payable.
842.18  Claims not payable.
842.19  Limiting provisions.
842.20  Filing a claim.

           Subpart D--Personnel Claims (31 U.S.C. 3701, 3721)

842.21  Scope of this subpart.
842.22  Definitions.
842.23  Delegations of authority.
842.24  Filing a claim.
842.25  Partial payments.
842.26  Statute of limitations.
842.27  Who may file a claim.
842.28  Who are proper claimants.
842.29  Who are not proper claimants.
842.30  General provisions.
842.31  Claims payable.
842.32  Claims not payable.
842.33  Reconsideration of a claim.
842.34  Right of subrogation, indemnity, and contribution.
842.35  Depreciation and maximum allowances.

                   Subpart E--Carrier Recovery Claims

842.36  Scope of this subpart.
842.37  Definitions.
842.38  Delegations of authority.
842.39  Statute of limitations.

             Subpart F--Military Claims Act (10 U.S.C. 2733)

842.40  Scope of this subpart.
842.41  Definitions.
842.42  Delegations of authority.
842.43  Filing a claim.
842.44  Advance payments.
842.45  Statute of limitations.
842.46  Who may file a claim.
842.47  Who are proper claimants.
842.48  Who are not proper claimants.
842.49  Claims payable.
842.50  Claims not payable.
842.51  Applicable law.
842.52  Appeal of final denials.
842.53  Right of subrogation, indemnity, and contribution.
842.54  Attorney fees.

               Subpart G--Foreign Claims (10 U.S.C. 2734)

842.55  Scope of this subpart.
842.56  Definitions.
842.57  Delegations of authority.
842.58  Filing a claim.
842.59  Advance payments.
842.60  Statute of limitations.
842.61  Who may file a claim.
842.62  Who are proper claimants.
842.63  Who are not proper claimants.
842.64  Payment criteria.
842.65  Claims not payable.
842.66  Applicable law.
842.67  Reconsideration of final denials.
842.68  Right of subrogation, indemnity, and contribution.

  Subpart H--International Agreement Claims (10 U.S.C. 2734a and 2734b)

842.69  Scope of this subpart.
842.70  Definitions.
842.71  Delegations of authority.
842.72  Filing a claim.

      Subpart I--Use of Government Property Claims (10 U.S.C. 2737)

842.73  Scope of this subpart.
842.74  Definitions.
842.75  Delegations of authority.
842.76  Filing a claim.
842.77  Statute of limitations.
842.78  Claims payable.
842.79  Claims not payable.
842.80  Reconsideration of final denial.
842.81  Settlement agreement.

 Subpart J--Admiralty Claims (10 U.S.C. 9801-9804, 9806; 46 U.S.C. 740)

842.82  Scope of this subpart.
842.83  Definitions.
842.84  Delegations of authority.
842.85  Reconsidering claims against the United States.

Subpart K--Claims Under the Federal Tort Claims Act (28 U.S.C. 1346(b), 
                      2402, 2671, 2672, 2674-2680)

842.86  Scope of this subpart.
842.87  Definitions.
842.88  Delegations of authority.
842.89  Statute of limitations.
842.90  Reconsideration of final denials.
842.91  Settlement agreements.

Subpart L--Property Damage Tort Claims in Favor of the United States (31 
                         U.S.C. 3701, 3711-3719)

842.92  Scope of this subpart.
842.93  Delegations of authority.
842.94  Assertable claims.
842.95  Non-assertable claims.
842.96  Asserting the claim.
842.97  Referring a claim to the US Attorney or the Department of 
          Justice.
842.98  Statute of limitations.
842.99  Compromise, termination, and suspension of collection.

[[Page 73]]

  Subpart M--Claims Under the National Guard Claims Act (32 U.S.C. 715)

842.100  Scope of this subpart.
842.101  Definitions.
842.102  Delegations of authority.
842.103  Filing a claim.
842.104  Advance payments.
842.105  Statute of limitations.
842.106  Who may file a claim.
842.107  Who are proper claimants.
842.108  Who are not proper claimants.
842.109  Claims payable.
842.110  Claims not payable.
842.111  Applicable law.
842.112  Appeal of final denials.
842.113  Government's right of subrogation, indemnity, and contribution.
842.114  Attorney fees.

        Subpart N--Hospital Recovery Claims (42 U.S.C. 2651-2653)

842.115  Scope of this subpart.
842.116  Definitions.
842.117  Delegations of authority.
842.118  Assertable claims.
842.119  Nonassertable claims.
842.120  Asserting the claim.
842.121  Referring a claim to the US Attorney.
842.122  Statute of limitations.
842.123  Recovery rates in government facilities.
842.124  Waiver and compromise of United States interest.
842.125  Reconsideration of a waiver for undue hardship.

                 Subpart O--Nonappropriated Fund Claims

842.126  Scope of this subpart.
842.127  Definitions.
842.128  Delegations of authority.
842.129  Settlement of claims against NAFIs.
842.130  Payment of claims against NAFIs.
842.131  Tort and tort type claims.
842.132  Claims by NAFI employees.
842.133  Claims by customers, members, participants, or authorized 
          users.
842.134  Claims in favor of NAFIs.
842.135  Advance payments.
842.136  Claim payments and deposits.

   Subpart P--Civil Air Patrol Claims (5 U.S.C. 8101(1)(B), 8102(a), 
         8116(c), 8141; 10 U.S.C. 9441, 9442; 36 U.S.C. 201-208)

842.137  Scope of this subpart.
842.138  Definitions.
842.139  Delegations of authority.
842.140  Proper claimants.
842.141  Improper claimants.
842.142  Claims payable.
842.143  Claims not payable.

              Subpart Q--Advance Payments (10 U.S.C. 2736)

842.144  Scope of this subpart.
842.145  Delegation of authority.
842.146  Who may request.
842.147  When authorized.
842.148  When not authorized.
842.149  Separate advance payment claims.
842.150  Liability for repayment.

    Authority: Sec. 8013, 100 Stat. 1053, as amended; 10 U.S.C. 8013, 
except as otherwise noted.

    Source: 55 FR 2809, Jan. 29, 1990, unless otherwise noted.
    Note: Air Force Regulations are available through the National 
Technical Information Service (NTIS), U.S. Department of Commerce, 5285 
Port Royal Road, Springfield, VA 22161.

    This part is derived from Air Force Regulation 112-1, Claims and 
Tort Litigation.



Sec. 842.0  Scope.

    This part establishes standard policies and procedures for 
administratively processing claims resulting from Air Force activities 
and for which the Air Force has assigned responsibility; tells how to 
present, process, and settle claims.



                     Subpart A--General Information



Sec. 842.1  Scope of this subpart.

    This subpart explains terms used in this part. It states basic Air 
Force claims policy and identifies proper claimants.



Sec. 842.2  Definitions.

    (a) Authorized agent. Any person or corporation, including a legal 
representative, empowered to act on a claimant's behalf.
    (b) Civilian personnel. Civilian employees of the Air Force who are 
paid from appropriated or nonappropriated funds. They include prisoners 
of war, interned enemy aliens performing paid labor, and volunteer 
workers except for claims under the Military Personnel and Civilian 
Employees' Claims Act.
    (c) Claim. Any signed written demand made on or by the Air Force for 
the payment of a sum certain. It does not include any obligations 
incurred in the regular procurement of services, supplies, equipment, or 
real estate. An oral demand made under Article 139,

[[Page 74]]

Uniform Code of Military Justice (UCMJ) is sufficient.
    (d) Claimant. An individual, partnership, association, corporation, 
country, state, territory, or its political subdivisions, and the 
District of Columbia. The US Government or any of its instrumentalities 
may be a claimant in admiralty, tort, carrier recovery and hospital 
recovery claims in favor of the United States.
    (e) Geographic area of claims responsibility. The base Staff Judge 
Advocate's (SJA's) jurisdiction for claims. CONUS jurisdictional areas 
are designated by HQ USAF/JACC on maps distributed to the field. HQ 
PACAF, HQ USAFE, and HQ 9AF SJAs designate these areas within their 
jurisdictions. DOD assigns areas of single service responsibility to 
each military department.
    (f) HQ USAF/JACC. Claims and Tort Litigation Staff, Office of The 
Judge Advocate General, Headquarters, United States Air Force, Building 
5683, Bolling AFB, DC 20332-6128.
    (g) HQ 9AF. Headquarters Ninth Air Force, Shaw AFB, SC 29152-5002.
    (h) Owner. A holder of a legal title or an equitable interest in 
certain property. Specific examples include:
    (1) For real property. The mortgagor, and the mortgagee if that 
individual can maintain a cause of action in the local courts involving 
a tort to that specific property.
    (2) For personal property. A bailee, lessee, mortgagee and a 
conditional vendee. A mortgagor, conditional vendor, or someone else 
other than the owner, who has the title for purposes of security are not 
owners.
    (i) HQ PACAF. Headquarters, Pacific Air Forces, Hickam AFB, HI 
96853-5001.
    (j) Personal injury. The term ``personal injury'' includes both 
bodily injury and death.
    (k) Property damage. Damage to, loss of, or destruction of real or 
personal property.
    (l) Settle. To consider and pay, or deny a claim in full or in part.
    (m) Single Base General Court-Martial Jurisdiction (GCM). For claims 
purposes, a base legal office serving the commander who exercises GCM 
authority over that base, or that base and other bases.
    (n) Subrogation. The act of assuming the legal rights of another 
after paying a claim or debt, for example, an insurance company 
(subrogee) paying its insured's (subrogor's) claim, thereby assuming the 
insured's right of recovery.
    (o) HQ USAFE. Headquarters, United States Air Forces in Europe, 
Ramstein Air Base, Germany, APO NY 09012-5001.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



Sec. 842.3  Claims authorities.

    (a) Appellate authority. The individual authorized to review the 
final decision of a settlement authority upon appeal or reconsideration.
    (b) Settlement authority. The individual or foreign claims 
commission authorized to settle a claim upon its initial presentation.



Sec. 842.4  Where to file a claim.

    File a claim at the base legal office of the unit or installation at 
or nearest to where the accident or incident occurred. If the accident 
or incident occurred in a foreign country where no Air Force unit is 
located, file the claim with the Defense Attache (DATT) or Military 
Assistance Advisory Group (MAAG) personnel authorized to receive claims 
(DIAM 100-1 and AFR 400-45). In a foreign country where a claimant is 
unable to obtain adequate assistance in filing a claim, the claimant may 
contact the nearest Air Force SJA. The SJA then advises HQ USAF/JACC 
thorugh claims channels of action taken and states why the DATT or MAAG 
was unable to adequately assist the claimant.



Sec. 842.5  Claims forms.

    Any signed written demand on the Air Force for a sum certain is 
sufficient to file a claim. The claimant should use these forms when 
filing a claim:
    (a) Claim processed under the Military Personnel and Civilian 
Employees' Claims Act. Use AF Form 180, Claim For Loss of or Damage To 
Personal Property Incident To Service, or DD Forms 1842, Claim for 
Personal Property Against the United States, and 1844, Schedule of 
Property and Claim Analysis Chart, to file the claim.

[[Page 75]]

    (b) Claim processed under international agreements. Use any form 
specified by the host country.
    (c) Any other type claim. Use SF 95, Claim for Damage, Injury, or 
Death.



Sec. 842.6  Signature on the claim form.

    The claimant or authorized agent signs the claim form in ink using 
the first name, middle initial, and last name.
    (a) Claim filed by an individual. (1) A married woman signs her 
name, for example, Mary A. Doe, rather than Mrs. John Doe.
    (2) An authorized agent signing for a claimant shows, after the 
signature, the title or capacity and attaches evidence of authority to 
present a claim on behalf of the claimant as agent, executor, 
administrator, parent, guardian, or other representative; for example, 
John Doe by Richard Roe, Attorney in Fact. A copy of a current and valid 
power of attorney, court order, or other legal document is sufficient 
evidence of the agent's authority.
    (b) Claim with joint interest. Where a joint ownership or interest 
in real property exists, all joint owners must sign the claim form. This 
includes a husband and wife signing a claim if the claim is for property 
damage. However, only the military member or civilian employee signs the 
claim form for a claim under the Military Personnel and Civilian 
Employees' Claims Act.
    (c) Claim filed by a corporation. (1) A corporate officer signing 
the form must show title or capacity and affix the corporate seal (if 
any) to the claim form.
    (2) If the person signing the claim is other than the corporate 
officer they must:
    (i) Attach to the claim form a certification by a proper corporate 
officer that the individual is an agent of the corporation duly 
authorized to file and settle the claim;
    (ii) Affix to the claim form the corporate seal (if any) to the 
certification.
    (d) Claim filed by a partnership. A partner must sign the form 
showing his or her title as partner and list the full name of the 
partnership.



Sec. 842.7  Who may file a claim.

    (a) Property damage. The owner or owners of the property or their 
authorized agent may file a claim for property damage.
    (b) Personal injury or death. (1) The injured person or authorized 
agent may file a claim for personal injury.
    (2) The duly appointed guardian of a minor child or any other person 
legally entitled to do so under applicable local law may file a claim 
for a minor's personal injury.
    (3) The executor or administrator of the decedent's estate or any 
other person legally entitled to do so under applicable local law may 
file a claim based on an individual's death.
    (c) Subrogation. The subrogor (insured) and the subrogee (insurer) 
may file a claim jointly or individually. Pay a fully subrogated claim 
only to the subrogee. A joint claim must be asserted in the names of and 
signed by the real parties in interest. Make payment by sending a joint 
check to the subrogee, made payable to the subroger and subrogee. If 
separate claims are filed, make payment by check issued to each claimant 
to the extent of each undisputed interest.



Sec. 842.8  Insured claimants.

    Insured claimants must make a detailed disclosure of their insurance 
coverage by stating:
    (a) Their name and address.
    (b) Kind, amount, and dates of coverage of insurance.
    (c) Insurance policy number.
    (d) Whether a claim was presented to the insurer and, if so, in what 
amount.
    (e) Whether the insurer paid or is expected to pay the claim.
    (f) The amount of any payment made or promised.



Sec. 842.9  Splitting a claim.

    (a) A claim includes all damages accruing to a claimant by reason of 
an accident or incident. For example, when the same claimant has a claim 
for property damage and personal injury arising out of the same 
incident, each claim represents only a part of a single claim or cause 
of action. Even if local law permits filing a separate

[[Page 76]]

claim for property damage and for personal injury, do not settle or pay 
a separate or split claim without the advance approval of HQ USAF/JACC.
    (b) Filing for an advance payment, and subsequently filing a claim, 
does not constitute splitting a claim.
    (c) Process the claim of a subrogor (insured) and subrogee (insurer) 
for damages arising out of the same incident as a single claim where 
permitted. If either claim or the combined claim exceeds, or is expected 
to exceed, settlement limits, send it to the next higher settlement 
authority. Do not split subrogated claims to avoid settlement limits.



                Subpart B--Functions and Responsibilities



Sec. 842.10  Scope of this subpart.

    It sets out the claims organization within the US Air Force and 
describes the functions and responsibilities of the various claims 
offices.



Sec. 842.11  Air Force claims organization.

    Air Force claims channels are:
    (a) Continental United States (CONUS), Azores, Panama and Iceland:
    (1) Headquarters US Air Force (HQ USAF).
    (2) SJAs of bases, single base GCM authorities, stations and fixed 
installations, and commanders responsible for investigation and 
settlement of claims.
    (b) Pacific Air Forces (PACAF) and US Air Forces, Europe (USAFE):
    (1) HQ USAF.
    (2) SJAs of PACAF and USAFE.
    (3) SJAs of organizations exercising GCM authority.
    (4) SJAs of bases, stations and fixed installations, and commanders 
responsible for investigating and settling claims.
    (c) US Central Command (CENTCOM):
    (1) HQ USAF.
    (2) SJA of Headquarters Ninth Air Force (HQ 9AF).
    (3) SJAs of bases, stations, and fixed installations, and commanders 
responsible for investigation and settlement of claims.
    (d) Maneuver and disaster claims. Air Force Judge Advocates 
designated by The Judge Advocate General (TJAG) to process maneuver and 
disaster claims. Once appointed, judge advocates must process claims 
through claims channels.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



Sec. 842.12  HQ USAF claims responsibility.

    (a) TJAG, through the Claims and Tort Litigation Staff (HQ USAF/
JACC): (1) Establishes claims and tort litigation policies and 
supervises and assists all Air Force claims activities.
    (2) Trains claims officers and paralegals.
    (3) Settles certain claims.
    Note: The authority specifically delegated to the Deputy Judge 
Advocate General to settle certain claims in no way limits the Deputy's 
authority to perform the duties of TJAG when so acting pursuant to 10 
U.S.C. 8072.
    (4) Monitors tort litigation for and against the United States 
arising out of Air Force activities.
    (b) HQ USAF/JACC. (1) Supervises and inspects claims and tort 
litigation activities through assistance visits, special audits, and 
Claims Administrative Management Program (CAMP) reviews.
    (2) Implements claims and tort litigation policies, issues 
instructions, and provides guidance and assistance to subordinate claims 
offices.
    (3) Recommends settlement action on claims and tort litigation to 
TJAG, the Secretary of the Air Force, and the United States Attorney 
General.
    (4) Maintains liaison with the Department of Defense (DOD), 
Department of Justice (DOJ), and other government agencies on claims and 
tort litigation.
    (5) Settles certain claims.
    (6) Certifies or reports claims to the General Accounting Office 
(GAO).
    (7) Prepares budget estimates for Air Force claims activities.
    (8) Monitors the collection, allocation, and expenditure of Air 
Force claims funds.
    (9) Keeps permanent records on all claims and tort litigation for 
which TJAG is responsible.
    (10) Conducts and supervises claims training activities.

[[Page 77]]



Sec. 842.13  Staff Judge Advocates' responsibility.

    (a) Major Command (MAJCOM). (1) All MAJCOM SJAs, whether or not 
exercising claims settlement authority are responsible for the general 
supervision of claims activities within their commands, including:
    (i) Conduct of periodic claims audits.
    (ii) Support of claims teams. Members may be detailed from personnel 
assigned to the command to respond to natural disasters or serious 
incidents. If resources are not available from within the command, HQ 
USAF/JACC should be contacted for assistance.
    (iii) Apportion claims funds allocated by HQ USAF.
    (2) The PACAF, USAFE, and HQ 9AF SJA:
    (i) Settles claims.
    (ii) At a minimum, through assistance visits and audits, supervises 
claims activities of those subordinate units and organizations assigned 
to them for claims purposes.
    (iii) Appoints members to foreign claims commissions.
    (iv) Monitors international claims.
    (v) Establishes and designates geographic areas of claims 
responsibility within the command, except for DOD designated single-
service areas of responsibility.
    (b) GCM: (1) The GCM SJA, whether or not he or she exercises claims 
settlement authority, is responsible for the general supervision of 
claims activities within the subordinate units.
    (2) The GCM SJA exercising settlement authority:
    (i) Settles certain claims.
    (ii) Supervises directly the claims activities of their subordinate 
units. This includes at least assistance visits and audits for all but 
single base GCMs.
    (c) Base SJAs: (1) Settle certain claims.
    (2) Have primary investigative responsibility for incidents giving 
rise to claims that occur in their geographic area of responsibility.
    (3) Notify HQ USAF/JACC through claims channels, if there is a 
question of which base can best investigate and process a particular 
claim.



Sec. 842.14  Claims and assistant claims officers.

    (a) Functions and responsibilities: (1) The claims officer, under 
the immediate supervision of the SJA, the commander, or other appointing 
authority, is responsible for all claims activity of the command, 
organization, or unit. This includes investigating and reporting 
accidents, incidents, and claims.
    (2) The assistant claims officer performs claims duties under the 
supervision of the claims officer and in the absence of the claims 
officer.
    (b) Appointment of claims and assistant claims officers: (1) The 
Commander of each Air Force base, station, fixed installation, or 
separate unit appoints a claims officer in writing.
    (2) The SJA appoints assistant claims officers in writing.
    (c) Qualifications of claims officers: Claims officers are 
commissioned officers, designated as judge advocates of the Air Force, 
or civilian attorneys employed by the United States in authorized 
attorney positions at the office of the SJA.
    (d) Qualifications of assistant claims officers: The assistant 
claims officer may be an attorney, a senior noncommissioned officer (E-7 
through E-9), or a Department of the Air Force civilian employee (GS-7 
or above).



 Subpart C--Claims Under Article 139, Uniform Code of Military Justice 
                         (UCMJ) (10 U.S.C. 939)



Sec. 842.15  Scope of this subpart.

    It sets out the Air Force procedures for processing Article 139, 
UCMJ claims.



Sec. 842.16  Definitions.

    (a) Appointing commander. The commander exercising special court-
martial jurisdiction over the offender is the appointing commander.
    (b) Board of officers. One to three commissioned officers appointed 
to investigate a complaint of willful property damage or wrongful taking 
by Air Force personnel comprise a board of officers.
    (c) Property. Property is an item that is owned or possessed by an 
individual

[[Page 78]]

or business. Property includes a tangible item such as clothing, 
household furnishings, motor vehicles, real property, and currency. The 
term does not include intangible property or items having no independent 
monetary worth. Items that should not be considered as property for the 
purpose of this part include a stock, bond, check, check book, credit 
card, telephone service and cable television services.
    (d) Willful damage. Damage or destruction caused intentionally, 
knowingly, and purposely, without justifiable excuse is willful damage.
    (e) Wrongful taking. Any unauthorized taking or withholding of 
property with intent to deprive the owner or person in lawful possession 
either temporarily or permanently.



Sec. 842.17  Claims payable.

    Claims for property willfully damaged or wrongfully taken by Air 
Force military personnel as a result of riotous, violent, or disorderly 
conduct. If a claim is payable under this part and also under another 
part, it may be paid under this part if authorized by HQ USAF/JACC.



Sec. 842.18  Claims not payable.

    Claims that are not payable are:
    (a) Claims resulting from simple negligence.
    (b) Claims for personal injury or death.
    (c) Claims resulting from acts or omissions of Air Force military 
personnel while acting within the scope of their duty.
    (d) Claims of subrogees.
    (e) Claims arising from private indebtedness.
    (f) Claims for reimbursement for bad checks.



Sec. 842.19  Limiting provisions.

    (a) Submit a complaint within 90 days of the date of the incident 
unless the appointing commander finds good cause for the delay. Command 
determination of the absence of good cause is final.
    (b) Assessment of damages in excess of $5,000 against an offender's 
pay for a single incident requires HQ USAF/JACC approval.
    (c) Payment of indirect, remote, or consequential damages is not 
authorized.



Sec. 842.20  Filing a claim.

    Claimant complains (orally or in writing) to the commander of a 
military organization or unit of the alleged offending member or members 
or to the commander of the nearest military installation. However, the 
complainant need not request a sum certain in writing, before settlement 
is made.



           Subpart D--Personnel Claims (31 U.S.C. 3701, 3721)



Sec. 842.21  Scope of this subpart.

    It explains how to settle and pay claims under the Military 
Personnel and Civilian Employees' Claims Act for incident to service 
loss and damage of personal property. These claims are paid according to 
this subpart even when another subpart may also apply.



Sec. 842.22  Definitions.

    (a) Act of God. An act occasioned exclusively by violence of nature, 
such as flood, earthquake, tornado, typhoon or hurricane, that is 
unanticipated and over which no one has any control.
    (b) Military installation. A facility used to serve a military 
purpose and used or controlled by the Air Force or any other Department 
of Defense (DOD) element.
    (c) Other authorized places: (1) Any place authorized, or apparently 
authorized by the government to receive, hold, or store personal 
property, such as offices, warehouses, baggage holding areas, hospitals.
    (2) Any area on a military installation designated for parking or 
storing vehicles.
    (3) A recreation area or any real estate the Air Force or any other 
DOD element uses or controls.
    (d) Personal property. Tangible property an individual owns, 
including but not limited to household goods, unaccompanied baggage, 
privately owned vehicles (POV), and mobile homes.
    (e) Quarters: (1) Housing the government assigns or otherwise 
provides in kind to the claimant, including substandard housing and 
trailers, when the claimant pays the government a

[[Page 79]]

fixed rental while drawing basic allowance for quarters (BAQ).
    (2) Privately owned mobile or manufactured homes parked on base in 
spaces the government provides.
    (3) Transient housing accommodations, wherever located, such as, 
hotels, motels, guest houses, transient dormitories, or other lodgings 
the government furnishes or contracts for.
    (4) Housing accommodations outside the United States which the 
claimant occupies according to local policies and procedures which were 
not assigned by or otherwise provided for by the U.S. Government. 
Quarters do not include housing occupied by foreign indigenous 
employees.
    (5) Garages, carports, driveways, and parking lots assigned to 
quarters the government provides for the occupants of the quarters to 
use.
    (6) Street parking:
    (i) At quarters.
    (ii) In the immediate vicinity of quarters.
    (iii) Reserved parking assigned to offbase housing accommodations 
overseas.
    (7) The area immediately adjacent to quarters when used for storage 
of items not commonly stored in living areas, for example, boats, 
motorcycles, motorbikes, bicycles, lawn mowers, garden equipment, and 
outdoor furniture.
    (f) Reconsideration. The original or a higher settlement authority's 
review of a prior settlement action.
    (g) Small claim. A claim for $1,000 or less.
    (h) Unusual Occurrence. Something not expected to happen in the 
normal course of events.



Sec. 842.23  Delegations of authority.

    (a) Settlement authority: (1) These individuals have been delegated 
the authority to settle claims payable for $25,000 or less if the claim 
arose before 31 October 1988, or $40,000 or less if the claim arose on 
or after 31 October 1988, and to deny claims in any amount:
    (i) The Judge Advocate General (TJAG).
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) The Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (2) The SJAs of HQ USAFE, HQ PACAF, and 9 AF (for claims arising out 
of HQ CENTCOM) have delegated authority to settle claims payable, and to 
deny claims filed for $25,000 or less.
    (3) The SJAs of single base GCMs and the SJAs of GCMs within PACAF 
and USAFE have delegated authority to settle claims payable, and to deny 
claims filed for $15,000 or less.
    (4) SJAs of each Air Force Base, station, and fixed installation 
have been delegated the authority to settle claims payable, and deny 
claims filed for $10,000 or less.
    (b) Redelegation of authority. A settlement authority may redelegate 
the authority, in writing, to a subordinate judge advocate or civilian 
attorney.
    (c) Reconsideration authority. A settlement authority has the same 
authority specified in a above. However, with the exception of TJAG, a 
settlement authority may not deny a claim on reconsideration that it, or 
its delegate, had previously denied.
    (d) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



Sec. 842.24  Filing a claim.

    (a) How and when to file a claim. A claim is filed when a federal 
military agency receives from a claimant or duly authorized agent a 
properly completed AF Form 180, DD Form 1842 or other written and signed 
demand for a specified sum of money.
    (b) Amending a claim. A claimant may amend a claim at any time prior 
to the expiration of the statute of limitations by submitting a signed 
amendment. The settlement authority adjudicates and settles or forwards 
the amended claim as appropriate.
    (c) Separate claims. The claimant files a separate claim for each 
incident which caused a loss. For transportation claims, this means a 
separate claim for each shipment.

[[Page 80]]



Sec. 842.25  Partial payments.

    Upon request of a claimant, a settlement authority may make a 
partial payment in advance of final settlement when a claimant 
experiences personal hardship due to extensive property damage or loss. 
Examples where partial payments are appropriate include fires and sunken 
transport ships. Partial payments are made in this manner:
    (a) If a claim for only part of the loss is submitted and is readily 
provable, pay it up to the amount of the settlement authority. (The 
claimant may later amend the claim for the remainder of the loss.) If 
the total payable amount of the claim exceeds the payment limits of the 
settlement authority, send it with recommendations through claims 
channels to the proper settlement authority.
    (b) When the total claim is submitted and the amount payable exceeds 
the settlement authority, pay a partial payment within the limits of 
settlement authority and send the claim, with recommendations, through 
claims channels to the proper settlement authority.



Sec. 842.26  Statute of limitations.

    (a) The claimant must file the claim in writing within 2 years after 
it accrues. It accrues when the claimant discovered or reasonably should 
have discovered the full extent of the property damage or loss. For 
transportation losses, the claim usually accrues on the date of 
delivery.
    (b) To compute the statutory period, the incident date is excluded 
and the day the claim was filed is included.
    (c) Consider a claim filed after the statute has run if both of the 
following are present:
    (1) The United States is at war or in an armed conflict when the 
claim accrues, or the United States enters a war or armed conflict after 
the claim accrues. Congress or the President establishes the beginning 
and end of war or armed conflict. A claimant may not file a claim more 
than 2 years after the war or armed conflict ends.
    (2) Good cause is shown. A claimant may not file a claim more than 2 
years after the good cause ceases to exist.



Sec. 842.27  Who may file a claim.

    A claim may be filed by the:
    (a) Property owner.
    (b) Authorized agent with a power of attorney.
    (c) Property owner's survivors, who may file in this order:
    (1) Spouse.
    (2) Children.
    (3) Father or mother, or both.
    (4) Brothers or sisters, or both.



Sec. 842.28  Who are proper claimants.

    Proper claimants are:
    (a) Active duty Air Force military personnel.
    (b) Civilian employees of the Air Force who are paid from 
appropriated funds.
    (c) DOD school teachers and school administrative personnel who are 
provided logistic and administrative support by an Air Force 
installation commander.
    (d) Air Force Reserve (AFRES) and Air National Guard (ANG) personnel 
when performing active duty, full-time National Guard duty, or inactive 
duty training, ANG technicians under 32 U.S.C. 709.
    (e) Retired or separated Air Force military personnel who suffer 
damage or loss resulting from the last storage or movement of personal 
property, or for claims accruing before retirement or separation.
    (f) AFROTC cadets while on active duty for summer training.
    (g) United States Air Force Academy cadets.



Sec. 842.29  Who are not proper claimants.

    The following individuals are not proper claimants:
    (a) Subrogees and assignees of proper claimants, including insurance 
companies.
    (b) Conditional vendors and lienholders.
    (c) Non-Air Force personnel, including American Red Cross personnel, 
United Services Organization (USO) performers, employees of government 
contractors, and Civil Air Patrol (CAP) members.
    (d) AFROTC cadets who are not on active duty for summer training.

[[Page 81]]

    (e) Active duty military personnel and civilian employees of a 
military service other than the Air Force.
    (f) DOD employees who are not assigned to the Air Force.
    (g) Army and Air Force Exchange Service (AAFES) employees and other 
employees whose salaries are paid from nonappropriated funds (see 
subpart O).
    (h) Military personnel of foreign governments.



Sec. 842.30  General provisions.

    Payable claims must be for:
    (a) Personal property which is reasonable or useful under the 
circumstances of military service.
    (b) Loss, damage, destruction, confiscation, or forced abandonment 
which is incident to service.
    (c) Losses that are not collectable from any other source, including 
insurance and carriers.
    (d) Property that is owned by the claimants, their immediate 
families, or borrowed for their use.
    (e) Losses occurring without the claimants' negligence.



Sec. 842.31  Claims payable.

    Claims may be paid for:
    (a) Transportation or storage loss: (1) Pay for property damage or 
loss incident to:
    (i) Transportation under orders, whether it was in the possession of 
the government, carrier, storage warehouse, or other government 
contractor. This includes Do-It-Yourself (DITY) moves.
    (ii) Travel under orders, including temporary duty (TDY).
    (iii) Travel on a space available basis on a military aircraft, 
vessel, or vehicle.
    (2) Pay for property essential to everyday use, if the claimant has 
replaced the items that he or she reported as missing. Essential items 
may be paid for even if someone locates the property before the claimant 
files the claim.
    (b) Losses at quarters and other authorized places--(1) In the 
United States (including U.S. territories and possessions). Pay for 
personal property damage or loss, to include food spoilage, which is 
caused by fire, explosion, theft, vandalism, typhoon, hurricane, unusual 
occurrences or power outages which last for an extended period of time. 
The claimant must be free of negligence.
    (i) Claims for damage or loss caused by other acts of god are not 
paid except in those instances where the geographic area has been 
declared to be a federal disaster area or HQ USAF/JACC has determined 
that payment is appropriate because the severity of the act of god was 
truly extraordinary.
    (ii) In some areas, extreme weather, such as severe lightning 
storms, hail, or high winds, occur routinely. Damage claims from these 
storms are normally not paid. Failure to take reasonable care in 
protecting property from such known hazards may be negligence. These 
types of claims would include pitted windshields, dents, chipped paint 
on vehicles, and lightning damage to television sets, stereos, computer 
components, video recorders, and other electrical appliances.
    (2) Outside the United States. Pay for personal property damage or 
loss, to include food spoilage, which is caused by fire, explosion, 
theft, vandalism, acts of god, unusual occurrences, or power outages 
which last for an extended period of time. The claimant must be free of 
negligence. The SJA must make an affirmative determination that the act 
of god or unusual occurrence was truly extraordinary.
    (c) Privately owned vehicles (POV). Pay for damage to or loss of 
POVs caused by government negligence under subpart F or K. Pay under 
this subpart for damage or loss incident to:
    (1) Theft of POVs or their contents, or vandalism to parked POVs:
    (i) Anywhere on a military installation.
    (ii) At offbase quarters overseas.
    (iii) At other authorized places.
    (2) Government shipment:
    (i) To or from oversea areas incident to PCS.
    (ii) On a space available reimbursable basis.
    (iii) As a replacement vehicle under the provisions of the Joint 
Travel Regulations (JTR).
    (3) Authorized use for government duty other than PCS moves. The 
owner must have specific advance permission of the appropriate 
supervisor or official. Adequate proof of the permission

[[Page 82]]

and of nonavailability of official transportation must be provided prior 
to paying such claims. Claims arising while the claimant is deviating 
from the principal route or purpose of the trip should not be paid, but 
claims occurring after the claimant returns to the route or purpose 
should be paid. Travel between quarters and place of duty, including 
parking, is not authorized use for government duty.
    (4) Paint spray, smokestack emission, and other similar operations 
by the Air Force on a military installation caused by a contractor's 
negligence. (Process the claim under subpart F or K, if government 
negligence causes such losses.) If a contractor's operation caused the 
damage:
    (i) Refer the claim first to the contractor for settlement.
    (ii) Settle the claim under this subpart if the contractor does not 
pay it or excessively delays payment, and assert a claim against the 
contractor.
    (d) Damage to mobile or manufactured homes and contents in shipment. 
Pay such claims if there is no evidence of structural or mechanical 
failure for which the manufacturer is responsible.
    (e) Borrowed property. Pay for loss or damage to property claimants 
borrow for their use. Either the borrower or lender, if proper 
claimants, may file a claim. Do not pay for property borrowed to 
accommodate the lender, i.e., such as to avoid weight or baggage 
restrictions in travel.
    (f) Marine or aircraft incident. Pay claims of crewmembers and 
passengers who are in duty or leave status at the time of the incident. 
Payable items include jettisoned baggage, clothing worn at the time of 
an incident, and reasonable amounts of money, jewelry, and other 
personal items.
    (g) Combat losses. Pay for personal property losses, whether or not 
the United States was involved, due to:
    (1) Enemy action.
    (2) Action to prevent capture and confiscation.
    (3) Combat activities.
    (h) Civil activity losses. Pay for losses resulting from a 
claimant's acts to:
    (1) Quell a civil disturbance.
    (2) Assist during a public disaster.
    (3) Save human life.
    (4) Save government property.
    (i) Confiscated property. Pay for losses when:
    (1) A foreign government unjustly confiscates property.
    (2) An unjust change or application of foreign law forces surrender 
or abandonmnet of property.
    (j) Clothing and accessories worn on the person. Pay claims for 
damage to eyeglasses, hearing aids, and dentures the government did not 
supply, when the damage results from actions beyond the normal risks 
associated with daily living and working. Claimants assume the risk of 
normal wear and tear, and their negligence bars payment of the claim.
    (k) Money losses. Pay claims for loss of money when the losses are 
due to theft from quarters, other authorized places, or from the person, 
if the claimant was required to be in the area and could not avoid the 
theft by due care. As a general rule, $200.00 is reasonable to have in 
quarters, and $100.00 is reasonable to have on the person unless:
    (1) The money was in a bona fide coin collection.
    (2) The claimant can justify possession of the money for a PCS move, 
extended TDY, vacation, extensive shopping trip, or similar 
circumstances. The claimant must show a good reason why the money had 
not been deposited in a bank or converted into travelers checks or a 
money order.
    (3) Local commercial facilities are not available or because US 
personnel do not generally use such facilities.



Sec. 842.32  Claims not payable.

    A claim is not payable if:
    (a) It is not incident to the claimant's service.
    (b) The loss or damage is caused in whole or in part by the 
negligence or wrongful act of the claimant, the claimant's spouse, 
agent, or employee.
    (c) It is a subrogation or assigned claim.
    (d) The loss is recovered or recoverable from an insurer or other 
source. When a loss is recovered or is recoverable:
    (1) The amount payable by insurance should be deducted if an insurer 
denied a claim because a claimant failed to report the loss or to file a 
timely claim under the policy. The claim should be

[[Page 83]]

paid if the settlement authority determines the claimant had good cause 
for not filing with the insurer, or
    (2) The amount which the Air Force cannot recover from a carrier 
because the claimant failed to give timely notice of loss or damage 
should be subtracted from the settlement unless the claimant shows good 
cause for failure to give notice.
    (e) It is intangible property including bank books, promissory 
notes, stock certificates, bonds, baggage checks, insurance policies, 
checks, money orders, travelers checks and credit cards.
    (f) It is government property, including issued clothing items 
carried on an individual issue supply account. (Clothing not carried on 
an individual issue supply account which is stolen or clothing lost or 
damaged in transit may be considered as a payable item when claimed.)
    (g) It is enemy property.
    (h) It is a loss within the United States at offbase quarters the 
government did not provide.
    (i) It is damage to real property.
    (j) It is an appraisal fee, unless the settlement authority requires 
one to adjudicate the claim. HQ USAF/JACC must authorize payment for an 
appraisal fee of more than $100.
    (k) It is property acquired or shipped for persons other than the 
claimant or the claimant's immediate family; however, a claim for 
property acquired for bona fide gifts may be paid.
    (l) It is an article held for sale, resale, or used primarily in a 
private business.
    (m) It is an item acquired, possessed, shipped, or stored in 
violation of any U.S. Armed Force directive or regulation. This includes 
an automobile for which a member fails to comply with base registration 
or insurance regulations. A claim must not be paid if one or more of 
these factors exist:
    (1) The loss was the type the regulation or directive intended to 
prevent.
    (2) The violation was willful or in defiance of authority, rather 
than minor or technical in nature.
    (3) The violation either undermined discipline or adversely affected 
command welfare.
    (n) It is an item fraudulently claimed. Deny payment for an item 
when investigation shows the claimant has intentionally falsified the 
value, condition, extent of damage, or repair cost of it. The claim file 
must show clear intent to defraud. A mere mistake is not a fraud.
    (o) It is for charges for labor performed by the owner or immediate 
family member.
    (p) It is for financial loss due to changed or cancelled orders.
    (q) It is for expenses of enroute repair of a mobile or manufactured 
home.
    (r) It is a loss of use of personal property.
    (s) It is an attorney or agent fee.
    (t) It is the cost of preparing a claim, other than estimate fees.
    (u) It is an inconvenience expense, such as food, lodging, and 
transportation costs due to delay in delivery of household goods or 
travel to port to deliver or pick up a vehicle.
    (v) It is a loss of, or damage to POV driven during PCS.
    (w) It is a personal property insurance premium.
    (x) It is a claim for a thesis or other similar papers, except for 
the cost of materials.
    (y) It is damage to, or loss of a rental vehicle which TDY or PCS 
orders authorized. These claims may be payable through Accounting and 
Finance as a travel expense.
    (z) It is a cost to relocate a telephone or mobile or manufactured 
home due to a government ordered quarters move. The member submits such 
claims to the commander directing the move for payment from other 
Operation and Maintenance (O&M) funds.
    (aa) It is for damage to or loss of property stored at the owner's 
expense unless the claimant's duty made storage necessary.
    (bb) It is for damage to clothing and accessories caused by routine 
wrinkles.
    (cc) It is hit-and-run damage to POVs.
    (dd) It is for damage to clothing and accessories caused by contact 
with office furniture or getting in or out of a government vehicle 
unless the damage was caused by an unknown defect.



Sec. 842.33  Reconsideration of a claim.

    A claimant may request reconsideration of an initial settlement or 
denial

[[Page 84]]

of a claim. The claimant sends the request in writing, to the settlement 
authority within a reasonable time following the initial settlement or 
denial. Sixty days is considered a reasonable time, but the settlement 
authority may waive the time limit for good cause.
    (a) The original settlement authority reviews the reconsideration 
request. The settlement authority sends the entire claim file with 
recommendations and supporting rationale to the next higher settlement 
authority if all relief the claimant requests is not granted.
    (b) The decision of the higher settlement authority is the final 
administrative action on the claim.



Sec. 842.34  Right of subrogation, indemnity, and contribution.

    The Air Force becomes subrogated to the rights of the claimant upon 
settling a claim. The Air Force has the rights of contribution and 
indemnity permitted by the law of the situs or under contract. The Air 
Force does not seek contribution or indemnity from US military personnel 
or civilian employees whose conduct in scope of employment gave rise to 
government liability.



Sec. 842.35  Depreciation and maximum allowances.

    The military services have jointly established the ``Allowance List-
Depreciation Guide'' to determine values for most items and to limit 
payment for some categories of items.



                   Subpart E--Carrier Recovery Claims



Sec. 842.36  Scope of this subpart.

    This subpart explains how to assert and settle claims against 
carriers, warehousemen, and contractors for loss and damage to personal 
property.



Sec. 842.37  Definitions.

    (a) Bill of lading. A contract for movement and delivery of goods.
    (1) Carriers issue commercial bills of lading.
    (2) Transportation officers issue government bills of lading (GBL). 
GBLs include the terms and conditions of commercial bills of lading with 
certain exceptions.
    (3) The GBL is all of the following:
    (i) A receipt for goods tendered to a carrier.
    (ii) A contract.
    (iii) A document authorizing collection of transportation bills the 
carrier presents.
    (b) Carrier. Any moving company, personal property forwarder, or 
freight forwarder holding a certificate or permit issued by a federal or 
state regulatory agency or approved by the Department of Defense for 
international shipments.
    (c) Military Traffic Management Command (MTMC). The Department of 
Defense management agency for military traffic, land transportation, and 
common user ocean terminals. Among other responsibilities, MTMC manages 
the DOD household goods moving and storage program worldwide. The Army 
has single service responsibility for MTMC.
    (d) Regional Storage Management Office (RSMO). The MTMC office 
responsible for negotiating and administering all storage contracts 
within a geographical area. The contracting officer of each RSMO makes 
involuntary collections of nontemporary storage loss and damage claims.
    (e) Net weight. The weight of the fully-loaded van or shipping crate 
(gross weight), less the weight of the empty van or shipping crate (tare 
weight).
    (f) Nontemporary storage (NTS). All authorized storage not in 
connection with a GBL. NTS usually exceeds 180 days and normally 
includes packing and shipping of household goods to the warehouse.
    (g) Storage in transit (SIT). Storage of a shipment by a carrier at 
origin, enroute, or at destination. SIT is initially limited to 90 days. 
The transportation officer may extend it to a maximum of 180 days.
    (h) Tender of service. A carrier's offer to do business with the 
Department of Defense, including the terms and conditions of the 
agreement. The Personal Property Traffic Management Regulation (PPTMR), 
DOD Regulation 4500.34, Appendix A, contains this agreement.

[[Page 85]]



Sec. 842.38  Delegations of authority.

    (a) Settlement authority: (1) These individuals have delegated 
authority to settle, compromise, suspend, or terminate action on claims 
for $20,000 or less and to accept full payment on any claim:
    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (v) The SJAs of HQ PACAF, HQ USAFE, and HQ 9AF (for HQ CENTCOM).
    (2) These individuals have delegated authority to settle, 
compromise, suspend, or terminate action on claims for $15,000 or less 
and to accept full payment on any claim:
    (i) SJAs of GCMs in PACAF and USAFE.
    (ii) SJAs of single base GCMs.
    (3) SJAs of each Air Force base, station, or fixed installation have 
delegated authority to settle, compromise, suspend, or terminate action 
on claims for $10,000 or less and to accept full payment on any claim.
    (b) Redelegation of authority. An individual with settlement 
authority may redelegate this authority, in writing, to a subordinate 
judge advocate or civilian attorney.
    (c) Authority to reduce, withdraw, or restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
settlement authority.



Sec. 842.39  Statute of limitations.

    (a) International commercial air shipments. The government must file 
suit within 2 years after the delivery date. The period for notifying 
these carriers of loss or damage is 3 days for luggage, and 7 days for 
other goods. Setoff is not possible in these cases. Uncollectible claims 
are sent to HQ USAF/JACC within 6 months from the date of delivery.
    (b) All other CR claims. The government must file suit within 6 
years after the cause of action accrues. It accrues when a responsible 
US official, service member, or employee knew or reasonably should have 
known the material facts that caused the claimed loss. The requirement 
to file a claim within 9 months under commercial bills of lading does 
not apply to GBLs.



             Subpart F--Military Claims Act (10 U.S.C. 2733)



Sec. 842.40  Scope of this subpart.

    This subpart explains how to settle claims made against the United 
States for property damage, personal injury, or death caused by military 
personnel or civilian employees of the Air Force acting in the scope of 
their employment or otherwise incident to the Air Force's noncombat 
activities.



Sec. 842.41  Definitions.

    (a) Appeal. A request by the claimant or claimant's authorized agent 
to reevaluate the final decision. A request for reconsideration and an 
appeal are the same for the purposes of this subpart.
    (b) Final denial. A letter mailed from the settlement authority to 
the claimant or authorized agent advising the claimant that the Air 
Force denies the claim.
    (c) Noncombat activity. Activity, other than combat, war or armed 
conflict, that is particularly military in character and has little 
parallel in the civilian community.



Sec. 842.42  Delegations of authority.

    (a) Settlement authority: (1) The Secretary of the Air Force has 
delegated authority to:
    (i) Settle claims for $100,000 or less.
    (ii) Settle claims for more than $100,000, paying the first $100,000 
and reporting the excess to the General Accounting Office for payment.
    (iii) Deny a claim in any amount.
    (2) The Judge Advocate General has delegated authority to settle 
claims for $100,000 or less and deny claims in any amount.
    (3) The following individuals have delegated authority to settle 
claims for $25,000 or less and deny claims in any amount:
    (i) The Deputy Judge Advocate General.
    (ii) The Director of Civil Law.

[[Page 86]]

    (iii) The Chief, Deputy Chief and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (4) The SJA of 9AF for CENTCOM, and the SJAs of PACAF and USAFE have 
delegated authority to settle claims payable or deny claims filed for 
$25,000 or less.
    (5) SJAs of single base GCMs, and GCMs in PACAF and USAFE, and each 
Air Force base, station, or fixed installation have delegated authority 
to settle claims payable, or deny claims filed for $15,000 or less.
    (b) Redelegation of authority. A settlement authority may redelegate 
his or her authority for claims not exceeding $25,000, to a subordinate 
judge advocate or civilian attorney in writing.
    (c) Appellate authority. Upon appeal, a settlement authority has the 
same authority specified above. However, no appellate authority below 
the Office of the Secretary of the Air Force may deny an appeal of a 
claim it had previously denied.
    (d) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.
    (e) Settlement negotiations. A settlement authority may settle a 
claim in any sum within its delegated settlement authority, regardless 
of the amount claimed. Send uncompromised claims in excess of the 
delegated authority to the level with settlement authority. Unsuccessful 
negotiations at one level do not bind higher authority.
    (f) Special exceptions. Do not settle claims for the following 
without HQ USAF/JACC approval:
    (1) Legal malpractice.
    (2) On the job personal injury or death of an employee of a 
government contractor or subcontractor.
    (3) Assault, battery, false imprisonment, false arrest, abuse of 
process, or malicious prosecution committed by an investigative or law 
enforcement officer.
    (4) On-base animal bite cases.
    (5) Personal injury from asbestos or radon.
    (6) Claims based upon an act or omission of an employee of the 
government, exercising due care, in the execution of a statute or 
regulation.
    (7) Claims based upon the exercise or performance or the failure to 
exercise or perform a discretionary function or duty on the part of a 
federal agency or an employee of the government.
    (8) Claims for damage to property of a state, commonwealth, 
territory, or the District of Columbia caused by ANG personnel engaged 
in training or duty under 32 U.S.C. 316, 502, 503, 504, or 505 who are 
assigned to a unit maintained by that state, commonwealth, territory or 
the District of Columbia.
    (9) Claims not payable because payment 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 MCA.
    (10) Claims presented by a national, or a corporation controlled by 
a national, of a country at war or engaged in armed conflict with the 
United States, or any country allied with such enemy country.
    (11) Medical malpractice.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



Sec. 842.43  Filing a claim.

    (a) How and when filed. A claim is filed when a federal military 
agency receives from a claimant or duly authorized agent a properly 
completed Standard Form 95 or other signed and written demand for money 
damages in a sum certain. A claim belonging to another agency is 
promptly transferred to that agency.
    (b) Amending a claim. A claimant may amend a claim at any time prior 
to final action. To amend a claim, the claimant or his or her authorized 
agent must submit a written, signed demand.



Sec. 842.44  Advance payments.

    Subpart Q sets forth procedures for advance payments.



Sec. 842.45  Statute of limitations.

    (a) A claim must be filed in writing within 2 years after it 
accrues. It accrues when the claimant discovers or reasonably should 
have discovered the existence of the act that resulted in the claimed 
loss. The same rules governing accrual pursuant to the Federal

[[Page 87]]

Tort Claims Act should be applied with respect to the Military Claims 
Act.
    (b) The statutory time period excludes the day of the incident and 
includes the day the claim was filed.
    (c) Consider claims filed after the statute has run when:
    (1) The United States is at war or in an armed conflict when the 
claim accrues, or
    (2) The United States enters a war or armed conflict after the claim 
accrues, and
    (3) Good cause is shown. A claim is barred by the statute of 
limitations if it is filed more than 2 years after the good cause ceases 
to exist or the war or armed conflict ends. Congress or the President 
establishes the beginning and end of war or armed conflict.



Sec. 842.46  Who may file a claim.

    (a) Owners of the property or their authorized agents may file 
claims for property damage.
    (b) Injured persons or their duly authorized agents may file claims 
for personal injury.
    (c) Duly appointed guardians of minor children or any other persons 
legally entitled to do so under applicable local law may file claims for 
minors' personal injuries.
    (d) Executors or administrators of a decedent's estate or another 
person legally entitled to do so under applicable local law, may file 
claims based on:
    (1) An individual's death.
    (2) A cause of action surviving an individual's death.
    (e) Insurers with subrogation rights may file claims for losses paid 
in full by them. The parties may file claims jointly or individually, to 
the extent of each party's interest, for losses partially paid by 
insurers with subrogation rights.
    (f) Authorized agents signing claims show their title or legal 
capacity and present evidence of authority to present the claims.



Sec. 842.47  Who are proper claimants.

    (a) Citizens and inhabitants of the United States.
    (b) U.S. military personnel and civilian employees.
    Note: These personnel are not proper claimants for personal injury 
or death incident to service.
    (c) Persons in foreign countries who are not inhabitants of the 
foreign country.
    (d) States, state agencies, counties, or municipalities, or their 
political subdivisions.
    (e) Prisoners of war or interned enemy aliens.
    Note: These individuals are proper claimants for personal property 
damage but not for personal injury.
    (f) Property owners, their representatives, and those with certain 
legal relationships with the record owner, including mortgagors, 
mortgagees, trustees, bailees, lessees and conditional vendees.
    (g) Subrogees to the extent they have paid for the claim in 
question.



Sec. 842.48  Who are not proper claimants.

    (a) Governments of foreign nations, their agencies, political 
subdivisions, or municipalities.
    (b) Agencies and departments of the U.S. Government.
    (c) Nonappropriated fund instrumentalities.
    (d) Subrogees of Sec. 842.48(a), (b), and (c) of this part.
    (e) Inhabitants of foreign countries.



Sec. 842.49  Claims payable.

    (a) Claims arising from negligent or wrongful acts or omissions 
committed by United States military or civilian personnel while acting 
in the scope of their employment.
    (b) Claims arising from noncombat activities of the United States, 
whether or not such injuries of damages arose out of the negligent or 
wrongful acts or omissions by United States military or civilian 
employees acting within the scope of their employment.
    (c) Claims for damage to bailed property under Sec. 842.49(a) or (b) 
of this part, where all of the following are present:
    (1) The United States armed forces assumed the duties of a bailee.
    (2) The bailor did not assume the risk of loss by express agreement.
    (3) Authorized United States armed forces military or civilian 
personnel acting in their official capacity properly accepted the 
property.
    (d) Claims for loss or damage to:

[[Page 88]]

    (1) Insured or registered mail under Sec. 842.49(a), (b), or (c) 
while in the possession of the United States armed forces military or 
civilian personnel.
    (2) Minimum fee insured mail, but only if it has an insurance number 
or requirement for hand-to-hand receipt while in the possession of the 
United States armed forces military or civilian personnel.
    (3) Any mail in the possession of the US Postal Service or a 
Military Postal Service due to an unlawful or negligent inspection, 
search, or seizure conducted in an oversea military postal facility, 
under orders of armed forces personnel.
    (e) Claims for property damage of US military personnel under 
conditions listed in paragraphs (a) and (b) of this section, where the 
damage occurred on a military installation and is not payable under the 
Military Personnel and Civilian Employees' Claims Act.
    (f) Claims filed by DOD military or civilian health care providers 
or legal personnel for their personal liability by settlement or 
judgment, to include reasonable costs of such litigation, for their 
common law tortious acts committed within the scope of their employment 
under circumstances described in 10 U.S.C. 1089(f) and 10 U.S.C. 
1054(f).

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32076, Aug. 7, 1990]



Sec. 842.50  Claims not payable.

    Exclusions listed in Sec. 842.50 (a) through (l) of this part, are 
based on the wording of 28 U.S.C. 2680. The remainder are based either 
on statute or court decisions. The interpretation of these exclusions is 
a Federal question decided under Federal law. Where State law differs 
with Federal law, Federal law prevails. A claim is not payable under 
this subpart if it:
    (a) Is based on an act or omission of an employee of the government, 
exercising due care, in the execution of a statute or regulation, 
whether or not such statute or regulation is valid. Do not deny claims 
solely on this exception without the prior approval of HQ USAF/JACC.
    (b) Is based on the exercise or performance or the failure to 
exercise or perform a discretionary function or duty on the part of a 
Federal agency or an employee of the government, whether or not the 
discretion involved is abused. Do not deny claims solely on this 
exception without the prior approval of HQ USAF/JACC.
    (c) Arises out of the loss, miscarriage, or negligent transmission 
of letters or postal matter, except those claims payable under 
Sec. 842.49.
    (d) Arises with respect to the assessment or collection of any tax 
or customs duty, or the detention of any goods or merchandise by any 
officer of customs or excise, or any other law enforcement officer.
    (e) Is cognizable under the Suits in Admiralty Act or under the 
Public Vessels Act.
    (f) Arises out of an act or omission of any employee of the 
government in administering the provisions of the Trading With the Enemy 
Act.
    (g) Is for damages caused by the imposition or establishment of a 
quarantine by the United States.
    (h) Arises out of an assault or battery, unless the assault or 
battery arises out of the acts or omissions of investigative or law-
enforcement officers of the US Government, or arises out of the 
performance of medical, dental or related health care functions.
    (i) Arises out of false imprisonment, false arrest, malicious 
prosecution or abuse of process, unless such actions were committed by 
an investigative or law enforcement officer of the United States who is 
empowered by law to execute searches, seize evidence, or make arrests 
for violations of federal law.
    (j) Arises out of libel, slander, misrepresentation, or deceit.
    (k) Arises out of interference with contract rights.
    (l) Arises from the fiscal operations of the Department of the 
Treasury or from the regulation of the monetary system.
    (m) Arises out of the combat activities of the military or naval 
forces, or the Coast Guard, during time of war.
    (n) Arises from activities of the Tennessee Valley Authority.
    (o) Arises from the activities of the Panama Canal Company.

[[Page 89]]

    (p) Arises from the activities of a Federal land bank, a Federal 
intermediate credit bank, or a bank for cooperatives.
    (q) Is for the personal injury or death of a member of the Armed 
Forces of the United States, including the Coast Guard, incurred 
incident to service.
    (r) Is for the personal injury or death of a government employee for 
whom benefits are provided by the FECA.
    (s) Is for the personal injury or death of an employee, including 
nonappropriated fund employees, for whom benefits are provided by the 
Longshore and Harbor Workers' Compensation Act (LHWCA).
    (t) Is for the personal injury or death of any government contractor 
employee for whom benefits are provided under any worker's compensation 
law, or under any contract or agreement providing employee benefits 
through insurance, local law, or custom when the United States pays them 
either directly or as part of the consideration under the contract. Only 
HQ USAF/JACC may settle these claims.
    (u) Is for taking of property as by technical trespass or overflight 
of aircraft and of a type contemplated by the Fifth Amendment to the US 
Constitution, or otherwise constitutes a taking.
    (v) Is for damage from or by flood or flood waters at any place.
    (w) Is for damage to property or for any death or personal injury 
occurring directly or indirectly as a result of the exercise or 
performance of, or failure to exercise or perform, any function or duty 
by any Federal agency or employee of the government to carry out the 
provisions of the Federal Civil Defense Act of 1950 during the existence 
of a civil defense emergency.
    (x) Is for patent or copyright infringement.
    (y) Is for damage to property of a state, commonwealth, territory, 
or the District of Columbia caused by ANG personnel engaged in training 
or duty under 32 U.S.C. 316, 502, 503, 504, or 505 who are assigned to a 
unit maintained by that state, commonwealth, territory, or the District 
of Columbia unless the express approval for payment is received from HQ 
USAF/JACC.
    (z) Is for damage to property or for any death or personal injury 
arising out of the activities of any federal agency or employee of the 
government in carrying out the provisions of the Federal Disaster Relief 
Act of 1954.
    (aa) Arises from activities that present a political question.
    (bb) Results wholly from the negligent, or wrongful act of the 
claimant or agent.
    (cc) Is for reimbursement for medical, hospital, or burial expenses 
furnished at the expense of the United States.
    (dd) Arises from contractual transactions, express or implied, 
including rental agreements, sales agreements, leases and easements, 
which are payable or enforceable under such contracts or arise out of 
irregular procurement and implied contract.
    (ee) Arises from private, as distinguished from government, 
transactions.
    (ff) Is based solely on compassionate grounds.
    (gg) Is for rent, damage, or other expenses or payments involving 
the regular acquisition, use, possession, or disposition of real 
property of interests therein by and for the Air Force.
    (hh) 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 
MCA; 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. Claims considered not payable under 
this paragraph are forwarded, with recommendations for disposition, 
through claims channels to HQ USAF/JACC.
    (ii) Is presented by a national, or a corporation controlled by a 
national, of a country at war or engaged in armed conflict with the 
United States, or any country allied with such enemy country unless the 
appropriate settlement authority 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. Claims

[[Page 90]]

considered not payable under this paragraph are forwarded with 
recommendations for disposition, through claims channels, to HQ USAF/
JACC.
    (jj) Is for personal injury or death of military or civilian 
personnel of a foreign country, if their personal injury or death was 
suffered incident to their service.
    (kk) Is for damage to or loss of bailed property when the bailor 
specifically assumes such risk.
    (ll) Is for property damage, personal injury, or death occurring in 
a foreign country to an inhabitant of that country.
    (mm) Is for the loss of a rental fee for personal property.
    (nn) Arises out of matters which are in litigation against the 
United States.
    (oo) Is payable under any one of the following statutes and 
implementing regulations:
    (1) Federal Tort Claims Act.
    (2) Foreign Claims Act.
    (3) International Agreements Claims Act.
    (4) Air Force Admiralty Claims Act and the Admiralty Extension Act.
    (5) National Guard Claims Act.
    (6) Military Personnel and Civilian Employees' Claims Act.



Sec. 842.51  Applicable law.

    This paragraph provides the existing law governing liability, 
measurement of liability and the effects of settlement upon awards.
    (a) Extent of liability. Where the claim arises is important in 
determining the extent of liability.
    (1) When a claim arises in the United States, the law of the place 
where the act or omission occurred governs liability. The settlement 
authority considers the local law on such issues as dangerous 
instrumentalities, assumption of risk, res ipsa loquitur, last clear 
chance, discovered peril, and comparative and contributory negligence. 
Absolute liability is never imposed.
    (2) Claims in foreign countries. (i) In claims arising in a foreign 
country, where the claim is for personal injury, death, or damage to or 
loss of real or personal property caused by an act or omission alleged 
to be negligent, wrongful, or otherwise involving fault of military 
personnel or civilian officers or employees of the United States acting 
within the scope of their employment, liability or the United States is 
determined according to general principles of tort law common to the 
majority of American jurisdictions, as evidenced by Federal case law and 
standard legal publications, except as to the principle of absolute 
liability.
    (ii) The law of the foreign country governing the legal effect of 
contributory or comparative negligence by the claimant will be applied 
in determining the relative merits of the claim. In the unusual 
situation where foreign law governing contributory or comparative 
negligence does not exist, use traditional rules of contributory 
negligence. Foreign rules and regulations governing the operation of 
motor vehicles (rules of the road) are applied to the extent those rules 
are not specifically superseded or preempted by United States military 
traffic regulations.
    (3) When adjudicating claims based upon negligence, the principle of 
absolute liability is not applicable, even though otherwise prescribed 
by applicable local law.
    (4) The meaning and construction of the MCA is a Federal question to 
be determined by Federal law.
    (b) General information: (1) The measure of daages in claims arising 
in the United States or its possessions is determined according to the 
law of the place where the act or omission occurred. The measure of 
damages in claims arising overseas is determined according to general 
principles of American tort law.
    (2) Apportion damages against the United States in the same manner 
as they are apportioned in suites against private persons if local law 
applies comparative negligence.
    (3) Do not deduct proceeds from private insurance policies except to 
the extent allowed by local law. However, proceeds are deducted if the 
policy was paid for by the United States.
    (4) Deduct compensation and benefits from the Department of Veterans 
Affairs, or monetary value received from any U.S. Government associated 
source from the damages which may be awarded. Deduct sick and annual 
leave payments if local law allows.
    (5) Do not approve:

[[Page 91]]

    (i) Punitive damages.
    (ii) Cost of medical or hospital services furnished at U.S. expense.
    (iii) Cost of burial expenses paid by the United States.
    (c) Settlement by insurer or joint tort-feasor. When settlement is 
made by an insurer or joint tort-feasor and an additional award is 
warranted, an award may be made if both of the following are present:
    (1) The United States is not protected by the release executed by 
the claimant.
    (2) The total amount received from such source is first deducted.



Sec. 842.52  Appeal of final denials.

    (a) A claimant may appeal the final denial of the claim. The 
claimant sends the request, in writing, to the settlement authority 
within a reasonable time following the final denial. Sixty days is 
considered a reasonable time, but the settlement authority may waive the 
time limit for good cause.
    (b) Upon receipt of the appeal, the original settlement authority 
reviews the appeal.
    (c) Where the settlement authority does not reach a final agreement 
on an appealed claim, he or she sends the entire claim file to the next 
higher settlement authority, who is the appellate authority for that 
claim.
    (d) The decision of the appellate authority is the final 
administrative action on the claim.



Sec. 842.53  Right of subrogation, indemnity, and contribution.

    The Air Force becomes subrogated to the rights of the claimant upon 
settling a claim. The Air Force has the rights of contribution and 
indemnity permitted by the law of the situs, or under contract. Do not 
seek contribution or indemnity from US military personnel or civilian 
employees whose conduct gave rise to government liability.



Sec. 842.54  Attorney fees.

    In the settlement of any claim pursuant to 10 U.S.C. 2733 and this 
subpart, attorney fees will not exceed 20 percent of any award provided 
that when a claim involves payment of an award over $1,000,000, attorney 
fees on that part of the award exceeding $1,000,000 may be determined by 
the Secretary of the Air Force. For the purposes of this paragraph, an 
award is deemed to be the cost to the United States of any trust or 
structured settlement, and not its future value.



               Subpart G--Foreign Claims (10 U.S.C. 2734)



Sec. 842.55  Scope of this subpart.

    This subpart tells how to settle and pay claims against the United 
States presented by inhabitants of foreign countries for property 
damage, personal injury, or death caused by military and civilian 
members of the US Armed Forces in foreign countries.



Sec. 842.56  Definitions.

    (a) Foreign country. A national state other than the United States, 
including any place under jurisdiction of the United States in a foreign 
country.
    (b) Inhabitant of a foreign country. A person, corporation, or other 
business association whose usual place of abode is in a foreign country. 
The term ``inhabitant'' has a broader meaning than such terms as 
``citizen'' or ``national'', but does not include persons who are merely 
temporarily present in a foreign country. It does not require foreign 
citizenship or domicile.
    (c) Appointing authority. An Air Force official authorized to 
appoint members to foreign claims commissions (FCC).



Sec. 842.57  Delegations of authority.

    (a) Settlement authority: (1) The Secretary of the Air Force has the 
authority to:
    (i) Settle claims for payment of $100,000 or less.
    (ii) Settle claims for more than $100,000, pay the first $100,000, 
and report the excess to the General Accounting Office for payment.
    (iii) Deny claims in any amount.
    (2) The Judge Advocate General has delegated authority to:
    (i) Settle claims for payment of $100,000 or less.
    (ii) Deny claims in any amount.
    (3) The Deputy Judge Advocate General, Director of Civil Law, and 
the Chief, Deputy Chief and Branch Chiefs, Claims and Tort Litigation 
Staff are

[[Page 92]]

each a foreign claims commission and have delegated authority to:
    (i) Settle claims for payment of $50,000 or less.
    (ii) Deny a claim in any amount.
    (4) The SJAs of PACAF, USAFE, 9AF (for CENTCOM) and AFSPACECOM (for 
Greenland and Canada) are each a foreign claims commission and have 
delegated authority to approve claims for payment arising within their 
geographic area of responsibility for $50,000 or less, or deny claims of 
$50,000 or less.
    (5) The SJAs of Numbered Air Forces in PACAF and USAFE; the SJA of 
HQ TUSLOG; the SJA of 12AF (for South America); and the SJAs of Lajes 
AB, Azores, Patrick AFB, FL, and Howard AFB, Panama are each a foreign 
claims commission and have delegated authority to:
    (i) Recommend payment in any amount.
    (ii) Settle claims for payment of $25,000 or less.
    (iii) Deny claims for $50,000 or less.
    (6) The SJAs of each Air Force base, station and fixed installation 
in PACAF, USAFE, and CENTCOM, are each a foreign claims commission and 
have delegated authority to:
    (i) Recommend payment in any amount.
    (ii) Settle claims for payment of $10,000 or less.
    (iii) Deny claims for $25,000 or less.
    (b) Authority to appoint FCCs. (1) The Chief, Claims and Tort 
Litigation Staff, has the delegated authority to appoint a judge 
advocate or civilian attorney as a FCC and to redelegate all or a part 
of his or her settlement authority to that FCC.
    (2) A settlement authority appointed as a FCC in paragraph (a) of 
this section may appoint one or more subordinate judge advocates or 
civilian attorneys as FCCs, and may redelegate all or part of that 
settlement authority to those FCCs, in writing. Every FCC must have 
authority to settle claims for at least $10,000.
    (c) Authority to reduce, withdraw, or restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority, in writing, except no one may reduce or withdraw 
the authority of a FCC to settle claims for $10,000 or less.
    (d) Settlement negotiations. A settlement authority may settle a 
claim in any sum within its settlement authority, regardless of the 
amount claimed. Send uncompromised claims in excess of the delegated 
authority through claims channels to the level with settlement 
authority. Unsuccessful negotiations at one level do not bind higher 
authority.
    (e) Special exceptions. Do not settle claims for medical malpractice 
without HQ USAF/JACC approval.

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32076, Aug. 7, 1990; 56 
FR 1574, Jan. 16, 1991]



Sec. 842.58  Filing a claim.

    (a) How and when filed. A claim is filed when a federal agency 
receives from a claimant or authorized agent a properly completed SF 95 
or other signed and written demand for money damages in a sum certain. A 
claim belonging to another agency is promptly transferred to the 
appropriate agency.
    (b) Amending a claim. A claimant may amend a claim at any time prior 
to final action. An amendment must be in writing and signed by the 
claimant or authorized agent.



Sec. 842.59  Advance payments.

    Subpart Q outlines procedures for advance payments.



Sec. 842.60  Statute of limitations.

    (a) A claim must be filed in writing within 2 years after it 
accrues. It accrues when the claimant discovers or reasonably should 
have discovered the existence of the act that resulted in the claimed 
loss or injury.
    (b) In computing the statutory time period, the day of the incident 
is excluded and the day the claim was filed is included.
    (c) War or armed conflict does not toll the statute of limitations.



Sec. 842.61  Who may file a claim.

    (a) Owners of the property or their authorized agents for property 
damage.
    (b) Injured persons or other authorized agents for personal injury.
    (c) Executors or administrators of a decedent's estate, or any other 
person

[[Page 93]]

legally entitled to do so under applicable local law, for an 
individual's death.
    (d) Authorized agents (including the claimant's attorney) must show 
their title or legal capacity and present evidence of authority to 
present the claim.



Sec. 842.62  Who are proper claimants.

    Claimants include inhabitants of a foreign country who are:
    (a) Foreign nationals.
    (b) US nationals, unless they reside there primarily because they 
are:
    (1) Employed directly by the United States.
    (2) Employed by a US civilian contractor to further performance of a 
contract with the United States.
    (3) Sponsored by or accompanying someone employed as described in 
Sec. 842.62(b) (1) or (2) of this part.
    (c) US corporations with a place of business in the country in which 
the claim arose.
    (d) Foreign governments and their political subdivisions, including 
a municipal and prefectural government.
    (e) Foreign companies and business entities.



Sec. 842.63  Who are not proper claimants.

    Persons who are not proper claimants include:
    (a) Insurers and other subrogees.
    (b) Dependents accompanying US military and US national civilian 
employees.
    (c) Foreign military personnel suffering property damage, personal 
injury, or death from a joint military mission with the United States or 
from conduct of a US military member or employee acting in the scope of 
employment unless an international agreement specifically provides for 
recovery.
    (d) Civilian employees of the United States, including local 
inhabitants, injured in the scope of their employment.
    (e) National governments and their political subdivisions engaging 
in war or armed conflict with the United States or its allies.
    (f) A national or nationally controlled corporation of a country 
engaging in war or armed conflict with the United States or its allies, 
unless the FCC or local military commander determines the claimant is 
friendly with the United States.



Sec. 842.64  Payment criteria.

    The following criteria is considered before determining liability.
    (a) The incident causing the damage or injury must occur outside the 
United States. It must be caused by noncombatant activities of the US 
Armed Forces or by civilian employees or military members of the Armed 
Forces.
    (b) Negligence is not a prerequisite.
    (c) Scope of employment is considered in the following situations.
    (1) It is a prerequisite to US responsibility if the employee 
causing the damage or injury is a local inhabitant, a prisoner of war, 
or an interned enemy alien. These persons are ``employees'' within the 
meaning of the Foreign Claims Act (FCA) only when in the service of the 
United States. Ordinarily, a slight deviation as to time or place does 
not constitute a departure from the scope of employment. The purpose of 
the activity and whether it furthers the general interest of the United 
States is considered. If the claim arose from the operation or use of a 
US Armed Forces vehicle or other equipment by such a person, pay it 
provided local law imposes liability on the owner of the vehicle or 
other equipment in the circumstances involved.
    (2) It is immaterial when the claim arises from the acts or 
omissions of any US Armed Forces member or employee not listed in 
Sec. 842.64(c)(1) of this part. The Act imposes responsibility on the 
United States when it places a US citizen or non-US citizen employee in 
a position to cause the injury or damage. If the cause is a criminal act 
clearly outside the scope of employment, ordinarily pay the claim and 
consider disciplinary action against the offender.



Sec. 842.65  Claims not payable.

    A claim is not payable when it:
    (a) Has been paid or denied by a competent tribunal under the North 
Atlantic Treaty Organization (NATO), Status of Forces Agreement (SOFA), 
or any similar SOFA or treaty.
    (b) Is purely contractual in nature.

[[Page 94]]

    (c) Is for attorney fees, punitive damages, a judgment or interest 
on a judgment, bail, or court costs.
    (d) Accrues from a private contractual relationship between US 
personnel and third parties about property leases, public utilities, 
hiring of domestic servants, and debts of any description. This claim is 
sent for action to the commander of the person concerned (see 32 CFR 
part 818).
    (e) Is based solely on compassionate grounds.
    Note: A Solatium payment is paid from O&M funds as an investigative 
expense.
    (f) Is a bastardy claim.
    (g) Is for patent or copyright infringement.
    (h) Is waived under an international agreement.
    (i) Is for rent, damage, or other payments involving regular 
acquisition, possession, and disposition of real property by or for the 
Air Force.
    (j) Is filed by a Communist country or its inhabitants, unless 
authorized by HQ USAF/JACC.
    (k) Is for real property taken by a continuing trespass.
    (l) Is for personal injury or death of a person covered by:
    (1) The Federal Employees' Compensation Act (5 U.S.C. 8101, et 
seq.).
    (2) The Longshore and Harbor Workers' Compensation Act (33 U.S.C. 
901, et seq.).
    (3) A US contract or agreement providing employee benefits through 
insurance, local law, or custom, where the United States pays for them 
either directly or as part of the consideration under the contract. (See 
42 U.S.C. 1651 and 42 U.S.C. 1701.) The Judge Advocate General or Chief, 
Claims and Tort Litigation Staff, HQ USAF/JACC, may authorize an award 
where local benefits are not adequate. Local benefits are deducted from 
any award.
    (m) Results from an action by an enemy, or directly or indirectly 
from an act of the armed forces of the United States in combat, except 
that a claim may be allowed if it arises from an accident or malfunction 
incident to the operation of an aircraft of the armed forces of the 
United States, including its airborne ordnance, indirectly related to 
combat, and occurring while preparing for or going to, or returning from 
a combat mission.
    (n) Is based on negligence of a concessionaire or other independent 
contractor.
    (o) Arises out of personal activities of dependents, guests, 
servants, or pets of members and employees of the US Armed Forces. (This 
includes situations where local law imposes strict liability or where 
the head of a household is held vicariously liable for their 
negligence.)
    (p) Is the subject of litigation against the United States or its 
employees. This restriction does not apply to joint criminal/civil 
proceedings in a foreign court. Claims settlement may be authorized by 
HQ USAF/JACC in appropriate cases on request.
    (q) Is covered under US admiralty laws, unless authorized by The 
Judge Advocate General or Chief, Claims and Tort Litigation Staff.
    (r) Is one for which a foreign government is responsible under SOFA, 
treaty, or other agreement. However, HQ USAF/JACC may authorize payment 
of a claim where the foreign government refuses to recognize its legal 
responsibilities and the claimant has no other means of compensation.



Sec. 842.66  Applicable law.

    This paragraph provides guidance to determine the applicable law for 
assessment of liability.
    (a) A claim is settled under the law and standards in effect in the 
country where the incident occurred. In calculating the amount of any 
lump sum award, the present value of any periodic payment upon which the 
award is based, is computed, unless the law of the place of occurrence 
prohibits it.
    (b) Contributory negligence committed by the claimant, claimant's 
agent, or employee is not used as a bar to recovery unless local law or 
custom requires it. If the comparative negligence doctrine is used, the 
percentage of negligence of each party is reflected in the apportionment 
of liability. The amount of damage sustained by both parties is 
apportioned according to local law.
    (c) The following principles of the collateral source doctrine are 
applied

[[Page 95]]

in settling a claim except where local law provides otherwise:
    (1) Any sums the claimant recovers from collateral sources, 
including proceeds of property insurance the claimant paid for are not 
deducted from the claim except when those sums are from:
    (i) The US Government.
    (ii) A US military member or employee.
    (iii) A Joint tort-feasor.
    (iv) An Insurer of Sec. 842.66(c)(1)(i), (ii), or (iii), above.
    (2) Do not deduct insurance or any other payments where the US 
military member or employee would have to make reimbursement.



Sec. 842.67  Reconsideration of final denials.

    This paragraph provides the procedures used to reconsider a final 
denial.
    (a) An FCC may reopen, reverse, or reconsider, in whole or in part, 
any claim it previously decided if the request for reconsideration is 
received in a reasonable time. Sixty days is considered a reasonable 
time, but the FCC may waive the time limit for good cause.
    (b) An FCC reconsiders the final action on a claim when there is:
    (1) New and material evidence concerning the claim.
    (2) Obvious error in facts or calculation of the original 
settlement.
    (3) Fraud or collusion in the original submission of the claim.
    (c) The FCC must state the reason for reconsideration in its 
opinion. A court decision is not in itself sufficient basis for 
reconsidering a claim, but the facts that resulted in the judgment may 
warrant reconsideration. The amount of a court judgment is not binding 
on a FCC's determination of damage, but the commission may consider the 
judgment as evidence of the local law on the subject.



Sec. 842.68  Right of subrogation, indemnity, and contribution.

    The Air Force becomes subrogated to the rights of the claimant upon 
settling a claim. The Air Force has the rights of indemnity and 
contribution permitted by the law of the situs or under contract. 
Contribution or indemnity should not be sought:
    (a) From US military personnel or civilian employees whose conduct 
gave rise to government liability.
    (b) Where recovery action would be harmful to international 
relations.



  Subpart H--International Agreement Claims (10 U.S.C. 2734a and 2734b)



Sec. 842.69  Scope of this subpart.

    This subpart governs Air Force actions in investigating, processing, 
and settling claims under international agreements.



Sec. 842.70  Definitions.

    The following are general definitions. See the relevant 
international agreement for the specific meaning of a term to use with a 
specific claim.
    (a) Civilian component. Civilian personnel accompanying a force of a 
contracting party, who are employed by that force. Indigenous employees, 
contractor employees, or members of the American Red Cross are not a 
part of the civilian component unless specifically included in the 
agreement.
    (b) Contracting party. A nation signing the governing agreement.
    (c) Force. Personnel belonging to the land, sea, or air armed 
services of one contracting party when in the territory of another 
contracting party in connection with their official duties.
    (d) Legally responsible. A term of art providing for settlement of 
claims under cost sharing international agreements consistent with the 
law of the receiving State. Often these claims are caused by local 
inhabitant employees, not part of the civilian component, under a 
respondeat superior theory.
    (e) Receiving state. The country where the force or civilian 
component of another party is located.
    (f) Sending state. The country sending the force or civilian 
component to the receiving State.
    (g) Third parties. Those other than members of the force and 
civilian component of the sending or receiving States. Dependents, 
tourists, and other noninhabitants of a foreign country are third 
parties unless the agreement specifically excludes them.

[[Page 96]]



Sec. 842.71  Delegations of authority.

    (a) Reimbursement authority. The following individuals have 
delegated authority to reimburse or pay a pro rata share of a claim or 
object to a claim in any amount:
    (1) The Secretary of the Air Force.
    (2) The Judge Advocate General.
    (3) The Deputy Judge Advocate General.
    (4) The Chief of Civil Law.
    (5) Chief, Deput Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (6) The SJAs and Deputy SJAs of PACAF, USAFE, 5th Air Force, Lajes 
Field, and 9th Air Force (for CENTCOM).
    (b) Redelegation of authority. A settlement authority may redelegate 
his or her authority to a subordinate judge advocate or civilian 
attorney in writing.
    (c) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.



Sec. 842.72  Filing a claim.

    (a) Claims arising in a foreign country. (1) If a third party 
claimant tries to file an international agreement claim with Air Force, 
direct that person to the appropriate receiving State office.
    (2) If the Air Force receives a claim, send it to the US sending 
State office for delivery to the receiving State.
    (b) Claims arising in the United States. The claimant files tort 
claims arising from the act or omission of military or civilian 
personnel of another contracting party at any US military installation. 
The installation receiving the claim either:
    (1) Investigates it if the foreign personnel are assigned there.
    (2) Sends it to the installation where the foreign personnel are 
assigned.



      Subpart I--Use of Government Property Claims (10 U.S.C. 2737)



Sec. 842.73  Scope of this subpart.

    This subpart explains how to settle and pay claims against the 
United States, for property damage, personal injury, or death incident 
to the use of a government vehicle or any other government property by 
Air Force military and civilian personnel which are not payable under 
any other statute.



Sec. 842.74  Definitions.

    (a) Government installation. A United States Government facility 
having fixed boundaries and owned or controlled by the government.
    (b) Vehicle. Every mechanical device used as a means of 
transportation on land.



Sec. 842.75  Delegations of authority.

    (a) Settlement authority. The following individuals have delegated 
authority to settle claims for $1,000 or less and deny them in any 
amount.
    (1) The Judge Advocate General.
    (2) The Deputy Judge Advocate General.
    (3) Director of Civil Law.
    (4) Chief, Deputy Chief and Branch Chiefs, Claims and Tort 
Litigation staff.
    (5) SJA of HQ 9AF for CENTCOM, and SJAs of PACAF and USAFE.
    (6) SJAs of single base GCMs and GCMs in PACAF and USAFE.
    (7) The SJA of each Air Force base, station and fixed installation.
    (8) Any other judge advocate designated by The Judge Advocate 
General.
    (b) Redelegation of authority. A settlement authority may redelegate 
it to a subordinate judge advocate or civilian attorney in writing.
    (c) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.



Sec. 842.76  Filing a claim.

    (a) How and when filed. A claim has been filed when a federal agency 
receives from a claimant or the claimant's duly authorized agent written 
notification of an incident of property damage, personal injury or death 
accompanied by a demand for money damages in a sum certain. A claim 
incorrectly presented to the Air Force will be promptly transferred to 
the appropriate Federal agency.
    (b) Amending a claim. A claimant may amend a claim at any time prior 
to

[[Page 97]]

final Air Force action. Amendments will be submitted in writing and 
signed by the claimant or the claimant's duly authorized agent.



Sec. 842.77  Statute of limitations.

    (a) A claim must be presented in writing within 2 years after it 
accrues. It accrues at the time the claimant discovers, or in the 
exercise of reasonable care should have discovered, the existence of the 
act causing property damage, personal injury or death for which the 
claim is filed.
    (b) In computing time to determine whether the period of limitation 
has expired, exclude the incident date and include the date the claim 
was filed.



Sec. 842.78  Claims payable.

    When all of the following are present, payment of a claim in the 
amount of $1,000 or less is authorized if it:
    (a) Is for property damage, personal injury, or death. (Payment for 
a personal injury or death claim is limited to costs of reasonable 
medical, hospital, and burial expenses actually incurred and not 
otherwise furnished or paid by the United States.)
    (b) Was caused by a military member or civilian employee of the Air 
Force, whether acting within or outside the scope of employment.
    (c) Arose from the use of a government vehicle at any place or other 
government property on a government installation, and
    (d) Is not payable under any other provision of law except Article 
139, UCMJ.



Sec. 842.79  Claims not payable.

    A claim is not payable if it is:
    (a) Payable under any other provision of the law.
    (b) Caused wholly or partly by a negligent or wrongful act of the 
claimant, the claimant's agent, or employee.
    (c) A subrogated claim.
    (d) Recoverable from other sources such as an insurance policy, or 
recovered from action under Article 139, UCMJ.



Sec. 842.80  Reconsideration of final denial.

    (a) The statute does not provide for appeals. The original 
settlement authority may, however, reconsider any decision. There is no 
set format for a reconsideration but it should be submitted in writing 
within 60 days of the original decision.
    (b) The settlement authority may either grant all or any portion of 
the requested relief without referral to any other office, or forward 
the entire file with the reasons for the action and recommendations to 
the next higher claims settlement authority for independent review and 
final action.



Sec. 842.81  Settlement agreement.

    Do not pay a claim unless the claimant accepts the amount offered in 
full satisfaction of the claim and signs a settlement agreement to that 
effect.



 Subpart J--Admiralty Claims (10 U.S.C. 9801-9804, 9806; 46 U.S.C. 740)



Sec. 842.82  Scope of this subpart.

    It sets forth the procedure for administrative settlement of 
admiralty and maritime claims in favor of and against the United States.



Sec. 842.83  Definitions.

    (a) Admiralty contracts. A contract covering maritime services or a 
maritime transaction such as vessel procurement and space for commerical 
ocean transportation of DOD cargo, mail, and personnel is an admiralty 
contract.
    (b) General average. General average is the admiralty rule that when 
someone's property is thrown overbaord to save a ship, the ship owner 
and all owners of the cargo must share the loss.
    (c) Maritime torts. A maritime tort is one committed in navigable 
waters or on land or in the air where a substantial element of the 
damage, personal injury, or death occurred in navigable waters. The 
activity causing the tortious act must bear some significant 
relationship to traditional maritime activity.
    (d) Vessel. Every description of watercraft used or usable as a 
means of transportation on water is a vessel. (1 U.S.C. 3)

[[Page 98]]



Sec. 842.84  Delegations of authority.

    (a) The following officials have the authority to settle a claim 
against the Air Force in the amounts provided:
    (1) The Secretary of the Air Force has the authority to:
    (i) Settle a claim for payment of more than $500,000 and to certify 
it to Congress for payment.
    (ii) Settle and pay a claim for $500,000 or less.
    (iii) Deny a claim in any amount.
    (2) The following individuals have delegated authority to settle 
claims for $100,000 or less:
    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) The Chief and Deputy Chief, Claims and Tort Litigation staff.
    (b) Delegation of settlement authority on claims in favor of the 
United States.
    (1) The Secretary of the Air Force has the authority to settle 
claims for damage to property under the jurisdiction of the Air Force in 
an amount not to exceed $500,000, and to settle claims for salvage 
services performed by the Air Force in any amount.
    (2) HQ USAF/JACC refers all claims for damage to property under the 
jurisdiction of the Air Force for more than $500,000 to the Department 
of Justice.
    (3) The following individuals have delegated authority to settle 
claims for $100,000 or less and deny them in any amount:
    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) The Chief and Deputy Chief, Claims and Tort Litigation Staff.

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32077, Aug. 7, 1990; 56 
FR 1574, Jan. 16, 1991]



Sec. 842.85  Reconsidering claims against the United States.

    This section provides the policy and procedures to reconsider any 
maritime claim made against the United States.
    (a) The settlement authority may reconsider any claim previously 
disapproved in whole or in part when either:
    (1) The claimant submits new evidence in support of the claim.
    (2) There were errors or irregularities in the submission or 
settlement of the claim.
    (b) There is no right of appeal to higher authority under this 
subpart.



Subpart K--Claims Under the Federal Tort Claims Act (28 U.S.C. 1346(b), 
                      2402, 2671, 2672, 2674-2680)



Sec. 842.86  Scope of this subpart.

    This subpart governs claims against the United States for property 
damage, personal injury, or death, from the negligent or wrongful act or 
omission of Air Force military or civilian personnel while acting within 
the scope of their employment. It also covers similar tort claims 
generated by Air National Guard (ANG) members performing specified duty 
under 32 U.S.C. on or after 29 December 1981.



Sec. 842.87  Definitions.

    (a) Compromise. An agreed settlement based upon the facts, the law, 
and the application of the law to the facts.
    (b) Final denial. A letter the settlement authority mails to the 
claimant or authorized agent advising him or her that the Air Force 
denies his or her claim.
    (c) Reconsideration. A request by the claimant or claimant's 
authorized agent to reevaluate a final decision. A request for 
reconsideration and an appeal are the same thing.
    (d) Negligence. A departure from the conduct expected from a 
reasonably prudent person under similar circumstances.
    (e) Proximate cause. The dominant or primary cause involving a 
natural and continuous sequence unbroken by an effective cause.



Sec. 842.88  Delegations of authority.

    (a) Settlement authority. (1) Subject to the prior written, approval 
of the United States Attorney General or his designee, the following 
individuals have delegated authority to settle claims in excess of 
$25,000, to settle claims for $25,000 or less, and to deny a claim in 
any amount:

[[Page 99]]

    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (2) Subject to the prior written approval of the United States 
Attorney General or his designee, the Chief, Claims and Tort Litigation 
Staff has delegated authority to settle claims in excess of $25,000 up 
to a limit of $50,000, to settle claims for $25,000 or less; and to deny 
a claim in any amount.
    (3) The Deputy Chief and Branch Chiefs, Claims and Tort Litigation 
Staff have delegated authority to settle claims for $25,000 or less and 
deny a claim in any amount.
    (4) The SJA of HQ 9AF for CENTCOM, and SJAs of PACAF and USAFE have 
delegated authority to settle claims payable, and deny claims filed, for 
$25,000 or less.
    (5) The following individuals have delegated authority to settle 
claims payable, and deny claims filed, for $15,000 or less:
    (i) SJAs of single base GCMs.
    (ii) SJAs of GCMs in PACAF and USAFE.
    (iii) SJAs of each Air Force base, station, or fixed installation.
    (b) Redelegation of authority. A settlement authority may be 
redelegated, in writing, to a subordinate judge advocate or civilian 
attorney.
    (c) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.
    (d) Settlement negotiations. A settlement authority may settle a 
claim filed in any amount for a sum within the delegated authority. 
Unsettled claims in excess of the delegated authority will be sent to 
the next highest level with settlement authority. Unsuccessful 
negotiations at one level do not bind higher authority.
    (e) Special exceptions. Do not settle claims for the following 
without HQ USAF/JACC approval:
    (1) Legal malpractice.
    (2) On the job personal injury or death of an employee of a 
government contractor or subcontractor.
    (3) Assault, battery, false imprisonment, false arrest, abuse of 
process, or malicious prosecution committed by an investigative or law 
enforcement officer.
    (4) Animal bites.
    (5) Personal injury from asbestos or radon.
    (6) Medical malpractice.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



Sec. 842.89  Statute of limitations.

    A claim must be presented in writing within 2 years after it 
accrues.
    (a) Federal, not state law, determines the time of accrual. A claim 
normally accrues at the time of injury when essential operative facts 
are apparent. However, in other instances, especially in complex medical 
malpractice cases, a claim accrues when the claimant discovers or 
reasonably should have discovered the existence of the act that resulted 
in the claimed loss.
    (b) In computing the statutory time period, the day of the incident 
is excluded and the day the claim was filed is included.
    (c) The Air Force has 6 months to consider a properly filed claim, 
after which the claimant may file suit. The claimant's right to sue ends 
6 months from the date the final denial is mailed.
    (d) Properly asserted third party actions, as permitted under the 
Federal Rules of Civil Procedure, may be brought against the United 
States without first filing a claim. In such instances those actions may 
start more than 2 years after the claim has accrued.

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32077, Aug. 7, 1990]



Sec. 842.90  Reconsideration of final denials.

    (a) A claimant may request a settlement authority who denied a claim 
to reconsider that claim. If the settlement authority denies the 
request, the claim file is sent to the next higher claims settlement 
authority for action.
    (b) A request for reconsideration must be filed in writing within 6 
months of the final denial and prior to initiation of a suit. A request 
for reconsideration starts a new 6-month period for the Air Force to 
consider the claim. The claimant may not sue during that period.

[[Page 100]]



Sec. 842.91  Settlement agreements.

    The claimant must sign a settlement agreement and general release 
before any payment is made.



Subpart L--Property Damage Tort Claims in Favor of the United States (31 
                         U.S.C. 3701, 3711-3719)



Sec. 842.92  Scope of this subpart.

    This subpart describes how to assert, administer, and collect claims 
for damage to or loss or destruction of government property through 
negligence or wrongful act. It does not cover admiralty, hospital 
recovery, or nonappropriated fund claims.



Sec. 842.93  Delegations of authority.

    (a) Settlement authority. (1) The following individuals have 
delegated authority to settle, compromise, suspend, or terminate action 
on claims for $20,000 or less and to accept full payment on any claim:
    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (2) The SJA of HQ 9AF (for CENTCOM), and the SJAs of PACAF and USAFE 
have delegated authority to settle, compromise, suspend, or terminate 
action on claims for $15,000 or less and to accept full payment on any 
claim.
    (3) SJAs of GCMs located in PACAF and USAFE and single base GCMs 
located in CONUS have delegated authority to settle, compromise, 
suspend, or terminate action on claims for $15,000 or less and to accept 
full payment on any claim.
    (4) SJAs of each Air Force base, station or fixed installation have 
delegated authority to settle, compromise, suspend, or terminate action 
on claims for $10,000 or less and to accept full payment on any claim.
    (b) Redelegation of authority. A settlement authority may redelegate 
it to a subordinate judge advocate or civilian attorney, in writing.
    (c) Authority to reduce, withdraw, or restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.



Sec. 842.94  Assertable claims.

    A claim may be asserted in writing for loss of or damage to 
government property, against a tort-feasor when:
    (a) Damage results from negligence and the claim is for:
    (1) More than $100.
    (2) Less than $100 but collection costs are small.
    (b) The claim is based on a contract and the contracting officer 
does not intend to assert a claim under the contract. The contracting 
officer's intention not to assert a claim should be recorded in a 
memorandum for the record and placed in the claim file.
    (c) The claim is for property damage arising from the same incident 
as a hospital recovery claim. (The two claims should be consolidated and 
processed under subpart N).
    (d) The Tort-feasor or his insurer presents a claim against the 
government arising from the same incident. (Both claims should be 
processed together.)
    (e) The claim is assertable as a counterclaim under an international 
agreement. (The claim should be processed under subpart H).
    (f) The claim is based on product liability. HQ USAF/JACC approval 
must be obtained before asserting the claim.



Sec. 842.95  Non-assertable claims.

    A claim is not assertable under this subpart when it is for:
    (a) Reimbursement for military or civilian employees for their 
negligence claims paid by the United States.
    (b) Loss or damage to government property:
    (1) Caused by a nonappropriated fund employee acting in the scope of 
employment.
    (2) For which a person has accountability and responsibility under 
the Report of Survey system.
    (c) Loss or damage to nonappropriated fund property assertable under 
other provisions.
    (d) Loss or damage caused by an employee of an instrumentality of 
the

[[Page 101]]

government in the absence of statutory authority to reimburse.
    (e) Monies recovered against a foreign government or any of its 
political subdivisions. (HQ USAF/JACC may authorize this claim as an 
exception to the rule).

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32077, Aug. 7, 1990]



Sec. 842.96  Asserting the claim.

    The base SJA asserts the claim against the tort-feasor by mailing, 
certified mail, return receipt requested, the original and one copy of a 
``Notice of Claim'' that includes the following:
    (a) Reference to the statutory right to collect.
    (b) A demand for payment or restoration.
    (c) A description of damage.
    (d) The date and place of incident.
    (e) The name, phone number, and office address of claims personnel 
to contact.



Sec. 842.97  Referring a claim to the US Attorney or the Department of Justice.

    All claims must be authorized for referral by HQ USAF/JACC prior to 
being sent to either the US Attorney or the Department of Justice. All 
claims for demands of more than $20,000.00 which are not collected in 
full by a settlement authority will be referred (with HQ USAF/JACC 
approval) to DOJ.



Sec. 842.98  Statute of limitations.

    The government must file suit within 3 years after the cause of 
action accrues. It accrues when a responsible US official knew or 
reasonably should have known the material facts that resulted in the 
claimed loss.



Sec. 842.99  Compromise, termination, and suspension of collection.

    This section establishes the guidelines for compromise, termination, 
or suspension of a claim.
    (a) Compromise of a claim is allowable when:
    (1) The tort-feasor is unable to pay the full amount within a 
reasonable time. (A sworn statement showing the debtor's assets and 
liabilities, income, expenses, and insurance coverage should be obtained 
and included in the claim file).
    (2) The Government is unable to collect a claim in full within a 
reasonable time even though the enforced collection proceedings are used 
for collection.
    (3) The cost to collect does not justify enforced collection of the 
full amount.
    (4) The government may have difficulty proving its case in court for 
the full amount claimed.
    (b) Compromise is not allowable when there may be fraud, 
misrepresentation, or violation of antitrust laws. The Department of 
Justice must authorize compromise of such claims.
    (c) Termination of collection is allowable when:
    (1) The government is unable to collect the debt after exhausting 
all collection methods.
    (2) The government is unable to locate the tort-feasor.
    (3) The cost to collect will exceed recovery.
    (4) The claim is legally without merit.
    (5) The evidence does not substantiate the claim.
    (d) Suspension of collection is allowable when:
    (1) The government is unable to locate tort-feasor.
    (2) The tort-feasor is presently unable to pay but:
    (i) The statute of limitations is tolled or is running anew.
    (ii) Future collection may be possible.



  Subpart M--Claims Under the National Guard Claims Act (32 U.S.C. 715)



Sec. 842.100  Scope of this subpart.

    This subpart explains how to settle claims against the United States 
arising out of the noncombat activities of the Air National Guard (ANG), 
when its members are acting within the scope of their employment and 
performing duty under 32 U.S.C. Contact HQ USAF/JACC for guidance on any 
claim for property damage, injury or death by the ANG which accrued 
prior to 29 December 1981.

[[Page 102]]



Sec. 842.101  Definitions.

    (a) Appeal. An appeal is a request by the claimant or claimant's 
authorized agent to reevaluate the final decision made on a claim. A 
request for reconsideration is considered as an appeal.
    (b) Air National Guard (ANG). The federally recognized Air National 
Guard of each state, the District of Columbia, the Commonwealth of 
Puerto Rico, the Virgin Islands, and Guam.
    (c) ANG member. An ANG member is one who is performing duty under 32 
U.S.C., section 316, 502, 503, 504, or 505 for which the member is 
entitled to pay from the United States or for which the member has 
waived pay from the United States.
    (d) ANG duty status--(1) Active federal service. ANG members may 
serve on active Federal duty under 10 U.S.C. to augment the active Air 
Force under certain circumstances or for certain types of duty or 
training (e.g., overseas training exercises and ANG alert duty). Duty 
under 10 U.S.C. does not fall under this subpart.
    (2) Federally funded duty. ANG members perform specified federally 
funded duty or training under 32 U.S.C. such as weekend drills, annual 
training, field exercises, range firing, military schooling, full time 
unit support, or recruiting duties. Duty under 32 U.S.C. falls under 
this subpart for noncombat activities.
    (3) State duty. State duty is duty not authorized by federal law but 
required by the governor of the state and paid for from state funds. 
Such duty includes civil emergencies (natural or other disasters), civil 
disturbances (riots and strikes), and transportation requirements for 
official state functions, public health, or safety. State duty does not 
fall under this subpart.
    (e) Compromise. A compromise is an agreed settlement based upon the 
facts, the law, and the application of the law to the facts.
    (f) Final denial. A final denial is a letter from the settlement 
authority to the claimant or authorized agent advising of the decision 
to deny the claim.
    (g) Noncombat activity. Noncombat activity is an act, other than 
combat, war or armed conflict, which is particularly military in 
character and has little parallel in the civilian community.
    (h) ANG technicians. An ANG technician is a Federal employee 
employed under 32 U.S.C. 709. Tort claims arising out of his or her 
activity are settled under the Federal Tort Claims Act (FTCA).



Sec. 842.102  Delegations of authority.

    This paragraph outlines the levels of authority authorized to settle 
claims brought under the National Guard Claims Act (32 U.S.C. 715).
    (a) Settlement authority. (1) The Secretary of the Air Force has 
authority to:
    (i) Settle a claim for $100,000 or less.
    (ii) Settle a claim for more than $100,000, paying the first 
$100,000 and reporting the excess to the General Accounting Office for 
payment.
    (iii) Deny a claim in any amount.
    (2) The Judge Advocate General has delegated authority to settle a 
claim for $100,000 or less, and deny a claim in any amount.
    (3) The following individuals have delegated authority to settle a 
claim for $25,000 or less, and deny a claim in any amount:
    (i) The Deputy Judge Advocate General.
    (ii) The Director of Civil Law.
    (iii) The Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (4) The SJA of 9AF for CENTCOM and the SJAs of USAFE and PACAF have 
delegated authority to settle claims payable or deny claims filed for 
$25,000 or less.
    (5) SJAs of single base GCMs, GCMs in PACAF and USAFE and each Air 
Force base, station or fixed installation have delegated authority to 
settle claims payable, and deny claims filed, for $15,000 or less.
    (b) Redelegation of authority. A settlement authority may redelegate 
up to $25,000 of settlement authority to a subordinate judge advocate or 
civilian attorney. This redelegation must be in writing and can be for 
all claims or limited to a single claim.

[[Page 103]]

    (c) Appellate authority. Upon appeal a settlement authority has the 
same authority to settle a claim as that specified above. However, no 
appellate authority below the Office of the Secretary of the Air Force 
may deny an appeal of a claim it previously denied.
    (d) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated settlement authority.
    (e) Settlement negotiations. A settlement authority may settle a 
claim filed in any amount for a sum within the delegated settlement 
authority regardless of the amount claimed. Unsettled claims in excess 
of the delegated settlement authority are sent to the individual with 
higher settlement authority. Unsuccessful negotiations at one level do 
not bind higher authority.
    (f) Special exceptions. No authority below the level of HQ USAF/JACC 
may settle claims for:
    (1) Legal malpractice.
    (2) On the job personal injury or death of an employee of a 
government contractor or subcontractor.
    (3) Assault, battery, false imprisonment, false arrest, abuse of 
process, or malicious prosecution committed by an investigative or law 
enforcement officer.



Sec. 842.103  Filing a claim.

    This paragraph explains how to file a claim under the National Guard 
Claims Act.
    (a) How and when filed. A claim is filed when a federal military 
agency receives from a claimant or duly authorized agent a properly 
completed SF 95 or other written and signed demand for money damages in 
a sum certain. Claims belonging to another agency are promptly 
transferred to the correct agency.
    (b) Receipt of claims from State National Guard agencies. The Office 
of the State Adjutant General promptly sends claims it receives to the 
appropriate Air Force claims authority in whose geographic area the 
incident occurred. The report forwarded to the Air Force includes:
    (1) The date, place, and nature of the incident.
    (2) The names and organizations of ANG members involved, and the 
statutory duty status of the ANG members at the time of the incident 
(include copies of orders, if applicable).
    (3) A scope of employment statement from the supervisors of the ANG 
members involved.
    (4) The names of the claimants.
    (5) A brief description of any damage to private property, personal 
injuries, or death.
    (c) Claims investigations. (1) Upon receipt of a claim:
    (i) It is investigated by claims office personnel responsible for 
the geographic area where the incident causing the claim occurred.
    (ii) The investigative report includes a scope of employment 
statement and a copy of the orders authorizing the performance of duty 
by the ANG member.
    (2) The State Adjutants General designate an official or office as 
point of contact for Air Force claims personnel and furnish necessary 
personnel to assist the Air Force investigation, subject to the 
availability of funds and personnel.
    (d) Amending a claim. A claimant may amend a claim at any time prior 
to final action. To amend a claim the claimant or his or her authorized 
agent must submit a written, signed demand.



Sec. 842.104  Advance payments.

    Subpart Q of this part sets forth procedures for such payments.



Sec. 842.105  Statute of limitations.

    A claim must be filed in writing within 2 years after it accrues.
    (a) Federal, not state law, determines the time of accrual. A claim 
accrues when the claimant discovers or reasonably should have discovered 
the existence of the act that resulted in the claimed loss.
    (b) In computing the statutory time period, the day of the incident 
is excluded and the day the claim was filed is included.
    (c) A claim filed after the statute has run is considered if the 
United States is at war or in an armed conflict when the claim accrues; 
or if the United States enters a war or armed conflict after the claim 
accrues, and good cause is shown. No claimant may file a claim

[[Page 104]]

more than 2 years after the good cause ceases to exist or the war or 
armed conflict ends. Congress or the President establishes the beginning 
and end of war or armed conflict.



Sec. 842.106  Who may file a claim.

    The following individuals may file a claim under this subpart.
    (a) Owners of the property or their authorized agents may file a 
claim for property damage.
    (b) Injured persons or their authorized agents may file a claim for 
personal injury.
    (c) Executors or administrators of a decedent's estate or any other 
person legally entitled to do so under applicable local law may file a 
claim based on:
    (i) An individual's death.
    (ii) A cause of action surviving an individual's death.
    (d) Insurers with subrogation rights may file a claim for losses 
paid in full by them. The parties may file a claim jointly or 
individually, to the extent of each party's interest, for losses 
partially paid by insurers with subrogation rights.
    (e) Authorized agents signing a claim must show their title or legal 
capacity and present evidence of such authority to file the claim.



Sec. 842.107  Who are proper claimants.

    Only certain individuals are proper claimants under this subpart. 
Proper claimants include:
    (a) Citizens and inhabitants of the United States.
    (b) States or territories and their agencies, unless it is the state 
of the ANG member who caused the injury or property damage.
    (c) Counties, municipalities, or units of local government, unless 
they are in the state of the ANG member who caused the injury or 
property damage.
    (d) Persons in foreign countries who are not inhabitants of a 
foreign country.
    (e) Property owners, their representatives, and those with certain 
legal relationships with the record owner, including mortgagors, 
mortgagees, trustees, bailees, lessees and conditional vendees.
    (f) Subrogees, to the extent they have paid the claim.



Sec. 842.108  Who are not proper claimants.

    The following individuals are not proper claimants:
    (a) ANG members performing duty under 32 U.S.C. when the personal 
injury or death claim arises incident to service.
    (b) Agencies and departments of the U.S. Government including the 
District of Columbia government.
    (c) Federal nonappropriated fund instrumentalities.
    (d) Governments of foreign nations, their agencies, political 
subdivisions, and municipalities.
    (e) The state territory, local government unit, or their agencies, 
whose ANG member caused the injury or property damage.
    (f) Subrogees of all the above.



Sec. 842.109  Claims payable.

    (a) Claims arising from noncombat activities of ANG members 
performing duty under 32 U.S.C and acting within the scope of their 
employment, whether or not such injuries or damages arose out of their 
negligent or wrongful acts or omissions.
    (b) Claims are payable if they are for damage to bailed property 
under Sec. 842.109(a) of this part where:
    (1) The ANG assumed the duties of a bailee.
    (2) The bailor did not assume the risk of loss by express agreement.
    (3) Authorized ANG members acting in their official capacity 
properly accepted the property.
    (c) Claims are payable if they are for loss or damage to:
    (1) Insured or registered mail, under Sec. 842.109 (a) or (b) of 
this part while in the possession of the ANG.
    (2) Minimum fee insured mail but only if it has an insurance number 
or requirement for hand-to-hand receipt and was lost or damaged while in 
the possession of the ANG.
    (3) Any mail in the possession of the United States Postal Service 
or a Military Postal Service due to an unlawful or negligent inspection, 
search, or seizure in an oversea military postal facility, which was 
ordered by ANG members.
    (d) Claims filed by ANG military or civilian health care providers 
or legal

[[Page 105]]

personnel for their personal liability by settlement or judgement, to 
include reasonable costs of such litigation, for their common law 
tortious acts committed on or after 29 Dec 1981 while performing title 
32 duty within the scope of their employment under the circumstances 
described in 10 U.S.C. 1089(f) and 10 U.S.C. 1054(f).

[55 FR 2809, Jan. 29, 1990, as amended at 55 FR 32077, Aug. 7, 1990]



Sec. 842.110  Claims not payable.

    The following are not payable:
    (a) Claims payable under any one of the following statutes and 
implementing regulations:
    (1) The Federal Tort Claims Act (FTCA).
    (2) The Foreign Claims Act (FCA).
    (3) The International Agreements Claims Act.
    (4) The Air Force Admiralty Claims Act and the Admiralty Extensions 
Act.
    (5) The Military Claims Act (MCA).
    (6) The Military Personnel and Civilian Employees' Claims Act.
    (b) Claims from the combat activities of the armed forces during war 
or armed conflict.
    (c) Claims for personal injury or death of ANG members performing 
duty under 32 U.S.C. incident to their service.
    (d) Claims for damage to or loss of bailed property when the bailor 
specifically assumed such risk.
    (e) Claims for personal injury or death of a person covered by:
    (1) The Federal Employees' Compensation Act.
    (2) The Longshore and Harbor Workers' Compensation Act.
    (3) A United States contract or agreement providing employee 
benefits through insurance, local law, or custom and the United States 
pays for such benefits either directly or as a part of the consideration 
under the contract.
    (f) Claims for property damage, personal injury or death occurring 
in a foreign country to an inhabitant of that country.
    (g) Claims caused by the negligent or wrongful acts or omissions of 
members of the District of Columbia ANG.
    (h) Claims arising from a private rather than a government 
transaction.
    (i) Claims for patent or copyright infringement.
    (j) Claims for damage, use, or other expenses involving the regular 
acquisition, possession, and disposition of real property by or for the 
ANG.
    (k) Claims for the taking of private real property by a continuing 
trespass or by a technical trespass such as overflights of aircraft.
    (l) Claims for loss of rental fee for personal property.
    (m) Claims in litigation against the United States.
    (n) Claims for a maritime occurrence covered under U.S. admiralty 
laws.
    (o) Claims for:
    (1) Any tax or customs duty.
    (2) The detention of any goods or merchandise by any officer of 
customs, excise, or law enforcement officer.
    (p) Claims from an act or omission of any employee of the Government 
while administering the provisions of the Trading With the Enemy Act.
    (q) Claims for damages caused by the United States' imposition or 
establishment of a quarantine.
    (r) Claims for libel, slander, misrepresentation, deceit or 
interference with contract rights.
    (s) Claims that result wholly from the negligent or wrongful act of 
the claimant or the claimant's agent.
    (t) Claims for reimbursement of medical, hospital, or burial 
expenses furnished at the expense of the United States, any state, the 
District of Columbia, or Puerto Rico.
    (u) Claims for damage from floods or flood waters.
    (v) Claims for damages caused by the fiscal operations of the 
Treasury or by regulation of the monetary system.
    (w) Claims caused by the negligent or wrongful acts or omissions of 
ANG members acting within the scope of their employment, while 
performing duty under 32 U.S.C., on or after 29 December 1981.
    (x) Claims caused by the negligent or wrongful acts or omissions of 
ANG technicians employed under 32 U.S.C. 709.



Sec. 842.111  Applicable law.

    (a) Extent of liability. The following rules apply to determine the 
extent of liability of a claim.

[[Page 106]]

    (1) Claims arising in the United States. The law of the place where 
the act or omission occurs governs liability. The local law on dangerous 
instrumentalities, assumption of risk, res ipsa loquitur, last clear 
chance, discovered peril, and comparative and contributory negligence 
are considered. Absolute liability is never imposed.
    (2) Claims arising in foreign countries. The general principles of 
tort law common to the majority of American jurisdictions as evidenced 
by Federal case law and standard legal publications, control liability, 
except that absolute liability is not imposed. However, the law of the 
place where the act or omission occurs governs the effect of the 
claimant's comparative or contributory negligence. Where applicable, 
rules of the road and similar locally prescribed standards of care are 
followed to determine fault.
    Note: ANG personnel ordered to foreign countries proceed under title 
10, U.S.C.; consequently, the National Guard Claims Act would not apply. 
However, there may be cases where ANG personnel are inadvertently in a 
foreign country while on title 32, U.S.C. orders.
    (b) Measure of damages. The following rules apply to the measurement 
of damages.
    (1) Normally, the law of the place where the act or omission occurs 
is applied. In claims arising in foreign countries, the measure of 
damages is determined in accordance with general principles of American 
tort law.
    (2) Damages in suits against private persons are apportioned if 
local law applies comparative negligence.
    (3) Proceeds from private insurance policies are not deducted except 
to the extent the policy was paid by the Government or is allowed by 
local law.
    (4) Compensation and benefits from any U.S. Government associated 
source are deducted. However, sick and annual leave payments are 
deducted only if allowed by local law.
    (5) The following are not payable:
    (i) Punitive damages.
    (ii) Cost of medical or hospital services furnished at U.S. expense.
    (iii) Cost of burial expenses paid by the United States, any 
territory or possession, any state, or the District of Columbia.
    (c) Settlement by insurer or joint tort-feasor. When settlement is 
made by an insurer or joint tort-feasor and an additional award is 
warranted, an award is made if:
    (1) The United States is not protected by the release executed by 
the claimant.
    (2) The total amount received from such source is first deducted.



Sec. 842.112  Appeal of final denials.

    This paragraph explains the steps to take when a denial is appealed.
    (a) A claimant may appeal the final denial of the claim. The 
claimant sends the request, in writing, to the initial settlement 
authority within a reasonable time following the final denial. Sixty 
days is considered a reasonable time, but the time limit may be waived 
for good cause.
    (b) The initial settlement authority reviews the appeal.
    (c) Where the settlement authority does not reach a final agreement 
with the claimant on an appealed claim, the entire claim file is sent to 
the next higher settlement authority, who is the appellate authority for 
that claim.
    (d) The decision of the appellate authority is the final 
administrative action on the claim.



Sec. 842.113  Government's right of subrogation, indemnity, and contribution.

    The Air Force becomes subrogated to the rights of the claimant upon 
settling a claim. The Air Force has the rights of contribution and 
indemnity permitted by the law of the situs or under contract. 
Contribution or indemnity is not sought from ANG members whose conduct 
gave rise to Government liability.



Sec. 842.114  Attorney fees.

    In the settlement of any claim pursuant to 32 U.S.C. 715 and this 
subpart, attorney fees will not exceed 20 percent of any award. For the 
purposes of this paragraph, an award is deemed to be the cost to the 
United States at the time of purchase of a structured settlement, and 
not its future value.

[[Page 107]]



        Subpart N--Hospital Recovery Claims (42 U.S.C. 2651-2653)



Sec. 842.115  Scope of this subpart.

    This subpart explains how the United States asserts and settles 
claims for costs of medical care, against third parties under the 
Federal Medical Care Recovery Act (FMCRA) and various other laws.



Sec. 842.116  Definitions.

    This paragraph defines terms which are used within this subpart.
    (a) Base Staff Judge Advocate (SJA). The SJA of the base providing 
legal services to the Air Force medical facility which furnished initial 
medical care to the injured party is responsible for processing the 
hospital recovery claim. If an Air Force facility did not furnish the 
initial medical care, the SJA of the Air Force base within the claims 
jurisdiction of the initial treating facility is responsible for 
processing the claim.
    (b) Compromise. A mutually binding agreement where payment is made 
and accepted in an amount less than the full amount of the claim.
    (c) Injured party. The person who received medical care for injury 
or disease as a result of the incident on which the claim is based. The 
injured party may be represented by a guardian, personal representative, 
estate, or survivor.
    (d) Medical care. Includes medical and dental treatment, prostheses, 
and medical appliances the US furnished or reimbursed other sources for 
providing.
    (e) Reasonable value of medical care. Either:
    (1) An amount determined by reference to rates set by the Director 
of the Office of Management and Budget for the value of necessary 
medical care in US medical facilities.
    (2) The actual cost of necessary care from other sources which was 
reimbursed by the United States.
    (f) Third party. An individual, partnership, business, corporation 
(including insurance carriers), which is indebted to the United States 
for medical care provided to an injured party. (In some cases, a state 
or foreign government can be the third party.)
    (g) Waiver. The voluntary relinquishment by the United States of the 
right to collect for medical care provided to an injured party.



Sec. 842.117  Delegations of authority.

    (a) Settlement authority: (1) The following individuals have 
delegated authority to settle, compromise, or waive claims for $40,000 
or less and to accept full payment on any claim:
    (i) The Judge Advocate General.
    (ii) The Deputy Judge Advocate General.
    (iii) The Director of Civil Law.
    (iv) Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (2) The SJA of HQ 9AF for CENTCOM, and SJAs of PACAF and USAFE have 
delegated authority to compromise or waive claims for $30,000 or less 
and to accept full payment on any claim.
    (3) SJAs of single base GCMs, the SJAs of GMCs in PACAF and USAFE, 
and the SJAs of each Air Force base, station, or fixed installation have 
delegated authority to compromise or waive claims for $15,000 or less 
and to accept full payment on any claim.
    (b) Authority to assert a claim. Each settlement authority has 
authority to assert a claim in any amount for the reasonable value of 
medical care.
    (c) Redelegation of authority. A settlement authority may redelegate 
to a subordinate judge advocate or civilian attorney, in writing, his or 
her authority to assert, compromsie, or waive claims.
    (d) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce, withdraw, or restore 
delegated authority.
    (e) Settlement negotiations. A settlement authority may settle a 
claim filed for an amount within the delegated settlement authority. 
Claims in excess of the delegated authority must be approved by the next 
higher settlement authority. Unsuccessful negotiations at one level do 
not bind higher authority.
    Note: Telephonic approvals, in the discretion of the higher 
settlement authority, are authorized.

[[Page 108]]

    (f) Special exceptions. Only the Department of Justice (DOJ) may 
approve claims involving:
    (1) Compromise or waiver of a claim for more than $40,000.
    (2) Settlement previously referred to DOJ.
    (3) Settlement where a third party files suit against the US or the 
injured party arising out of the same incident.



Sec. 842.118  Assertable claims.

    A claim should be asserted when the Air Force has furnished or will 
furnish medical care in military health care facilities or when the Air 
Force is responsible for reimbursement to a private care provider and 
either of the following conditions are met:
    (a) Third party liability in tort exists for causing an injury or 
disease.
    (b) Local or foreign law permits the United States to recover or the 
United States is a third party beneficiary under uninsured motorist 
coverage, medical pay insurance coverage, worker's compensation, no-
fault statutes, or other statutes.
    A claim should only be asserted if the base SJA determines it merits 
assertion. Claims for $150 or less need not be asserted; they should be 
asserted only if the base SJA or designee determines the collection will 
not exceed the cost to collect, the third party offers payment and 
demands a release from the United States before paying damages to the 
injured party, or the United States asserts a property damage claim 
under subpart L arising out of the same incident.



Sec. 842.119  Nonassertable claims.

    (a) The following are considered nonassertable claims and should not 
be asserted:
    (1) Claims against any department, agency, or instrumentality of the 
United States. ``Agency or instrumentality'' includes any self-insured 
nonappropriated fund activity whether revenue producing, welfare, or 
sundry. The term does not include private associations.
    (2) Claims for care furnished a veteran by the Department of 
Veterans Affairs (VA) for service connected disability. However, claims 
may be asserted for the reasonable value of medical care an Air Force 
member receives prior to his or her discharge and transfer to the VA 
facility.
    (3) Claims for care furnished a merchant seaman under 42 U.S.C. 249. 
A claim against the seaman's employer should not be filed.
    (b) Claims should not be asserted without HQ USAF/JACC's approval 
against:
    (1) Government contractors. In claims in which the United States 
must reimburse the contractor for a claim according to the terms of the 
contract, an investigation into the claim is sent to HQ USAF/JACC by the 
base SJA. The file should contain recommendations regarding assertion 
and include citations to the specific contract clauses involved.
    (2) Foreign governments. An investigation is made regarding any 
claim against foreign governments, their political subdivisions, armed 
forces members, or civilian employees. The claims files containing the 
investigation are sent to HQ USAF/JACC along with the base SJA's 
recommendations regarding assertion.
    (3) US personnel. Claims are not asserted against members of the 
uniformed services; employees of the US, its agencies or 
instrumentalities; or an individual who is a dependent of a service 
member or employee at the time of assertion unless liability insurance 
will pay the claim.
    (4) Manufacturers of products in products liability cases.



Sec. 842.120  Asserting the claim.

    When asserting the claim, the base SJA will:
    (a) Assert it against the third parties whose liability is based in 
tort using an SF 96, Notice of Claim. Mail the original and one copy to 
each of the third parties and a copy to the third parties' insurers, if 
known.
    (b) Assert it against third parties or insurers whose liability is 
not based in tort using a formal letter written on Air Force stationery. 
The letter will include the facts and legal basis for liability. Bases 
for liability could include local foreign law, US status as a third 
party beneficiary under uninsured or underinsured motorist coverage, 
workers' compensation laws, and

[[Page 109]]

no fault statutes. The specific provision of the injured party's 
insurance contract should be cited where appropriate.
    (c) Mail all copies of the SF 96, or claim notice on Air Force 
letterhead:
    (1) By certified mail with return receipt requested in all claims in 
which the amount claimed is $5,000.00 or more or in which there is a 
substantial likelihood that the final amount claimed will be $5,000.00 
or more.
    (2) By regular or certified mail with return receipt requested at 
the SJA's discretion in cases in which the final amount claimed is less 
than $5,000.00, unless there is no response to the initial notice of 
claim within a reasonable period of time and a second notice of claim is 
required to be mailed. All second notices of claim and copies will be 
mailed by certified mail, return receipt requested.
    (d) Notify the injured parties promptly in writing that the United 
States will attempt to recover from the third parties the reasonable 
value of medical care furnished or to be furnished and that they:
    (1) Should seek advice from a legal assistance officer or civilian 
counsel and furnish the civilian counsel's name to the claims officer.
    (2) Must cooperate in the prosecution of all actions of the United 
States against third parties.
    (3) Must furnish a complete statement regarding the facts and 
circumstances surrounding the incident which caused the injury.
    (4) Must not execute a release or settle any claim which exists as a 
result of the injury without prior notice to the SJA.
    (5) Should read the enclosed Privacy Act statement.



Sec. 842.121  Referring a claim to the US Attorney.

    Only HQ USAF/JACC authorizes referral of a claim to the US Attorney. 
The base SJA ensures review of all claims not later than 2 years after 
the date of the incident. These unsettled claims are forwarded, with the 
base SJA's disposition recommendation, to HQ USAF/JACC.
    Note: On a case-by-case basis, HQ USAF/JACC will authorize referral 
of a case to the US Attorney by telephone.



Sec. 842.122  Statute of limitations.

    The United States or the injured party on behalf of the United 
States must file suit within 3 years after an action accrues. This is 
usually 3 years after the initial treatment is provided in a federal 
medical facility or after the initial payment is made by CHAMPUS, 
whichever is first.



Sec. 842.123  Recovery rates in government facilities.

    The Federal Register contains the rates set by the Office of 
Management and Budget, of which judges take judicial notice. HQ USAF/
JACC can provide certified copies of the Federal Register upon request. 
Apply the rates in effect at the time of care to claims.



Sec. 842.124  Waiver and compromise of United States interest.

    Waivers and compromises of government claims can be made. This 
paragraph lists the basic guidance for each action. (See Sec. 842.117(e) 
for claims involving waiver and compromise of amounts in excess of 
settlement authorities' delegated amounts.)
    (a) Waiver for the convenience of the government can be made when 
the tort-feasor:
    (1) Cannot be located.
    (2) Is judgment proof.
    (3) Has refused to pay and the case is too weak for litigation.
    (b) Waiver can be made when collection causes undue hardhsip to the 
injured party. Ordinarily, factors such as the following should be 
considered:
    (1) Permanent disability or disfigurement.
    (2) Decreased earning power.
    (3) Out of pocket losses.
    (4) Financial status of injured party.
    (5) Pension rights.
    (6) Other government benefits to the injured party.
    (7) An offer of settlement from a third party which includes 
virtually all the thirty party's assets, although the amount is 
considerably less than the calculation of the injured party's damages.
    (c) A compromise can be made upon written request from the injured 
party or the injured party's legal representative when liability is 
questionable, the

[[Page 110]]

injured party received excessive treatment, or the litigation risks 
dictate, and either of the following occurs:
    (1) The injured party accepts less than the jury verdict expectancy. 
When this occurs, the Air Force should consider settling its claim in a 
ratio similar to that which the total sttlement bears to the jury 
verdict expectancy.
    (2) The government's claim is almost as large as, or is larger than, 
the assets available for settlement.



Sec. 842.125  Reconsideration of a waiver for undue hardship.

    A settlement authority may reconsider its disapproval of a waiver or 
compromise, when either:
    (a) The injured party submits new evidence.
    (b) Errors exist in claim submission or settlement.



                 Subpart O--Nonappropriated Fund Claims



Sec. 842.126  Scope of this subpart.

    This subpart describes how to settle claims for and against the 
United States for property damage, personal injury, or death arising out 
of the operation of Nonappropriated Fund Instrumentalities (NAFIs).



Sec. 842.127  Definitions.

    (a) Army and Air Force Exchange Service (AAFES). The Army and Air 
Force Exchange Service is a joint command of the Army and Air Force, 
under the jurisdiction of the Chiefs of Staff of the Army and Air Force, 
which provides exchange and motion picture services to authorized 
patrons.
    (b) Morale, welfare, and recreation (MWR) activities. Air Force MWR 
activities are activities operated directly or by contract which provide 
programs to promote morale and well-being of the Air Force's military 
and civilian personnel and their dependents. They may be funded wholly 
with appropriated funds, primarily with nonappropriated funds (NAF), or 
with a combination of appropriated funds and NAFs.
    (c) Nonappropriated funds. Nonappropriated funds are funds generated 
by Department of Defense military and civilian personnel and their 
dependents and used to augment funds appropriated by the Congress to 
provide a comprehensive morale-building, welfare, religious, 
educational, and recreational program, designed to improve the well-
being of military and civilian personnel and their dependents.
    (d) Nonappropriated funds instrumentality. A nonappropriated fund 
instrumentality is a Federal government instrumentality established to 
generate and administer nonappropriated funds for programs and services 
contributing to the mental and physical well-being of personnel.



Sec. 842.128  Delegations of authority.

    (a) Settlement authority: (1) Each individual has the same delegated 
authority to settle a claim for which NAFs may be liable as that 
specified for a similar type claim in each subpart of this part. The 
decision of the settlement authority is binding upon the NAFI.
    (2) The Judge Advocate General, in addition, has delegated authority 
to settle subparts F, G, and J type claims in any amount without 
referral to the Secretary of the Air Force or the General Accounting 
Office.
    (3) The Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff, in addition, have delegated authority to settle 
subparts F, G, and J type claims for $100,000 or less without referral 
to the Secretary of the Air Force or the General Accounting Office.
    (b) Redelegation of authority. A settlement authority may redelegate 
settlement authority to a subordinate judge advocate or civilian 
attorney, in writing.
    (c) Appellate authority. Upon appeal, a settlement authority has the 
same authority specified in Sec. 842.128(a). The Judge Advocate General 
is the final appellate authority on subpart F type claims without right 
of further appeal to the Secretary of the Air Force. However, no 
appellate authority below The Judge Advocate General may deny an appeal 
of a claim it had previously denied.
    (d) Authority to reduce, withdraw, and restore settlement authority. 
Any superior settlement authority may reduce,

[[Page 111]]

withdraw, or restore delegated authority.
    (e) Settlement negotiations. A settlement authority may settle a 
claim filed in any amount for a sum within its delegated authority. Send 
unsettled claims in excess of the delegated authority to the level with 
settlement authority. Unsuccessful negotiations at one level do not bind 
higher authority.



Sec. 842.129  Settlement of claims against NAFIs.

    (a) This subpart does not establish legal theories for adjudication 
of claims. Refer to the appropriate subpart to decide whether a claim is 
payable (e.g., subpart D for personnel claims; subpart K for tort 
claims), then use the rules in this subpart to decide the appropriate 
funds for payment of any approved claim.
    (b) Claims arising from property damage to or loss from vehicles or 
loss of personal items stored in base MWR facilities will be evaluated 
under the normal rules applied by the appropriate subpart of this part, 
and paid using the rules in those subparts. Examples include 
recreational vehicles stored in authorized lots and used cars parked in 
onbase sales lots. One exception to this rule is the exclusion of 
personal items stolen from onbase gym lockers (discussed below).
    (1) If a NAF fee has been charged in connection with the use of the 
storage location, a determination must be made on the nature of the fee 
charged. If the fee does no more than reimburse NAF costs in 
administering or maintaining the storage location, subpart O of this 
part applies in addition to other appropriate subparts. If the fee is 
set to generate a profit for the NAFI involved or if it is collected in 
accordance with the terms of an agreement, express or implied, under 
which the NAFI represents that it will provide some degree of security 
or safeguarding of the property, the claim will be paid with NAF funds.
    (2) Normally, theft of items from gym lockers will be paid out of 
appropriated funds providing there is affirmative evidence of theft. 
Mysterious loss of property will not be paid and, in no case, will a 
claim be paid in excess of $250.



Sec. 842.130  Payment of claims against NAFIs.

    Substantiated claims against NAFIs must not be paid solely from 
appropriated funds. Claims are sent for payment as set out in this 
subpart. Do not delay paying a claimant because doubt exists whether to 
use appropriated funds or NAFs. Pay the claim initially from 
appropriated funds and decide the correct funding source later.



Sec. 842.131  Tort and tort type claims.

    (a) Claims within the scope of this subpart. Claims which are within 
the scope of this subpart are those arising out of the operation of an 
MWR activity and are caused by:
    (1) Civilian employees paid by a NAFI acting in the scope of their 
employment.
    (2) Military personnel or appropriated fund civilian employees 
performing part-time duties for a NAFI for which a NAFI is paying.
    (3) Negligent operation or condition of premises for which a NAFI is 
responsible.
    (4) Members or authorized users of NAFI property. Such claims are 
subject to this subpart if the individual is a member of an MWR 
membership association or an authorized user of NAFI property and the 
use is in accord with applicable rules.
    (b) Claims not within the scope of this subpart. Claims are not 
payable within the scope of this subpart if they arise out of the 
operation of an MWR activity supported by a NAFI and are caused by:
    (1) Military personnel or appropriated fund civilian employees 
performing assigned Air Force duties, even though they benefit a NAFI.
    (2) Negligent operation or condition of premises for which a NAFI is 
not responsible.



Sec. 842.132  Claims by NAFI employees.

    Claims made by NAFI employees should be settled within the 
guidelines of this paragraph.
    (a) Personal injury in performance of duty and workers' compensation 
claims.

[[Page 112]]

Claims for injuries arising out of performance of duty and workers' 
compensation claims are not within the scope of this subpart because the 
exclusive remedy is one of the following.
    (1) Longshore and Harbor Workers' Compensation Act. This Act applies 
to NAFI civilian employees in the United States, its territories and 
possessions, and US citizen and resident NAFI civilian employees abroad.
    (2) Local benefits for foreign national employees abroad.
    (3) Military benefits because the injury is incident to service for 
offduty military personnel.
    (b) Property loss or damage incident to NAFI employment. Claims for 
loss or damage to property incident to NAFI employment are settled under 
subpart D. Where appropriate, liability is computed, and initial demand 
is made upon the carrier, warehouse, or insurer, directing them to send 
further correspondence to the NAFI paying the claim.



Sec. 842.133  Claims by customers, members, participants, or authorized users.

    (a) Customer complaints. Do not automatically adjudicate customer 
complaint claims until a determination is made that a valid claim 
exists. Complaints and personal property losses suffered by customers of 
MWR sales or service operations are normally not within the scope of 
this subpart. Customer complaints may not be claims at all. They may be 
no more than expressions of customer dissatisfactions. The activity 
manager is responsible for adjudicating and satisfying or otherwise 
disposing of a customer's complaint according to applicable NAFI 
regulations. Where possible, the activity manager resolves them by 
reimbursement, repair, or replacement in kind. However, if a complaint 
involving a claim cannot be satisfactorily settled under those 
procedures or includes a demand for consequential damage (such as for 
personal injury or property damage to other than the article purchased 
or serviced), process it as a tort claim.
    (b) Claims generated by concessionaires. Most concessionaires must 
have commercial insurance. Any unresolved claims or complaints against 
concessionaires or their insurers are sent to the appropriate 
contracting officers.



Sec. 842.134  Claims in favor of NAFIs.

    (a) Tort claims. Use the procedures set forth in subpart J or L, as 
appropriate.
    (b) Contract claims. See AFR 176-9 or AFR 147-14, as appropriate.
    (c) Claims involving dishonored checks and debts to NAFIs. See AFR 
176-2 and 176-10 or AFR 147-14, as appropriate.
    (d) Third Party Workers' Compensation Claims. NAF employees are 
provided workers' compensation benefits under the Longshore and Harbor 
Workers' Compensation Act (LHWCA) (33 U.S.C. 901, et seq.) as extended 
by the Nonappropriated Fund Instrumentalities Act (5 U.S.C. 8171-8173). 
For injuries suffered by NAFI employees in the course and scope of their 
employment where third parties are responsible for the injuries, the 
employing NAFIs are entitled to recover from the responsible third 
parties for the compensation and medical benefits paid to the injured 
employees (33 U.S.C. 933). Third party claims are pursued on behalf of 
employing NAFIs by the servicing staff judge advocate. A NAFI also has 
the right of offset against an employee's pay amounts recovered directly 
by the employee from third parties as provided in the LHWCA.



Sec. 842.135  Advance payments.

    The procedures set out in subpart Q should be used for advance 
payments. Do not delay paying a claimant because doubt exists whether to 
use appropriated funds or NAFIs. Pay the claim initially from 
appropriated claim funds and decide the correct funding source later.



Sec. 842.136  Claim payments and deposits.

    Unless otherwise specified in this subpart, claims for payment (in 
two copies), collected funds for deposit, and international agreement 
bills for reimbursement should be sent as follows:
    (a) AAFES: (1) Claims payable for more than $2500: HQ AAFES, 
Comptroller, Insurance Branch, P.O. Box 660202, Dallas, TX 75266-0202.
    (2) Claims payable for $2500 or less: AAFES Operations Center (OSC-
AC),

[[Page 113]]

2727 LBJ Highway, Dallas TX 75266-0320.
    (b) Civilian base restaurants and civilian welfare NAFIs: (1) For 
more than $100: Army and Air Force Civilian Welfare Fund, Washington, DC 
20310.
    (2) For $100 or less: The local NAFI giving rise to the claim.
    (c) All other NAFIs: (1) For more than $50: HQ AFMPC/DPMSCI, 
Randolph AFB TX 78150-6001.
    (2) For $50 or less: The local NAFI giving rise to the claim.
    (d) International agreement claims, all NAFIs. When a receiving 
state pays a claim under an international agreement, the NAFI involved, 
upon receipt of an extract copy of the itemized bill, will forward 
payment of its pro rata share to the sending State office.

[55 FR 2809, Jan. 29, 1990, as amended at 56 FR 1574, Jan. 16, 1991]



   Subpart P--Civil Air Patrol Claims (5 U.S.C. 8101(1)(B), 8102(a), 
         8116(c), 8141; 10 U.S.C. 9441, 9442; 36 U.S.C. 201-208)



Sec. 842.137  Scope of this subpart.

    This subpart explains how to process certain administrative claims:
    (a) Against the United States for property damage, personal injury, 
or death, arising out of Air Force noncombat missions performed by the 
Civil Air Patrol (CAP), as well as certain other Air Force authorized 
missions performed by the CAP in support of the Federal government.
    (b) In favor of the United States for damage to US Government 
property caused by CAP members or third parties.



Sec. 842.138  Definitions.

    (a) Civil Air Patrol (CAP). A federally chartered, non-profit 
corporation which was designated by Congress in 1948 as a volunteer 
civilian auxiliary of the Air Force.
    (b) Air Force noncombat mission. Although not defined in any 
statute, an Air Force noncombat mission is any mission for which the Air 
Force is tasked, by statute, regulation, or higher authority, which does 
not involve actual combat, combat operations or combat training. The Air 
Force, in lieu of using Air Force resources, can use the services of the 
Civil Air Patrol to fulfill these type missions. When performing an Air 
Force noncombat mission, the Civil Air Patrol is deemed to be an 
instrumentality of the United States. In order for a mission to be a 
noncombat mission of the Air Force under this part, it must either:
    (1) Have a special Air Force mission order assigned, and, the Air 
Force must exercise operational control over the mission.
    (2) Involve a peacetime mission the Air Force is tasked to perform 
by higher authority which requires the expenditure of Air Force 
resources to accomplish, and the Air Force specifically approves the 
mission as a noncombat mission, and assigns the mission to the Civil Air 
Patrol to perform.
    (c) CAP members. CAP members are private citizens who volunteer 
their time, services, and resources to accomplish CAP objectives and 
purposes. The two primary categories of members are:
    (1) Cadets. Youths, 13 years (or having satisfactorily completed the 
sixth grade) through 17 years of age, who meet such prerequisites as the 
CAP corporation may establish from time to time. Cadet status may be 
retained until age 21.
    (2) Seniors. Adults, 18 years of age or older (there is no maximum 
age), who meet such prerequisites as the CAP corporation may establish 
from time to time, and who have not retained cadet status.
    (d) Liaison officers. Active duty Air Force officers assigned to 
liaison duty at the national, regional, and wing (state) levels of CAP.



Sec. 842.139  Delegations of authority.

    The appropriate subpart of this part under which the claim is being 
considered prescribes the authority to settle it.



Sec. 842.140  Proper claimants.

    (a) Anyone suffering property damage, personal injury, or death 
arising from an Air Force noncombat mission or other specified Air Force 
authorized mission performed by CAP, who is also a proper claimant under 
the appropriate subpart of this part.

[[Page 114]]

    (b) The United States, for claims arising out of activities of CAP 
caused by negligent acts or omissions of CAP members or third parties.



Sec. 842.141  Improper claimants.

    CAP members, 18 years of age or older, whose personal injury or 
death claim is subject to the Federal Employees' Compensation Act, are 
improper claimants. FECA is their exclusive remedy.



Sec. 842.142  Claims payable.

    A claim is payable if all of the following are present:
    (a) It is for property damage, personal injury, or death.
    (b) It is proximately caused by a CAP member.
    (c) It arises from an Air Force noncombat mission performed by the 
CAP, or arises from an authorized mission performed by the CAP for which 
specific coverage under this subpart is granted by HQ USAF/JACC.
    (d) It is otherwise payable because it meets the provisions of an 
appropriate subpart of this part.



Sec. 842.143  Claims not payable.

    A claim is not payable if it:
    (a) Is for use or depreciation of privately owned property, operated 
by CAP or its members on an Air Force noncombat mission, or other 
specified Air Force authorized mission.
    (b) Is for personal services or expenses incurred by CAP or its 
members while engaged in an Air Force noncombat mission, or other 
specified Air Force authorized mission.
    (c) Arises out of a CAP incident based solely on government 
ownership of property on loan to CAP.
    (d) Arises from a CAP activity not performed as a noncombat mission 
of the Air Force or as a specified Air Force authorized mission. These 
claims are sent to HQ CAP-USAF/JA for referral to CAP's private insurer, 
with a copy of the transmittal letter to HQ USAF/JACC.



              Subpart Q--Advance Payments (10 U.S.C. 2736)



Sec. 842.144  Scope of this subpart.

    It tells how to make an advance payment before a claim is filed or 
finalized under the Military Claims, Foreign Claims and National Guard 
Claims Acts.



Sec. 842.145  Delegation of authority.

    (a) The Secretary of the Air Force has authority to make an advance 
payment of $100,000 or less.
    (b) The Judge Advocate General has delegated authority to make an 
advance payment of $100,000 or less.
    (c) The following individuals have delegated authority to make an 
advance payment of $25,000 or less:
    (1) The Deputy Judge Advocate General.
    (2) The Director of Civil Law.
    (3) The Chief, Deputy Chief, and Branch Chiefs, Claims and Tort 
Litigation Staff.
    (4) SJA of 9AF for CENTCOM, and the SJAs of PACAF and USAFE.
    (d) This authority may be redelegated either orally or in writing. 
Oral redelegations should be confirmed in writing as soon as practical.



Sec. 842.146  Who may request.

    A proper claimant or authorized agent may request an advance 
payment.



Sec. 842.147  When authorized.

    Make advance payments only where all of the following exist:
    (a) The potential claimant could file a valid claim for property 
damage or personal injury under the Military Claims, Foreign Claims, or 
National Guard Claims Acts.
    (b) The potential claimant has an immediate need amounting to a 
hardship for food, shelter, medical or burial expenses, or other 
necessities. In the case of a commercial enterprise, severe financial 
loss or backruptcy will result if the Air Force does not make an advance 
payment.
    (c) Other resources for such needs are not reasonably available.

[[Page 115]]

    (d) The potential claim equals or exceeds the amount of the advance 
payment.
    (e) The recipient signs as advance payment agreement.



Sec. 842.148  When not authorized.

    Do not make an advance payment if the claim is payable under the:
    (a) Federal Tort Claims Act.
    (b) International Agreement Claims Act.
    (c) Military Personnel and Civilian Employees' Claims Act. (Separate 
regulations issued under the Act provide for partial payments.)



Sec. 842.149  Separate advance payment claims.

    Every person suffering injury or property loss may submit a separate 
request for an advance payment. For example, where the Air Force 
destroys a house containing a family of four, each family member may 
submit a separate request for and receive an advance payment of $100,000 
or less.



Sec. 842.150  Liability for repayment.

    The claimant is liable for repayment. Deduct the advance payment 
from any award or judgment given to a claimant. Reimbursement from the 
claimant will be sought if the claimant does not file a claim or 
lawsuit.



PART 845--COUNSEL FEES AND OTHER EXPENSES IN FOREIGN TRIBUNALS--Table of Contents




Sec.
845.1  Purpose.
845.2  Statutory authority.
845.3  Responsibility.
845.4  Criteria for the provision of counsel and payment of expenses in 
          criminal cases.
845.5  Provision of bail in criminal cases.
845.6  Criteria for the provision of counsel and payment of expenses in 
          civil cases.
845.7  Procedures for hiring counsel and obligating funds.
845.8  Payment of counsel fees and other expenses.
845.9  Appropriated funds chargeable.
845.10  Reimbursement.
845.11  Correspondence.

    Authority: Sec. 8012, 70A Stat. 488, sec. 1037, 72 Stat. 1445; 10 
U.S.C. 8012, 1037.

    Source: 44 FR 75633, Dec. 21, 1979, unless otherwise noted.
    Note: This part is derived from chapter 2 of Air Force Regulation 
110-12, December 1, 1978.
    Part 806 of this chapter states the basic policies and instructions 
governing the disclosure of records and tells members of the public what 
they must do to inspect or obtain copies of the material referenced 
herein.



Sec. 845.1  Purpose.

    This part establishes criteria and assigns responsibility for the 
provision of counsel, for the provision of bail, and for the payment of 
court costs and other necessary and reasonable expenses incident to 
representation in civil and criminal proceedings, including appellate 
proceedings, before foreign courts and foreign administrative agencies, 
which involve members of the Armed Forces, civilian personnel and 
dependents. Payment of fines is not authorized hereunder.



Sec. 845.2  Statutory authority.

    10 U.S.C. 1037 provides authority for employment of counsel, and 
payment of counsel fees, court costs, bail, and other expenses incident 
to representation of persons subject to the Uniform Code of Military 
Justice before foreign tribunals. For personnel not subject to the 
Uniform Code of Military Justice, funds for similar expenses may be made 
available in cases of exceptional interest to the service concerned, 
upon prior application through the Judge Advocate General of the service 
concerned, to the appropriate service secretary.



Sec. 845.3  Responsibility.

    (a) Requests for provision of counsel, provision of bail, or payment 
of expenses will ordinarily be made by the defendant or accused through 
appropriate channels to the officer exercising general court-martial 
jurisdiction over him. This officer shall determine whether the request 
meets the criteria prescribed herein and, based upon such determination, 
shall take final action approving or disapproving the request. Within 
their geographical areas of responsibility, major commands in the 
interest of obtaining prompt and effective legal service may appoint as 
approval authority, instead

[[Page 116]]

of the officer exercising general court-martial jurisdiction, any 
subordinate officer having responsibility in a particular country for 
personnel subject to foreign criminal jurisdiction.
    (b) Notwithstanding the criteria prescribed below, an officer 
exercising approved authority may, in his discretion, deny a request for 
the provision of counsel, provision of bail or payment of expenses, 
where the otherwise eligible requestor is in an absent without leave or 
deserter status at the time of the request, or otherwise is not then 
subject to United States military control, and there is no reasonable 
basis for the belief that the requestor will return to United States 
military control at the conclusion of the proceedings of service of an 
adjudged sentence, if any.



Sec. 845.4  Criteria for the provision of counsel and payment of expenses in criminal cases.

    Requests for the provision of counsel and payment of expenses in 
criminal cases may be approved in pretrial, trial, appellate and 
posttrial proceedings in any one of the following criminal cases:
    (a) Where the act complained of occurred in the performance of 
official duty; or
    (b) Where the sentence which is normally imposed includes 
confinement, whether or not such sentence is suspended; or
    (c) Where capital punishment might be imposed; or
    (d) Where an appeal is made from any proceeding in which there 
appears to have been a denial of the substantial rights of the accused; 
or
    (e) Where conviction of the offense alleged could later form the 
basis for administrative discharge proceedings for misconduct as a 
result of civil court disposition; or
    (f) Where the case, although not within the criteria established in 
paragraphs (a), (b), (c), (d), or (e) of this section, is considered to 
have significant impact upon the relations of US forces with the host 
country or is considered to involve any other particular US interest.



Sec. 845.5  Provision of bail in criminal cases.

    Funds for the posting of bail or bond to secure the release of 
personnel from confinement by foreign authorities before, during, or 
after trial may be furnished in all criminal cases. Safeguards should be 
imposed to assure that at the conclusion of the proceedings or on the 
appearance of the defendant in court, the bail or bond will be refunded 
to the military authorities. Bail will be provided only to guarantee the 
presence of the defendant and will not be provided to guarantee the 
payment of fines or civil damages. Local US military authorities are 
expected to provide bail, in any case, only after other reasonable 
efforts have been made to secure release of pretrial custody to the US.



Sec. 845.6  Criteria for the provision of counsel and payment of expenses in civil cases.

    Requests for provision of counsel and payment of expenses in civil 
cases may be granted in trial and appellate proceedings in either of the 
following civil cases:
    (a) Where the act complained of occurred in the performance of 
official duty; or
    (b) Where the case is considered to have a significant impact upon 
the relations of US forces with the host country or is considered to 
involve any other particular US interest. No funds shall be provided 
under this part in cases where the United States of America is in legal 
effect the defendant, without prior authorization of the Judge Advocate 
General.



Sec. 845.7  Procedures for hiring counsel and obligating funds.

    (a) The selection of individual trial or appellate counsel will be 
made by the defendant. Such counsel shall represent the individual 
defendant and not the US Government. Selection shall be made from 
approved lists of attorneys who are qualified, competent and experienced 
in trial practice, and admitted for full practice, on their own account, 
before the courts of the foreign country involved. Normally, these lists 
will be coordinated with the local court or bar association, if any, and 
the appropriate US Diplomatic or Consular Mission and

[[Page 117]]

should include only those attorneys who are known or reputed, to comply 
with local attorney fee schedules or guides approved or suggested by 
local bar associations and should not exceed amounts paid under similar 
circumstances by nationals of the country where the trial is held. No 
fee may include any amount in payment for services other than those 
incident to representation before judicial and administrative agencies 
of the foreign country in the particular case for which the contract is 
made, and in no event may any contract include fees for representation 
in habeas corpus or related proceedings before tribunals of the United 
States. When appropriate and reasonable in the case, the payment of 
expenses, in addition to counsel fees, may include court costs, bail 
costs, charges for obtaining copies of records, printing and filing 
fees, interpreter fees, witness fees, and other necessary and reasonable 
expenses. Expenses will not include the payment of fines or civil 
damages, directly or indirectly.
    (b) Whenever possible, the officer responsible under Sec. 845.3 (or 
his designee), acting on behalf of the United States of America, shall 
enter into a written contract with the selected counsel. The contract 
will cover counsel fees, and, when appropriate, may cover other costs 
arising in defense of the case only in the court of first instance and 
will not include fees for representation on appeal. If the case is 
appealed to higher tribunals, supplemental agreements shall be executed 
for each appeal. A copy of the contractual agreement shall serve as the 
obligating document.
    (c) If, for example, because of unusual circumstances or local 
customs, it is not practicable to enter into a written contract as in 
paragraph (b) of this section, action will be taken to record the 
agreement reached between the officer responsible under Sec. 845.3 (or 
his designee) and the selected counsel. This requirement may be met by a 
letter of commission or letter of understanding, executed between the 
officer responsible under Sec. 845.3 (or his designee) and the selected 
counsel, or by a written request for legal services expressly or 
impliedly accepted by the selected counsel. Any such document shall 
contain, if possible, an agreed estimate of counsel fees and reasonable 
expenses and a statement that both fees and expenses will conform to 
those paid by local nationals under similar circumstances and will not 
exceed local fee schedules, if any. If this document does not include an 
agreed estimate of counsel fees and other reasonable expenses, an 
estimate will be provided by the contracting officer. A copy of the 
document, together with the estimate, will be furnished the accounting 
component and will serve as the commitment document for the reservation 
of funds.
    (d) The provision of counsel and payment of expenses under this part 
is not subject to the provisions of the Defense Acquisition Regulation 
(subchapter A, chapter I of this title). However, the contract clauses 
set forth in part 5, section VII, Defense Acquisition Regulation, may be 
used as a guide in contracting.
    (e) Because of the desirability of timely procedural action, it is 
suggested that there be designated, from among the judge advocates on 
the staffs of officers responsible under Sec. 845.3, contracting 
officers with contracting authority limited to agreements described in 
this section. The effect of this designation would be to combine within 
one office the duties of contracting officer and judge advocate.
    (f) Nothing in this part shall be construed as prohibiting the 
selection of qualified local counsel employed by the United States 
Government, if the serviceman freely selects such counsel.



Sec. 845.8  Payment of counsel fees and other expenses.

    Payment of bills submitted by the selected counsel and other costs 
shall be made in accordance with the general provision of AFM 177-102 
(Commercial Transactions at Base Level), relating to payment of 
contractual obligations and pertinent disbursing regulations. All 
payments under these procedures will be in local currency. Acceptance of 
services procured under these procedures shall be certified to by the 
officer responsible under Sec. 845.3 (or his designee). Payments of bail 
may be made when authorized by such officers. Such authorization shall 
be in the form of a

[[Page 118]]

directing letter or message citing 10 U.S.C. 1037.



Sec. 845.9  Appropriated funds chargeable.

    Authorized expenses incurred incident to implementation of the 
policies set forth in this part, including transportation and per diem 
expenses of trial observers, interpreters, and local counsel employees, 
shall be paid from appropriated funds of the service to which the 
defendant belongs. Payments shall be made from the appropriation current 
at time of payment, unless obligations for authorized costs have 
previously been established. Refunds shall be processed as appropriation 
refund. Such funds are chargeable to the base for operation and 
maintenance purposes (O&M or R&D, as applicable).



Sec. 845.10  Reimbursement.

    No reimbursement will ordinarily be required from individuals with 
respect to payments made in their behalf under this part. However, prior 
to the posting of bail on behalf of a defendant, a signed agreement 
shall be secured from him wherein he agrees to remit the amount of such 
bail or permit the application of so much of his pay as may be necessary 
to reimburse the Government in the event that he willfully causes 
forfeiture of bail. In the event of such forfeiture, bail provided under 
this part shall be recovered from the defendant in accordance with that 
agreement. The agreement should include a statement that it does not 
prejudice the defendant's right to appeal to the Comptroller General of 
the United States and the courts after such payment or deduction has 
been made, if he considers the amount erroneous.



Sec. 845.11  Correspondence.

    Judge advocates who advise officers responsible under Sec. 845.3 are 
authorized to correspond directly with each other and with the Judge 
Advocate General of the service concerned for advice with regard to 
payment of counsel fees and other expenses.

[[Page 119]]



                    SUBCHAPTER E--SECURITY [RESERVED]





                         SUBCHAPTER F--AIRCRAFT





PART 855--CIVIL AIRCRAFT USE OF UNITED STATES AIR FORCE AIRFIELDS--Table of Contents




                      Subpart A--General Provisions

Sec.
855.1  Policy.
855.2  Responsibilities.
855.3  Applicability.

                Subpart B--Civil Aircraft Landing Permits

855.4  Scope.
855.5  Responsibilities and authorities.
855.6  Aircraft exempt from the requirement for a civil aircraft landing 
          permit.
855.7  Conditions for use of Air Force airfields.
855.8  Application procedures.
855.9  Permit renewal.
855.10  Purpose of use.
855.11  Insurance requirements.
855.12  Processing a permit application.
855.13  Civil fly-ins.
855.14  Unauthorized landings.
855.15  Detaining an aircraft.
855.16  Parking and storage.
855.17  Fees for landing, parking, and storage fees.
855.18  Aviation fuel and oil purchases.
855.19  Supply and service charges.

   Subpart C--Agreements for Civil Aircraft Use of Air Force Airfields

855.20  Joint-use Agreements.
855.21  Procedures for sponsor.
855.22  Air Force procedures.
855.23  Other agreements.
Table 1--Purpose of Use/Verification/Approval Authority/Fees
Table 2--Aircraft Liability Coverage Requirements
Table 3--Landing Fees
Table 4--Parking and Storage Fees

Attachment 1 to Part 855--Glossary of References, Abbreviations, 
          Acronyms, and Terms
Attachment 2 to Part 855--Weather Alternate List
Attachment 3 to Part 855--Landing Permit Application Instructions
Attachment 4 to Part 855--Sample Joint-Use Agreement
Attachment 5 to Part 855--Sample Temporary Agreement

    Authority: 49 U.S.C. 44502 and 47103.

    Source: 60 FR 37349, July 20, 1995, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 855.1  Policy.

    The Air Force establishes and uses its airfields to support the 
scope and level of operations necessary to carry out missions worldwide. 
The Congress funds airfields in response to Air Force requirements, but 
also specifies that civil aviation access is a national priority to be 
accommodated when it does not jeopardize an installation's military 
utility. The Air Force engages in dialogue with the civil aviation 
community and the Federal Aviation Administration to ensure mutual 
understanding of long-term needs for the national air transportation 
system and programmed military force structure requirements. To 
implement the national policy and to respond to requests for access, the 
Air Force must have policies that balance such requests with military 
needs. Civil aircraft access to Air Force airfields on foreign territory 
requires host nation approval.
    (a) The Air Force will manage two programs that are generally used 
to grant civil aircraft access to its airfields: civil aircraft landing 
permits and joint-use agreements. Other arrangements for access will be 
negotiated as required for specific purposes.
    (1) Normally, landing permits will be issued only for civil aircraft 
operating in support of official Government business. Other types of use 
may be authorized if justified by exceptional circumstances. Access will 
be granted on an equitable basis.
    (2) The Air Force will consider only proposals for joint use that do 
not compromise operations, security, readiness, safety, environment, and 
quality of life. Further, only proposals submitted by authorized local 
Government representatives eligible to sponsor a public airport will be 
given the comprehensive evaluation required to conclude a joint-use 
agreement.
    (3) Any aircraft operator with an inflight emergency may land at any

[[Page 120]]

Air Force airfield without prior authorization. An inflight emergency is 
defined as a situation that makes continued flight hazardous.
    (b) Air Force requirements will take precedence on Air Force 
airfields over all civil aircraft operations, whether they were 
previously authorized or not.
    (c) Civil aircraft use of Air Force airfields in the United States 
will be subject to Federal laws and regulations. Civil aircraft use of 
Air Force airfields in foreign countries will be subject to US Federal 
laws and regulations that have extraterritorial effect and to applicable 
international agreements with the country in which the Air Force 
installation is located.



Sec. 855.2  Responsibilities.

    (a) As the program manager for joint use, the Civil Aviation Branch, 
Bases and Units Division, Directorate of Operations (HQ USAF/XOOBC), 
ensures that all impacts have been considered and addressed before 
forwarding a joint-use proposal or agreement to the Deputy Assistant 
Secretary for Installations (SAF/MII), who holds decision authority. All 
decisions are subject to the environmental impact analysis process as 
directed by the Environmental Planning Division, Directorate of 
Environment (HQ USAF/CEVP), and the Deputy Assistant Secretary for 
Environment, Safety, and Occupational Health (SAF/MIQ). The Air Force 
Real Estate Agency (AFREA/MI) handles the leases for Air Force-owned 
land or facilities that may be included in an agreement for joint use.
    (b) HQ USAF/XOOBC determines the level of decision authority for 
landing permits. It delegates decision authority for certain types of 
use to major commands and installation commanders.
    (c) HQ USAF/XOOBC makes the decisions on all requests for exceptions 
or waivers to this part and related Air Force instructions. The decision 
process includes consultation with other affected functional area 
managers when required. Potential impacts on current and future Air 
Force policies and operations strongly influence such decisions.
    (d) Major commands, direct reporting units, and field operating 
agencies may issue supplements to establish command-unique procedures 
permitted by and consistent with this part.



Sec. 855.3  Applicability.

    This part applies to all regular United States Air Force (USAF), Air 
National Guard (ANG), and United States Air Force Reserve (USAFR) 
installations with airfields. This part also applies to civil aircraft 
use of Air Force ramps at civil airports hosting USAF, ANG, and USAFR 
units.



                Subpart B--Civil Aircraft Landing Permits



Sec. 855.4  Scope.

    Air Force airfields are available for use by civil aircraft so far 
as such use does not interfere with military operations or jeopardize 
the military utility of the installation. Access will be granted on an 
equitable basis. Air Force requirements take precedence over authorized 
civil aircraft use. This part carries the force of US law, and 
exceptions are not authorized without prior approval from the Civil 
Aviation Branch, Bases and Units Division, Directorate of Operations, 
(HQ USAF/XOOBC), 1480 Air Force Pentagon, Washington DC 20330-1480. 
Proposed exceptions or waivers are evaluated as to current and future 
impact on Air Force policy and operations.



Sec. 855.5  Responsibilities and authorities.

    (a) The Air Force:
    (1) Determines whether civil aircraft use of Air Force airfields is 
compatible with current and planned military activities.
    (2) Normally authorizes civil aircraft use of Air Force airfields 
only in support of official Government business. If exceptional 
circumstances warrant, use for other purposes may be authorized.
    (3) Acts as clearing authority for civil aircraft use of Air Force 
airfields, subject to the laws and regulations of the US, or to 
applicable international agreements (e.g., status of forces agreements) 
with the country in which the Air Force installation is located.

[[Page 121]]

    (4) Reserves the right to suspend any operation that is inconsistent 
with national defense interests or deemed not in the best interests of 
the Air Force.
    (5) Will terminate authority to use an Air Force airfield if the:
    (i) User's liability insurance is canceled.
    (ii) User lands for other than the approved purpose of use or is 
otherwise in violation of this part or clearances and directives 
hereunder.
    (6) Will not authorize use of Air Force airfields:
    (i) In competition with civil airports by providing services or 
facilities that are already available in the private sector.
    Note: Use to conduct business with or for the US Government is not 
considered as competition with civil airports.
    (ii) Solely for the convenience of passengers or aircraft operator.
    (iii) Solely for transient aircraft servicing.
    (iv) By civil aircraft that do not meet US Department of 
Transportation operating and airworthiness standards.
    (v) That selectively promotes, benefits, or favors a specific 
commercial venture unless equitable consideration is available to all 
potential users in like circumstances.
    (vi) For unsolicited proposals in procuring Government business or 
contracts.
    (vii) Solely for customs-handling purposes.
    (viii) When the air traffic control tower and base operations are 
closed or when a runway is restricted from use by all aircraft.
    Note: Requests for waiver of this provision must address liability 
responsibility, emergency response, and security.
    (7) Will not authorize civil aircraft use of Air Force ramps located 
on civil airfields.
    Note: This section does not apply to use of aero club facilities 
located on Air Force land at civil airports, or civil aircraft chartered 
by US military departments and authorized use of terminal facilities and 
ground handling services on the Air Force ramp. Only the DD Form 2400, 
Civil Aircraft Certificate of Insurance, and DD Form 2402, Civil 
Aircraft Hold Harmless Agreement, are required for use of Air Force 
ramps on civil airfields.
    (b) Civil aircraft operators must:
    (1) Have an approved DD Form 2401, Civil Aircraft Landing Permit, 
before operating at Air Force airfields, except for emergency use and as 
indicated in paragraphs (d)(2) and (d)(2)(iii)(E) of this section, and , 
and Sec. 855.13(b)(1)(ii).
    (2) Ensure that pavement load-bearing capacity will support the 
aircraft to be operated at the Air Force airfield.
    (3) Ensure that aircraft to be operated at Air Force airfields are 
equipped with an operating two-way radio capable of communicating with 
the air traffic control tower.
    (4) Obtain final approval for landing from the installation 
commander or a designated representative (normally base operations) at 
least 24 hours prior to arrival.
    (5) Not assume that the landing clearance granted by an air traffic 
control tower facility is a substitute for either the approved civil 
aircraft landing permit or approval from the installation commander or a 
designated representative (normally base operations).
    (6) Obtain required diplomatic or overflight clearance before 
operating in foreign airspace.
    (7) Pay applicable costs and fees.
    (8) File a flight plan before departing the Air Force airfield.
    (c) The installation commander or a designated representative:
    (1) Exercises administrative and security control over both the 
aircraft and passengers while on the installation.
    (2) May require civil users to delay, reschedule, or reroute 
aircraft arrivals or departures to preclude interference with military 
activities.
    (3) Cooperates with customs, immigration, health, and other public 
authorities in connection with civil aircraft arrival and departure.
    (d) Decision Authority: The authority to grant civil aircraft use of 
Air Force airfields is vested in:
    (1) Directorate of Operations, Bases and Units Division, Civil 
Aviation Branch (HQ USAF/XOOBC). HQ USAF/XOOBC may act on any request 
for civil aircraft use of an Air Force airfield. Decision authority for 
the following will not be delegated below HQ USAF:
    (i) Use of multiple Air Force airfields except as designated in 
paragraph (d)(2) of this section.

[[Page 122]]

    (ii) Those designated as 2 under Approval Authority in Table 1 to 
this part.
    (iii) Any unusual or unique purpose of use not specifically 
addressed in this part.
    (2) Major Command, Field Operating Agency, Direct Reporting Unit, or 
Installation Commander. With the exception of those uses specifically 
delegated to another decision authority, major commands (MAJCOMs), field 
operating agencies (FOAs), direct reporting units (DRUs) and 
installation commanders or designated representatives have the authority 
to approve or disapprove civil aircraft landing permit applications (DD 
Forms 2400, Civil Aircraft Certificate of Insurance; 2401; Civil 
Aircraft Landing Permit, and 2402, Civil Aircraft Hold Harmless 
Agreement) at airfields for which they hold oversight responsibilities. 
Additionally, for expeditious handling of short notice requests, they 
may grant requests for one-time, official Government business flights 
that are in the best interest of the US Government and do not violate 
other provisions of this part. As a minimum, for one-time flights 
authorized under this section, the aircraft owner or operator must 
provide the decision authority with insurance verification and a 
completed DD Form 2402 before the aircraft operates into the Air Force 
airfield. Air Force authority to approve civil aircraft use of Air Force 
airfields on foreign soil may be limited. Commanders outside the US must 
be familiar with base rights agreements or other international 
agreements that may render inapplicable, in part or in whole, provisions 
of this part. Decision authority is delegated for specific purposes of 
use and or locations as follows:
    (i) Commander, 611th Air Operations Group (AOG). The Commander, 
611th AOG or a designated representative may approve commercial 
charters, on a case-by-case basis, at all Air Force airfields in Alaska, 
except Eielson and Elmendorf AFBs, if the purpose of the charter is to 
transport goods and or materials, such as an electric generator or 
construction materials for a community center, for the benefit of remote 
communities that do not have adequate civil airports.
    (ii) Commander, Air Mobility Command (AMC). The Commander, AMC or a 
designated representative may approve permits that grant landing rights 
at Air Force airfields worldwide in support of AMC contracts.
    (iii) US Defense Attache Office (USDAO). The USDAO, acting on behalf 
of HQ USAF/XOOBC, may grant a request for one-time landing rights at an 
Air Force airfield provided:
    (A) The request is for official Government business of either the US 
or the country to which the USDAO is accredited.
    (B) The Air Force airfield is located within the country to which 
the USDAO is accredited.
    (C) Approval will not violate any agreement with the host country.
    (D) The installation commander concurs.
    (E) The USDAO has a properly completed DD Form 2402 on file and has 
verified that the insurance coverage meets the requirements of Table 2 
to this part, before the aircraft operates into the Air Force airfield.



Sec. 855.6  Aircraft exempt from the requirement for a civil aircraft landing permit.

    (a) Any aircraft owned by:
    (1) Any other US Government agency.
    (2) US Air Force aero clubs established as prescribed in AFI 34-117, 
Air Force Aero Club Program, and AFMAN 3-132, Air Force Aero Club 
Operations \1\.
---------------------------------------------------------------------------

    \1\ Copies of the publications are available, at cost, from the 
National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    Note: This includes aircraft owned by individuals but leased by an 
Air Force aero club.
    (3) Aero clubs of other US military services.
    Note: This includes aircraft owned by individuals but leased by Army 
or Navy aero clubs.
    (4) A US State, County, Municipality, or other political 
subdivision, when operating to support official business at any level of 
Government.
    (b) Any civil aircraft under:
    (1) Lease or contractual agreement for exclusive US Government use 
on a

[[Page 123]]

long-term basis and operated on official business by or for a US 
Government agency; for example, the Federal Aviation Administration 
(FAA), Department of the Interior, or Department of Energy.
    Note: The Government must hold liability responsibility for all 
damages or injury associated with operation of the aircraft.
    (2) Lease or contractual agreement to the Air Force for Air Force 
Civil Air Patrol (CAP) liaison purposes and operated by an Air Force CAP 
liaison officer on official Air Force business.
    (3) CAP control for a specific mission directed by the Air Force.
    (4) Coast Guard control for a specific mission directed by the Coast 
Guard.
    Note: For identification purposes, the aircraft will be marked with 
a sticker near the port side door identifying it as a Coast Guard 
Auxiliary aircraft. The pilot will always be in uniform and normally 
have a copy of a Coast Guard Auxiliary Patrol Order. If the aircraft is 
operating under ``verbal orders of the commander,'' the pilot can 
provide the telephone number of the cognizant Coast Guard commander.
    (5) Contractual agreement to any US, State, or local Government 
agency in support of operations involving safety of life or property as 
a result of a disaster.
    (6) Government furnished property or bailment contract for use by a 
contractor, provided the Federal, State, or local Government has 
retained liability responsibilities.
    (7) Civil aircraft transporting critically ill or injured 
individuals or transplant organs to or from an Air Force installation.
    (8) Historic aircraft being delivered for Air Force museum exhibits 
under the provisions of AFI 84-103, Museum System.\2\
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    \2\ See footnote 1 to Sec. 855.6.
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Sec. 855.7  Conditions for use of Air Force airfields.

    The Air Force authorizes use of its airfields for a specific purpose 
by a named individual or company. The authorization cannot be 
transferred to a second or third party and does not extend to use for 
other purposes. An approved landing permit does not obligate the Air 
Force to provide supplies, equipment, or facilities other than the 
landing, taxiing, and parking areas. The aircraft crew and passengers 
are only authorized activities at the installation directly related to 
the purpose for which use is granted. All users are expected to submit 
their application (DD Forms 2400, 2401, and 2402) at least 30 days 
before intended use and, except for use as a weather alternate, CRAF 
alternate, or emergency landing site, must contact the appropriate 
installation commander or a designated representative for final landing 
approval at least 24 hours before arrival. Failure to comply with either 
time limit may result in denied landing rights.



Sec. 855.8  Application procedures.

    To allow time for processing, the application (DD Forms 2400, 2401, 
and 2402) and a self-addressed, stamped envelope should be submitted at 
least 30 days before the date of the first intended landing. The 
verification required for each purpose of use must be included with the 
application. The name of the user must be the same on all forms. 
Original, hand scribed signatures, not facsimile elements, are required 
on all forms. Landing Permit Application Instructions are at attachment 
3 to this part. The user is responsible for reviewing this part and 
accurately completing the forms before submitting them to the approving 
authority.



Sec. 855.9  Permit renewal.

    When a landing permit expires, DD Forms 2401 and 2400 must be 
resubmitted for continued use of Air Force airfields.
    Note: Corporations must resubmit the DD Form 2402 every five years.



Sec. 855.10  Purpose of use.

    The purposes of use normally associated with civil aircraft 
operations at Air Force airfields are listed in Table 1. Requests for 
use for purposes other than those listed will be considered and may be 
approved if warranted by unique circumstances. A separate DD Form 2401 
is required for each purpose of use. (Users can have multiple DD Forms 
2401 that are covered by a single DD Form 2400 and DD Form 2402.)

[[Page 124]]



Sec. 855.11  Insurance requirements.

    Applicants must provide proof of third-party liability insurance on 
a DD Form 2400, with the amounts stated in US dollars. The policy 
number, effective date, and expiration date are required. The statement 
``until canceled'' may be used in lieu of a specific expiration date. 
The geographic coverage must include the area where the Air Force 
airfield of proposed use is located. If several aircraft or aircraft 
types are included under the same policy, a statement such as ``all 
aircraft owned,'' ``all aircraft owned and or operated,'' ``all non-
owned aircraft,'' or ``all aircraft operated,'' may be used in lieu of 
aircraft registration numbers. To meet the insurance requirements, 
either split limit coverage for bodily injury (individuals outside the 
aircraft), property damage, and passengers, or a single limit coverage 
is required. The coverage will be at the expense of the user with an 
insurance company acceptable to the Air Force. Coverage must be current 
during the period the Air Force airfield will be used. The liability 
required is computed on the basis of aircraft maximum gross takeoff 
weight (MGTOW) and passenger or cargo configuration. Minimum coverage 
will not be less than the amount indicated in Table 2 to this part.
    (a) Any insurance presented as a single limit of liability or a 
combination of primary and excess coverage will be an amount equal to or 
greater than the each accident minimums indicated in Table 2 to this 
part for bodily injury (individuals outside the aircraft), property 
damage, and passengers.
    (b) The policy will specifically provide that:
    (1) The insurer waives any right of subrogation it may have against 
the US by reason of any payment made under the policy for injury, death, 
or property damage that might arise, out of or in connection with the 
insured's use of any Air Force airfield.
    (2) The insurance afforded by the policy applies to the liability 
assumed by the insured under DD Form 2402.
    (3) If the insurer or the insured cancels or reduces the amount of 
insurance afforded under the listed policy before the expiration date 
indicated on DD Form 2400, the insurer will send written notice of 
policy cancellation or coverage reduction to the Air Force approving 
authority at least 30 days before the effective date of the cancellation 
or reduction. The policy must state that any cancellation or reduction 
will not be effective until at least 30 days after such notice is sent.



Sec. 855.12  Processing a permit application.

    Upon receipt of an application (DD Forms 2400, 2401, and 2402) for 
use of an Air Force airfield, the decision authority:
    (a) Determines the availability of the airfield and its capability 
to accommodate the purpose of use requested.
    (b) Determines the validity of the request and ensures all entries 
on DD Forms 2400, 2401, and 2402 are in conformance with this part.
    (c) Approves DD Form 2401 (with conditions or limitations noted) by 
completing all items in Section II--For Use by Approving Authority as 
follows:
    (1) Period of Use (Block 7): The ``From'' date will be either the 
first day of approved use or the first day of insurance coverage. The 
``From'' date cannot precede the first day of insurance coverage shown 
on the DD Form 2400. The ``Thru'' date is determined by the insurance 
expiration date and or the purpose of use. For example, the period of 
use for participants in an Air Force open house will be determined by 
both insurance coverage and open house dates. The permit would be issued 
only for the duration of the open house but must not precede or exceed 
the dates of insurance coverage. Many insurance policies terminate at 
noon on the expiration date. Therefore, if the insurance expiration is 
used to determine the permit expiration date, the landing permit will 
expire one day before the insurance expiration date shown on the DD Form 
2400. If the insurance expiration date either exceeds 2 years or is 
indefinite (for example, ``until canceled''), the landing permit will 
expire 2 years from the issue date or first day of coverage.
    (2) Frequency of Use (Block 8) is normally ``as required'' but may 
be more specific, such as ``one time.''

[[Page 125]]

    (3) Identification Number (Block 9): Installation commanders or a 
designated representative assign a permit number comprised of the last 
three letters of the installation's International Civil Aviation 
Organization identifier code, the last two digits of the calendar year, 
a number sequentially assigned, and the letter suffix that indicates the 
purpose of use (Table 1); for example, ADW 95-01C. MAJCOMs, FOAs, DRUs, 
and USDAOs use a three position organization abbreviation; such as AMC 
95-02K.
    (4) DD Form 2400 (Dated and Filed) (Block 11a): This block should 
contain the date from block 1 (Date Issued) on the DD Form 2400 and the 
identification of the unit or base where the form was approved; i.e., 30 
March 1995, HQ USAF/XOOBC.
    (5) DD Form 2402 (Dated and Filed) (Block 11b): This block should 
contain the date from block 4 (Date Signed) on the DD Form 2402 and the 
identification of the unit or base where the form was approved; i.e., 30 
March 1995, HQ USAF/XOOBC.
    (6) SA-ALC/SFR, 1014 Andrews Road, Building 1621, Kelly AFB TX 
78241-5603 publishes the list of companies authorized to purchase Air 
Force fuel on credit. Block 12 should be marked ``yes'' only if the 
permit holder's name appears on the SA-ALC list.
    (7) Landing Fees, Block 13, should be marked as indicated in Table 1 
to this part.
    (8) Permit Amendments: New entries or revisions to an approved DD 
Form 2401 may be made only by or with the consent of the approving 
authority.
    (d) Provides the applicant with written disapproval if:
    (1) Use will interfere with operations, security, or safety.
    (2) Adequate civil facilities are collocated.
    (3) Purpose of use is not official Government business and adequate 
civil facilities are available in the proximity of the requested Air 
Force airfield.
    (4) Use will constitute competition with civil airports or air 
carriers.
    (5) Applicant has not fully complied with this part.
    (e) Distributes the approved DD Form 2401 before the first intended 
landing, when possible, as follows:
    (1) Retains original.
    (2) Returns two copies to the user.
    (3) Provides a copy to HQ USAF/XOOBC.
    Note: HQ USAF/XOOBC will provide a computer report of current 
landing permits to the MAJCOMs, FOAs, DRUs, and installations.



Sec. 855.13  Civil fly-ins.

    (a) Civil aircraft operators may be invited to a specified Air Force 
airfield for:
    (1) A base open house to perform or provide a static display.
    (2) A flying safety seminar.
    (b) Civil fly-in procedures:
    (1) The installation commander or a designated representative:
    (i) Requests approval from the MAJCOM, FOA, or DRU with an 
information copy to HQ USAF/XOOBC/XOOO and SAF/PAC.
    (ii) Ensures that DD Form 2402 is completed by each user.
    Note: DD Forms 2400 and 2401 are not required for fly-in 
participants if flying activity consists of a single landing and takeoff 
with no spectators other than flightline or other personnel required to 
support the aircraft operations.
    (2) The MAJCOM, FOA, or DRU ensures HQ USAF/XOOBC/XOOO and SAF/PAC 
are advised of the approval or disapproval for the fly-in.
    (3) Aerial performance by civil aircraft at an Air Force open house 
requires MAJCOM or FOA approval and an approved landing permit as 
specified in AFI 35-201, Community Relations \3\. Regardless of the 
aircraft's historic military significance, DD Forms 2400, 2401, and 2402 
must be submitted and approved before the performance. The permit can be 
approved at MAJCOM, FOA, DRU, or installation level. Use will be 
authorized only for the period of the event. Fly-in procedures do not 
apply to aircraft transporting passengers (revenue or non-revenue) for 
the purpose of attending the open house or demonstration flights 
associated with marketing a product.
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    \3\ See footnote 1 to Sec. 855.6.
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Sec. 855.14  Unauthorized landings.

    (a) Unauthorized landing procedures. The installation commander or a 
designated representative will identify an

[[Page 126]]

unauthorized landing as either an emergency landing, an inadvertent 
landing, or an intentional landing. An unauthorized landing may be 
designated as inadvertent or intentional whether or not the operator has 
knowledge of the provisions of this part, and whether or not the 
operator filed a flight plan identifying the installation as a 
destination. Aircraft must depart the installation as soon as practical. 
On all unauthorized landings, the installation commander or a designated 
representative:
    (1) Informs the operator of Subpart B procedures and the requirement 
for notifying the Federal Aviation Administration (FAA) as specified in 
section 6 of the FAA Airman's Information Manual.
    (2) Notifies the Federal Aviation Flight Standards District Office 
(FSDO) by telephone or telefax, followed by written notification using 
FAA Form 8020-9, 8020-11, or 8020-17, as appropriate. A copy of the 
written notification must be provided to HQ USAF/XOOBC.
    (3) Ensures the operator completes a DD Form 2402, and collects 
applicable charges. (In some instances, it may be necessary to arrange 
to bill the user for the appropriate charges.) DD Form 2402 need not be 
completed for commercial carriers if it is known that the form is 
already on file at HQ USAF/XOOBC.
    (4) In a foreign country, notifies the local US Defense Attache 
Office (USDAO) by telephone or telefax and, where applicable, the 
appropriate USDAO in the country of aircraft registry, followed by 
written notification with an information copy to HQ USAF/XOOBC and the 
civil aviation authority of the country or countries concerned.
    (b) Emergency landings. Any aircraft operator who experiences an 
inflight emergency may land at any Air Force airfield without prior 
authorization (approved DD Form 2401 and 24 hours prior notice). An 
inflight emergency is defined as a situation that makes continued flight 
hazardous.
    (1) The Air Force will use any method or means to clear an aircraft 
or wreckage from the runway to preclude interference with essential 
military operations after coordinating with the FSDO and National 
Transportation Safety Board. Removal efforts will minimize damage to the 
aircraft or wreckage; however, military or other operational factors may 
be overriding.
    (2) An operator making an emergency landing:
    (i) Is not charged a landing fee.
    (ii) Pays all costs for labor, material, parts, use of equipment and 
tools, and so forth, to include, but not limited to:
    (A) Spreading foam on the runway.
    (B) Damage to runway, lighting, and navigation aids.
    (C) Rescue, crash, and fire control services.
    (D) Movement and storage of aircraft.
    (E) Performance of minor maintenance.
    (F) Fuel or oil (AFM 67-1, vol 1, part three, chapter 1, Air Force 
Stock Fund and DPSC Assigned Item Procedures \4\).
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    \4\ See footnote 1 to Sec. 855.6.
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    (c) Inadvertent unauthorized landings. (1) The installation 
commander or a designated representative may determine a landing to be 
inadvertent if the aircraft operator:
    (i) Landed due to flight disorientation.
    (ii) Mistook the Air Force airfield for a civil airport.
    (2) Normal landing fees must be charged and an unauthorized landing 
fee may be assessed to compensate the Government for the added time, 
effort, and risk involved in the inadvertent landing. Only the 
unauthorized landing fee may be waived by the installation commander or 
a designated representative if, after interviewing the pilot-in-command 
and appropriate Government personnel, it is determined that flying 
safety was not significantly impaired. The pilot-in-command may appeal 
the imposition of an unauthorized landing fee for an inadvertent landing 
to the MAJCOM, FOA, or DRU whose decision will be final. A subsequent 
inadvertent landing will be processed as an intentional unauthorized 
landing.
    (d) Intentional unauthorized landings. (1) The installation 
commander may categorize an unauthorized landing as intentional when 
there is unequivocal evidence that the pilot deliberately:

[[Page 127]]

    (i) Landed without an approved DD Form 2401 on board the aircraft.
    (ii) Landed for a purpose not approved on the DD Form 2401.
    (iii) Operated an aircraft not of a model or registration number on 
the approved DD Form 2401.
    (iv) Did not request or obtain the required final approval from the 
installation commander or a designated representative at least 24 hours 
before aircraft arrival.
    (v) Did not obtain landing clearance from the air traffic control 
tower.
    (vi) Landed with an expired DD Form 2401.
    (vii) Obtained landing authorization through fraudulent methods, or
    (viii) Landed after having been denied a request to land from any 
Air Force authority, including the control tower.
    (2) Normal landing fees and an unauthorized landing fee must be 
charged. Intentional unauthorized landings increase reporting, 
processing, and staffing costs; therefore, the unauthorized landing fee 
for paragraph (d)(1)(i) through (d)(1)(vi) of this section will be 
increased by 100 percent. The unauthorized landing fee will be increased 
200 percent for paragraph (d)(1)(vii) and (d)(1)(viii) of this section.
    (3) Intentional unauthorized landings may be prosecuted as a 
criminal trespass, especially if a debarment letter has been issued. 
Repeated intentional unauthorized landings prejudice the user's FAA 
operating authority and jeopardize future use of Air Force airfields.



Sec. 855.15  Detaining an aircraft.

    (a) An installation commander in the United States, its territories, 
or its possessions may choose to detain an aircraft for an intentional 
unauthorized landing until:
    (1) The unauthorized landing has been reported to the FAA, HQ USAF/
XOOBC, and the appropriate US Attorney.
    (2) All applicable charges have been paid.
    (b) If the installation commander wishes to release the aircraft 
before the investigation is completed, he or she must obtain bond, 
promissory note, or other security for payment of the highest charge 
that may be assessed.
    (c) The pilot and passengers will not be detained longer than is 
necessary for identification, although they may be permitted to remain 
in a lounge or other waiting area on the base at their request for such 
period as the installation commander may determine (normally not to 
exceed close of business hours at the home office of the entity owning 
the aircraft, if the operator does not own the aircraft). No person, 
solely due to an intentional unauthorized landing, will be detained 
involuntarily after identification is complete without coordination from 
the appropriate US Attorney, the MAJCOM, FOA, or DRU, and HQ USAF/XOOBC.



Sec. 855.16  Parking and storage.

    The time that an aircraft spends on an installation is at the 
discretion of the installation commander or a designated representative 
but should be linked to the purpose of use authorized. Parking and 
storage may be permitted on a nonexclusive, temporary, or intermittent 
basis, when compatible with military requirements. At those locations 
where there are Air Force aero clubs, parking and storage privileges may 
be permitted in the area designated for aero club use without regard for 
the purpose of use authorized, if consistent with aero club policies. 
Any such permission may be revoked upon notice, based on military needs 
and the installation commander's discretion.



Sec. 855.17  Fees for landing, parking, and storage.

    (a) Landing, parking, and storage fees (Tables 3 and 4 to this part) 
are determined by aircraft maximum gross takeoff weight (MGTOW). All 
fees are normally due and collectable at the time of use of the Air 
Force airfield. DD Form 1131, Cash Collection Voucher, is used to 
deposit the fees with the base accounting and finance officer. In some 
instances, it may be necessary to bill the user for charges incurred.
    (b) Landing fees are not charged when the aircraft is operating in 
support of official Government business or for any purpose, the cost of 
which is subject to reimbursement by the US

[[Page 128]]

Government. Parking and Storage Fees (Table 4 to this part) are charged 
if an aircraft must remain beyond the period necessary to conduct 
official Government business and for all non-official Government 
business operations.



Sec. 855.18  Aviation fuel and oil purchases.

    When a user qualifies under the provisions of AFM 67-1, vol. 1, part 
three, chapter 1, Air Force Stock Fund and DPSC Assigned Item 
Procedures,\5\ purchase of Air Force fuel and oil may be made on a cash 
or credit basis. An application for credit authority can be filed by 
submitting an Authorized Credit Letter to SA-ALC/SFRL, 1014 Andrews 
Road, Building 1621, Kelly AFB TX 78241-5603.
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    \5\ See footnote 1 to Sec. 855.6.
---------------------------------------------------------------------------



Sec. 855.19  Supply and service charges.

    Supplies and services furnished to a user will be charged for as 
prescribed in AFM 67-1, volume 1, part one, chapter 10, section N, Basic 
Air Force Supply Procedures, and AFR 177-102, paragraph 28.24, 
Commercial Transactions at Base Level.\6\ A personal check with 
appropriate identification, cashier's check, money order, or cash are 
acceptable means of payment. Charges for handling foreign military sales 
cargo are prescribed in AFR 170-3, Financial Management and Accounting 
for Security Assistance and International Programs.\7\
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    \6\ See footnote 1 to Sec. 855.6.
    \7\ See footnote 1 to Sec. 855.6.
---------------------------------------------------------------------------



   Subpart C--Agreements for Civil Aircraft Use of Air Force Airfields



Sec. 855.20  Joint-use agreements.

    An agreement between the Air Force and a local Government agency is 
required before a community can establish a public airport on an Air 
Force airfield.
    (a) Joint use of an Air Force airfield will be considered only if 
there will be no cost to the Air Force and no compromise of mission 
capability, security, readiness, safety, or quality of life. Further, 
only proposals submitted by authorized representatives of local 
Government agencies eligible to sponsor a public airport will be given 
the comprehensive evaluation required to conclude a joint use agreement. 
All reviewing levels will consider and evaluate such requests on an 
individual basis.
    (b) Generally, the Air Force is willing to consider joint use at an 
airfield if it does not have pilot training, nuclear storage, or a 
primary mission that requires a high level of security. Civil operations 
must begin within 5 years of the effective date of an agreement. 
Operational considerations will be based on the premise that military 
aircraft will receive priority handling (except in emergencies), if 
traffic must be adjusted or resequenced. The Air Force normally will not 
consider personnel increases solely to support civil operations but, if 
accommodated, all costs must be fully reimbursed by the joint-use 
sponsor. The Air Force will not provide personnel to install, operate, 
maintain, alter, or relocate navigation equipment or aircraft arresting 
systems for the sole use of civil aviation. Changes in equipment or 
systems to support the civil operations must be funded by the joint-use 
sponsor. The Air Force must approve siting, design, and construction of 
the civil facilities.



Sec. 855.21  Procedures for sponsor.

    To initiate consideration for joint use of an Air Force airfield, a 
formal proposal must be submitted to the installation commander by a 
local Government agency eligible to sponsor a public airport. The 
proposal must include:
    (a) Type of operation.
    (b) Type and number of aircraft to be located on or operating at the 
airfield.
    (c) An estimate of the number of annual operations for the first 5 
years.



Sec. 855.22  Air Force procedures.

    (a) Upon receipt of a joint-use proposal, the installation 
commander, without precommitment or comment, will send the documents to 
the Air Force Representative (AFREP) at the Federal Aviation 
Administration (FAA) Regional Office within the geographical area where 
the installation is located. AFI 13-201, Air Force Airspace

[[Page 129]]

Management,\8\ lists the AFREPs and their addresses. The installation 
commander must provide an information copy of the proposal to HQ USAF/
XOOBC, 1480 Air Force Pentagon, Washington DC 20330-1480.
---------------------------------------------------------------------------

    \8\ See footnote 1 to Sec. 855.6.
---------------------------------------------------------------------------

    (b) The AFREP provides comments to the installation commander on 
airspace, air traffic control, and other related areas, and informs 
local FAA personnel of the proposal for joint use.
    (c) The installation, the numbered Air Force, and the major command 
(MAJCOM) will then evaluate the proposal. The MAJCOM will send the 
comments and recommendations from all reviewing officials to HQ USAF/
XOOBC.
    (d) Factors considered in evaluating joint use include, but are not 
limited to:
    (1) Impact on current and programmed military activities at the 
installation.
    (2) Compatibility of proposed civil aviation operations with present 
and planned military operations.
    (3) Compatibility of communications systems.
    (4) Instrument capability of crew and aircraft.
    (5) Runway and taxiway configuration. (Installations with single 
runways normally will not be considered for joint use.)
    (6) Security. The possibility for sabotage, terrorism, and vandalism 
increases with joint use; therefore, joint use will not be considered:
    (i) If military and civil aircraft would be collocated in hangars or 
on ramps.
    (ii) If access to the civil aviation facilities would require 
routine transit through the base.
    (7) Fire, crash, and rescue requirements.
    (8) Availability of public airports to accommodate the current and 
future air transportation needs of the community through construction or 
expansion.
    (9) Availability of land for civil airport complex.
    Note: The majority of land required for a terminal and other support 
facilities must be located outside the installation perimeter or at a 
site that will allow maximum separation of military and civil 
activities. If the community does not already own the needed land, it 
must be acquired at no expense to the Air Force. The Air Force may make 
real property that is not presently needed, but not excess, available by 
lease under 10 U.S.C 2667. An application for lease of Air Force real 
property must be processed through the chain of command to the Air Force 
Real Estate Agency, 172 Luke Avenue, Suite 104, Building 5683, Bolling 
AFB DC 20332-5113, as prescribed in AFI 32-9003, Granting Temporary Use 
of Air Force Real Property \9\. All real property outleases require 
payment of fair market consideration and normally are processed through 
the Corps of Engineers. The General Services Administration must be 
contacted regarding availability of excess or surplus Federal real 
property and an application submitted through FAA for an airport use 
public benefit transfer under 49 U.S.C. Sec. 47151-47153.
---------------------------------------------------------------------------

    \9\ See footnote 1 to Sec. 855.6.
---------------------------------------------------------------------------

    (10) Sponsor's resources to pay a proportionate share of costs for 
runway operation and maintenance and other jointly used facilities or 
otherwise provide compensation that is of direct benefit to the 
Government.
    (e) When the Air Force determines that joint use may be compatible 
with its defense mission, the environmental impact analysis process must 
be completed before a final decision can be made. The Air Force will act 
as lead agency for the preparation of the environmental analysis (32 CFR 
part 989, Environmental Impact Analysis Process). The local Government 
agency representatives, working in coordination with Air Force personnel 
at the installation and other concerned local or Federal officials, must 
identify the proposed action, develop conceptual alternatives, and 
provide planning, socioeconomic, and environmental information as 
specified by the appropriate MAJCOM and HQ USAF/CEVP. The information 
must be complete and accurate in order to serve as a basis for the 
preparation of the Air Force environmental documents. All costs 
associated with the environmental studies required to complete the 
environmental impact analysis process must be paid by the joint use 
sponsor. Information on environmental analysis requirements is available 
from HQ USAF/CEVP, 1260 Air Force Pentagon, Washington DC 20330-1260.

[[Page 130]]

    (f) HQ USAF/XOOBC can begin negotiating a joint-use agreement after 
the environmental impact analysis process is completed. The agreement 
must be concluded on behalf of the Air Force by SAF/MII as the approval 
authority for use of Air Force real property for periods exceeding 5 
years. The joint-use agreement will state the extent to which the 
provisions of subpart B of this part, Civil Aircraft Landing Permits, 
apply to civil aircraft operations.
    (1) Joint-use agreements are tailored to accommodate the needs of 
the community and minimize the impact on the defense mission. Although 
each agreement is unique, attachment 4 to this part provides basic terms 
that are frequently included in such agreements.
    (2) Agreements for joint use at Air Force airfields on foreign soil 
are subject to the requirements of AFI 51-701, Negotiating, Concluding, 
Reporting, and Maintaining International Agreements \10\.
---------------------------------------------------------------------------

    \10\ See footnote 1 to Sec. 855.6.
---------------------------------------------------------------------------

    (g) HQ USAF/XOOBC and SAF/MII approval is required to amend existing 
joint use agreements. The evaluation and decision processes followed in 
concluding an initial joint-use proposal must be used to amend existing 
joint-use agreements.



Sec. 855.23  Other agreements.

    (a) Temporary use of Air Force runways occasionally is needed for 
extended periods when a local civil airport is unavailable or to 
accommodate special events or projects. Such use requires agreement 
between the Air Force and the local airport authority or other 
equivalent responsible entity.
    (b) The local proponent and Air Force personnel should draft and 
submit an agreement to the MAJCOM Director for Operations, or equivalent 
level, for review and comment. The agreement must address all 
responsibilities for handling aircraft, cargo, and passengers, and hold 
the Air Force harmless of all liabilities. The agreement will not exceed 
3 years. Although each agreement will be unique, attachment 5 of this 
part provides one example. The draft agreement, with all comments and 
recommendations, must be sent to HQ USAF/XOOBC for final approval.
      Table 1--Purpose of Use/Verification/Approval Authority/Fees

----------------------------------------------------------------------------------------------------------------
                                                                               Approval *
              Purpose of use                          Verification             authority            Fees
----------------------------------------------------------------------------------------------------------------
Contractor or subcontractor (A). A US or   Current Government contract                  1  No.
 foreign contractor or subcontractor,       numbers; the Air Force airfields
 operating corporate, personal, or leased   required for each contract; a
 aircraft in conjunction with fulfilling    brief description of the work to
 the terms of a government contract.        be performed; and the name,
                                            telephone number, and address of
                                            the government contracting
                                            officer must be provided on the
                                            DD Form 2401 or a continuation
                                            sheet.
Note: Potential contractors may not land
 at Air Force airfields to pursue or
 present an unsolicited proposal for
 procurement of government business. One
 time authorization can be provided when
 an authorized US Government
 representative verifies that the
 potential contractor has been
 specifically invited for a sales
 presentation or to discuss their
 product.
Demonstration (B). Aircraft, aircraft      Demonstration or display must be             1  No.
 with components installed, or aircraft     a contractual requirement or
 transporting components or equipment       presented at the request of an
 operating to demonstrate or display a      authorized US Government
 product to US Government representatives   representative. The name,
 who have procurement authority or          address, and telephone number of
 certification responsibilities.            the requesting government
 (Authority granted under this paragraph    representative or contracting
 does not include aerobatic                 officer and contract number must
 demonstrations.).                          be included on the DD Form 2401.
Aerial performance (BB). Aircraft          Approval of MAJCOM, FOA, or DRU              1  No.
 performing aerobatics and or fly-bys at    and FAA as specified in AFI 35-
 Air Force airfields.                       201, Community Relations.

[[Page 131]]

 
Active duty US military and other US       Social security number in block 1            1  No.
 uniformed service members with military    on DD Form 2401.
 identification cards (includes members
 of the US Public Health Service, Coast
 Guard, and National Oceanic and
 Atmospheric Administration) (C). Service
 members, operating their own aircraft,
 leased aircraft, or other available
 aircraft for official duty travel
 (temporary duty, permanent change of
 station, etc.) or for private, non
 revenue flights.
Reserve Forces (D). Members of the US      Endorsement from member's                    1  No.
 Reserve Forces (including Reserve          commander that validates
 Officer Training Corps and National        military status and requirement
 Guard) operating their own aircraft,       for use of Air Force airfields
 leased aircraft, or other available        listed on the DD Form 2401. The
 aircraft to fulfill their official duty    endorsement may be included on
 commitment at the installation where       the DD Form 2401 or provided
 their unit is assigned and other           separately by letter. When
 installations for temporary duty           appropriate, travel orders must
 assignments.                               be on board the aircraft.
Dependents of active duty US military      Identification card (DD Form                 1  No.
 personnel, other US uniformed service      1173) number or social security
 personnel, (CC), or US Reserve Forces      number, identification card
 personnel (DD). Dependents operating       expiration date, and a letter of
 their own aircraft, leased aircraft, or    endorsement from sponsor.
 other available aircraft in conjunction
 with activities related to entitlements
 as a dependent of a uniformed service
 member.
US Government civil service employees      Supervisor's endorsement in block            1  No.
 (E). Civilian employees of the US          4 of the DD Form 2401.
 Government operating their own aircraft,   Individual must have a copy of
 leased aircraft, or other available        current travel orders or other
 aircraft for official Government           official travel certification
 business travel.                           available for verification if
                                            requested by an airfield manager
                                            or a designated representative.
Retired US military members and other      Copy of retirement orders on file            1  No.
 retired US uniformed service members       with the approving authority.
 with a military identification card
 authorizing use of the commissary, base
 exchange, and or military medical
 facilities (G). Retired Service members,
 operating their own aircraft, leased
 aircraft, or other available aircraft in
 conjunction with activities related to
 retirement entitlements authorized by
 law or regulation.
Dependents of retired US military          Identification card (DD Form                 1  No.
 personnel and other retired US uniformed   1173) number or social security
 service personnel (GG). Dependents of      number, identification card
 retired Service members operating their    expiration date, sponsor's
 own aircraft, leased aircraft, or other    retirement orders, and letter of
 available aircraft in conjunction with     endorsement from sponsor.
 activities related to entitlements
 authorized by law or regulation as a
 dependent of a retired Service member.
Civil Air Patrol (CAP) (H). CAP members    Endorsement of the application by            1  No.
 operating personal or CAP aircraft for     HQ CAP-USAF/XOO, 105 South
 official CAP activities.                   Hansell Street, Maxwell AFB AL
                                            36112-6332.
Aero club members (I). Individuals         Membership validation by the aero            6  No.
 operating their own aircraft at the Air    club manager on the DD Form 2401.
 Force airfield where they hold active
 aero club membership.
Weather alternate (J). An Air Force        List of the destination civil                1  Yes
 airfield identified on a scheduled air     airports for which the alternate
 carrier's flight plan as an alternate      will be used and certification
 airport as prescribed by Federal           of scheduled air carrier status,
 Aviation Regulations (FARs) or             such as the US Department of
 equivalent foreign Government              Transportation Fitness
 regulations. The airfield can only be      Certificate.
 used if weather conditions develop while
 the aircraft is in flight that preclude
 landing at the original destination.
 Aircraft may not be dispatched from the
 point of departure to an Air Force
 airfield designated as an approved
 weather alternate.

[[Page 132]]

 
Note: Scheduled air carriers are defined
 at Attachment 1. Only those airfields
 identified on the list at Attachment 2
 are available for use as weather
 alternates. Airfields cannot be used as
 alternates for non-scheduled operations.
 Passengers and cargo may not be
 offloaded, except with the approval of
 the installation commander when there is
 no other reasonable alternative.
 Boarding new passengers and or loading
 new cargo is not authorized.
Air Mobility Command (AMC) contractor      International flights must have              3  No.
 charter (K). An air carrier transporting   an AMC Form 8, Civil Aircraft
 passengers or cargo under the terms of     Certificate, on board the
 an AMC contract. (Landing permits for      aircraft. Domestic flights must
 this purpose are processed by HQ AMC/      have either a Certificate of
 DOKA, 402 Scott Drive, Unit 3A1, Scott     QUICK-TRANS (Navy), a
 AFB IL 62225-5302.).                       Certificate of Courier Service
                                            Operations (AMC), or a
                                            Certificate of Intra-Alaska
                                            Operations (AMC) on board the
                                            aircraft.
CRAF alternate (KK). An Air Force          Participant in the CRAF program              2  Yes.
 airfield used as an alternate airport by   and authorized by contract.
 air carriers that have contracted to
 provide aircraft for the Civil Reserve
 Air Fleet (CRAF).
US Government contract or charter          The chartering agency and name,              1  No.
 operator (L). An air carrier               address, and telephone number of
 transporting passengers or cargo for a     the Government official
 US Government department or agency other   procuring the transportation
 than US military departments.              must be listed in block 4 of the
                                            DD Form 2401. An official
                                            government document, such as an
                                            SF 1169, US government
                                            Transportation Request, must be
                                            on board the aircraft to
                                            substantiate that the flight is
                                            operating for a US Government
                                            department or agency.
Contractor or subcontractor charter (M).   The contractor or subcontractor              1  No.
 Aircraft chartered by a US or foreign      must provide written validation
 contractor or subcontractor to transport   to the decision authority that
 personnel or cargo in support of a         the charter operator will be
 current government contract.               operating on their behalf in
                                            fulfilling the terms of a
                                            government contract, to include
                                            current government contract
                                            numbers and contract titles or
                                            brief description of the work to
                                            be performed; the Air Force
                                            airfields required for use, and
                                            the name, telephone number, and
                                            address of the government
                                            contracting officer.
DOD charter (N). Aircraft transporting     Military Air Transportation                  1  No.
 passengers or cargo within the United      Agreement (MATA) approved by the
 States for the military departments to     Military Transportation
 accommodate transportation requirements    Management Command (MTMC) (this
 that do not exceed 90 days.                includes survey and approval by
                                            HQ AMC/DOB, 402 Scott Drive,
                                            Suite 132, Scott AFB IL 62225-
                                            5363). An SF 1169 or SF 1103, US
                                            Government Bill of Lading, must
                                            be on board the aircraft to
                                            validate the operation is for
                                            the military departments as
                                            specified in AFJI 24-211,
                                            Defense Traffic Management
                                            Regulation. (Passenger charters
                                            arranged by the MTMC are
                                            assigned a commercial air
                                            movement (CAM) or civil air
                                            freight movement number each
                                            time a trip is awarded.
                                            Installations will normally be
                                            notified by message at least 24
                                            hours before a pending CAM.)
Media (F). Aircraft transporting           Except for White House Press                 2  Note 1.
 representatives of the media for the       Corps charters, concurrence of
 purpose of gathering information about a   the installation commander, base
 US Government operation or event.          operations officer, and public
 (Except for the White House Press Corps,   affairs officer.
 use will be considered on a case-by-case
 basis. For example, authorization is
 warranted if other forms of
 transportation preclude meeting a
 production deadline or such use is in
 the best interest of the US Government.
 DD Forms 2400 and 2402 should be on file
 with HQ USAF/XOOBC to ensure prompt
 telephone approval for validated
 requests.).
Commercial aircraft certification testing  Application must cite the                    2  Yes.
 required by the FARs that only involves    applicable FAR, describe the
 use of normal flight facilities (P).       test, and include the name and
                                            telephone number of the FAA
                                            certification officer.

[[Page 133]]

 
Commercial development testing at Air      Statement of Capability Number or            1  Yes.
 Force flight test facilities (Q) as        Cooperative Research and
 described in AFI 99-101, Development       Development Agreement Number,
 Test & Evaluation.                         and name and telephone number of
                                            the Air Force official who
                                            approved support of the test
                                            project.
Commercial charter operations (R).         Unavailability of:                           5  Yes.
 Aircraft transporting passengers or       a. a suitable civil airport,.....
 cargo for hire for other than US          b. aircraft that could operate
 military departments.                      into the local civil airport, or.
                                           c. other modes of transportation
                                            that would reasonably satisfy
                                            the transportation requirement..
Note: Federal Aviation Administration
 (FAA) certification is required for
 airfields used by carriers certified
 under FAR, Part 121 (passenger aircraft
 that exceed 30 passenger seats). HQ USAF/
 XOOBC will request that FAA issue an
 airport operating certificate under FAR,
 Part 139, as necessary. Exceptions to
 the requirement for certification are
 Air Force airfields used for:
  a. Emergencies.
  b. Weather alternates.
  c. Air taxi operations under FAR, Part
   135. Note: This is currently under
   review. Anticipate a change that will
   eliminate the air taxi exemption.
  d. Air carrier operations in support of
   contract flights exclusively for the
   US military departments.
Commercial air crew training flights (S).  Memorandum of Understanding                  2  Yes.
 Aircraft operated by commercial air        approved by HQ USAF/XOOBC that
 carrier crews for the purpose of           establishes conditions and
 maintaining required proficiency.          responsibilities in conducting
                                            the training flights.
Private, non revenue producing flights     The verification will vary with              4  Note 2.
 (T). Aircraft operating for a variety of   the purpose for use. For
 reasons, such as transporting              example, when use is requested
 individuals to meet with Government        in conjunction with events such
 representatives or participate in          as meetings or ceremonies, the
 Government sponsored ceremonies and        applicant must provide the name
 similar events. At specified locations,    and telephone number of the
 the purpose of use may be to gain access   Government project officer.
 to collocated private sector facilities
 as authorized by lease, agreement, or
 contract.
Provisional airfield (U). An Air Force     Memorandum of Understanding,                 2  Yes.
 airfield used by civil aircraft when the   Letter of Agreement, or lease
 local civil airport is temporarily         that establishes
 unavailable, or by a commercial air        responsibilities and conditions
 carrier operating at a specific remote     for use.
 location to provide commercial air
 transportation for local military
 members under the provisions of a lease
 or other legal instrument.
Foreign government charter (V). Aircraft   Application must include name and            2  Note 3.
 chartered by a foreign government to       telephone number of the foreign
 transport passengers or cargo.             government representative
                                            responsible for handling the
                                            charter arrangements.
Flights transporting foreign military      FMS case number, requisition                 2  Note 3.
 sales (FMS) material (W). (Hazardous,      numbers, delivery term code and
 oversized, or classified cargo only.)      information as specified below:
                                           a. Description of cargo
                                            (nomenclature and or proper
                                            shipping name). The description
                                            of hazardous cargo must include
                                            the Department of Transportation
                                            exemption number, hazard class,
                                            number of pieces, and net
                                            explosive weight.
                                           b. Name, address, and telephone
                                            number of individual at Air
                                            Force base that is coordinating
                                            cargo handling and or other
                                            required terminal services.

[[Page 134]]

 
                                           c. Cargo to be loaded or off
                                            loaded must be equipped with
                                            sufficient cargo pallets and or
                                            tiedown materials to facilitate
                                            handling. Compatible 463L
                                            pallets and nets will be
                                            exchanged on a one-for-one basis
                                            for serviceable units.
                                            Nonstandard pallets and nets
                                            cannot be exchanged; however,
                                            they will be used to buildup
                                            cargo loads after arrival of the
                                            aircraft. Aircraft arriving
                                            without sufficient cargo loading
                                            and tiedown devices must be
                                            floor loaded and the aircraft
                                            crew will be responsible for
                                            purchasing the necessary ropes,
                                            chains, and so forth.
                                           d. US Government FMS case
                                            management agency to which costs
                                            for services rendered are
                                            chargeable.
                                           e. Name, address, and telephone
                                            number of freight forwarder.
                                           f. Name, address, and telephone
                                            number of shipper.
Certified flight record attempts (X).      Documentation that will validate             2  Yes.
 Aircraft operating to establish a new      National Aeronautic Association
 aviation record.                           or Federation Aeronautique
                                            Internationale sanction of the
                                            record attempt.
Political candidates (Y). (For security    The Secret Service must confirm              2  Yes.
 reasons only) Aircraft either owned or     that use has been requested in
 chartered explicitly for a Presidential    support of its security
 or Vice Presidential candidate,            responsibilities.
 including not more than one accompanying
 overflow aircraft for the candidate's
 staff and press corps. Candidate must be
 a Presidential or Vice Presidential
 candidate who is being furnished
 protection by the US Secret Service.
 Aircraft clearance is predicated on the
 Presidential or Vice Presidential
 candidate being aboard one of the
 aircraft (either on arrival or
 departure). Normal landing fees will be
 charged. To avoid conflict with US
 statutes and Air Force operational
 requirements, and to accommodate
 expeditious handling of aircraft and
 passengers, the installation commander
 will:
  a. Provide minimum official welcoming
   party.
  b. Not provide special facilities.
  c. Not permit political rallies or
   speeches on the installation.
  d. Not provide official transportation
   to unauthorized personnel, such as the
   press or local populace.
Aircraft either owned or personally        Use by other than the President              2  No.
 chartered for transportation of the        or Vice President must be for
 President, Vice President, a past          official government business.
 President of the United States, the head   All requests will be coordinated
 of any US Federal department or agency,    with the Office of Legislative
 or a member of the Congress (Z).           Liaison (SAF/LL) as prescribed
                                            in AFI 90-401, Air Force
                                            Relations with Congress.
----------------------------------------------------------------------------------------------------------------
* Approving Authority:
1=Can be approved at all levels.
2=HQ USAF/XOOBC.
3=HQ AMC/DOKA.
4=Except as specifically delegated in paragraphs 2.4.2 and 2.4.2.3, must be approved by HQ USAF/XOOBC.
5=Except as specifically delegated in paragraph 2.4.2.1, must be approved by HQ USAF/XOOBC.
6=Policy concerning private aircraft use of aero club facilities varies from base to base, primarily due to
  space limitations and military mission requirements. Therefore, applications for use of aero club facilities
  must be processed at base level.
Note 1: Landing fees are charged for White House Press Corps flights. Landing fees are not charged if the Air
  Force has invited media coverage of specific events.
Note 2: Landing fees are charged if flight is not operating in support of official Government business.
Note 3: Landing fees are charged unless US Government charters have reciprocal privileges in the foreign
  country.

            Table 2--Aircraft Liability Coverage Requirements

----------------------------------------------------------------------------------------------------------------
   Aircraft maximum gross takeoff                                  Bodily      Property
           weight  (MGTOW)                  Coverage for           injury       damage           Passenger
----------------------------------------------------------------------------------------------------------------
12,500 Pounds and Under.............  Each Person.............     $100,000  ...........  $100,000.

[[Page 135]]

 
                                      Each Accident...........      300,000      100,000  100,000 multiplied by
                                                                                           the number of
                                                                                           passenger seats.
More than 12,500 Pounds.............  Each Person.............      100,000  ...........  100,000.
                                      Each Accident...........    1,000,000    1,000,000  100,000 multiplied by
                                                                                           75% multiplied by the
                                                                                           number of passenger
                                                                                           seats.
----------------------------------------------------------------------------------------------------------------

                          Table 3--Landing Fees

----------------------------------------------------------------------------------------------------------------
                                                                                             United
                                                                                             States,
    Aircraft Maximum Gross        Normal fee    Unauthorized  Intentional fee   Minimum   Territories,  Overseas
    Takeoff Weight (MGTOW)                           fee                          fee          and
                                                                                           Possessions
----------------------------------------------------------------------------------------------------------------
                               $1.50 per 1,000  ............  ...............     $20.00  X
                                lbs MGTOW or
                                fraction
                                thereof.
                               $1.70 per 1,000  ............  ...............      25.00  ............  X
                                lbs MGTOW or
                                fraction
                                thereof.
Up to and including 12,500     ...............      $100.00   ...............  .........  X             X
 lbs.
12,501 to 40,000 lbs.........  ...............       300.00   ...............  .........  X             X
Over 40,000 lbs..............  ...............       600.00   ...............  .........  X             X
                               ...............  ............  Increase         .........  X             X
                                                               unauthorized
                                                               fee by 100% or
                                                               200%.
----------------------------------------------------------------------------------------------------------------

                    Table 4--Parking and Storage Fees

----------------------------------------------------------------------------------------------------------------
Fee per aircraft for each 24-hour   Minimum
          period or less              fee                 Charge begins                   Ramp         Hangar
----------------------------------------------------------------------------------------------------------------
$1.00 per 100,000 lbs MGTOW or        $20.00  6 hours after landing................  X              ............
 fraction thereof.
$2.00 per 100,000 lbs MGTOW or         20.00  Immediately..........................  .............  X
 fraction thereof.
----------------------------------------------------------------------------------------------------------------

    Attachment 1 to Part 855--Glossary of References, Abbreviations, 
                           Acronyms, and Terms

                          Section A--References

AFPD 10-10, Civil Aircraft Use of United States Air Force Airfields
AFI 10-1001, Civil Aircraft Landing Permits
AFI 13-201, Air Force Airspace Management
AFI 32-7061(32 CFR part 989), Environmental Impact Analysis Process
AFI 32-9003, Granting Temporary Use of Air Force Real Property
AFI 34-117, Air Force Aero Club Program
AFI 35-201, Community Relations
AFI 51-701, Negotiating, Concluding, Reporting, and Maintaining 
          International Agreements
AFI 84-103, Museum System
AFI 90-401, Air Force Relations with Congress
AFI 99-101, Development Test and Evaluation
AFJI 24-211, Defense Traffic Management Regulation
AFM
67-1, vol 1, part 1, Basic Air Force Supply Procedures
AFM 67-1, vol 1, part 3, Air Force Stock Fund and DPSC Assigned Item 
          Procedures
AFMAN 3-132, Air Force Aero Club Operations
AFR 170-3, Financial Management and Accounting for Security Assistance 
          and International Programs
AFR 177-102, Commercial Transactions at Base Level
FAR, Part 121, Certification and Operation: Domestic, Flag, and 
          Supplemental Air Carriers and Commercial Operations of Large 
          Aircraft
FAR, Part 135, Air Taxi Operators and Commercial Operators of Small 
          Aircraft
FAR, Part 139, Certification and Operations: Land Airports Serving 
          Certain Air Carriers

                  Section B--Abbreviations and Acronyms

------------------------------------------------------------------------
      Abbreviations and acronyms                  Definitions
------------------------------------------------------------------------
AFI                                    Air Force Instruction.

[[Page 136]]

 
AFJI                                   Air Force Joint Instruction.
AFM                                    Air Force Manual.
AFMAN                                  Air Force Manual.
AFPD                                   Air Force Policy Directive.
AFR                                    Air Force Regulation.
AFREP                                  Air Force Representative.
AMC                                    Air Mobility Command.
AOG                                    Air Operations Group.
CAM                                    Commercial Air Movement.
CAP                                    Civil Air Patrol.
CRAF                                   Civil Reserve Air Fleet.
DPSC                                   Defense Personnel Support Center.
DRU                                    Direct Reporting Unit.
FAA                                    Federal Aviation Administration.
FAR                                    Federal Aviation Regulation.
FMS                                    Foreign Military Sales.
FOA                                    Field Operating Agency.
FSDO                                   Flight Standards District Office.
HQ AMC/DOKA                            Headquarters Air Mobility
                                        Command, Contract Airlift,
                                        Directorate of Operations and
                                        Transportation.
HQ USAF/CEVP                           Headquarters United States Air
                                        Force, Environmental Planning
                                        Division, Directorate of
                                        Environment.
HQ USAF/XOOBC                          Headquarters United States Air
                                        Force, Civil Aviation, Bases and
                                        Units Division, Directorate of
                                        Operations.
HQ USAF/XOOO                           Headquarters United States Air
                                        Force, Operations Group,
                                        Directorate of Operations.
MAJCOM                                 Major Command.
MATA                                   Military Air Transportation
                                        Agreement.
MGTOW                                  Maximum Gross Takeoff Weight.
MTMC                                   Military Traffic Management
                                        Command.
SAF/LL                                 Secretary of the Air Force,
                                        Office of Legislative Liaison.
SAF/MII                                Secretary of the Air Force,
                                        Deputy Assistant Secretary of
                                        the Air Force (Installations).
SAF/PAC                                Secretary of the Air Force,
                                        Office of Public Affairs,
                                        Directorate for Community
                                        Relations.
US                                     United States.
USDAO                                  United States Defense Attache
                                        Office.
------------------------------------------------------------------------

                            Section C--Terms

    Aircraft. Any contrivance now known or hereafter invented, used, or 
designated for navigation of or flight in navigable airspace as defined 
in the Federal Aviation Act.
    Airfield. An area prepared for the accommodation (including any 
buildings, installations, and equipment), landing, and take-off of 
aircraft.
    Authorized Credit Letter. A letter of agreement that qualified 
operators must file with the Air Force to purchase Air Force aviation 
fuel and oil on a credit basis under the provisions of AFM 67-1, vol 1, 
part three, chapter 1, Air Force Stock Fund and DPSC Assigned Item 
Procedures.
    Civil Aircraft. Any United States or foreign-registered aircraft 
owned by non-Governmental entities, and foreign Government-owned 
aircraft that are operated for commercial purposes.
    Civil Aviation. All civil aircraft of any national registry, 
including:
    Commercial Aviation. Civil aircraft that transport passengers or 
cargo for hire.
    General Aviation. Civil aircraft that do not transport passengers or 
cargo for hire.
    Civil Reserve Air Fleet (CRAF). US registered aircraft, certificated 
under FAR Part 121, obligated by contract to provide aircraft and crews 
to the Department of Defense during contingencies or war.
    DD Form 2400, Civil Aircraft Certificate of Insurance. A certificate 
that shows the amount of third-party liability insurance carried by the 
user and assures the United States Government of advance notice if 
changes in coverage occur.
    DD Form 2401, Civil Aircraft Landing Permit. A license which, when 
validated by an Air Force approving authority, authorizes the civil 
aircraft owner or operator to use Air Force airfields.
    DD Form 2402, Civil Aircraft Hold Harmless Agreement. An agreement, 
completed by the user, which releases the United States Government from 
all liabilities incurred in connection with civil aircraft use of Air 
Force airfields.
    Government Aircraft. Aircraft owned, operated, or controlled for 
exclusive, long-term use by any department or agency of either the 
United States or a foreign Government; and aircraft owned by any United 
States State, County, Municipality or other political subdivision; or 
any aircraft for which a Government has the liability responsibility. In 
the context of this instruction, it includes foreign registered 
aircraft, which are normally commercially operated, that have been 
wholly chartered for use by foreign Government heads of State for 
official State visits.
    Government Furnished or Bailed Aircraft. US Government-owned 
aircraft provided to a Government contractor for use in conjunction with 
a specific contractual requirement.
    Installation Commander. The individual with ultimate responsibility 
for operating the airfield and for base operations (normally a wing or 
group commander), as determined by the MAJCOM.
    Joint-Use Agreement. An agreement between the Air Force and a local 
Government agency that establishes a public airport on an Air Force 
airfield.
    Loaned Aircraft. US Government-owned aircraft made available for use 
by another US Government agency. This does not include aircraft leased 
or loaned to non-Governmental entities. Such aircraft will be considered 
as civil aircraft for purposes of this instruction.
    Military Aircraft. Aircraft used exclusively in the military 
services of the US or a foreign Government and bearing appropriate 
military and national markings or carrying appropriate identification.

[[Page 137]]

    Official Government Business. Activities that support or serve the 
needs of US Federal agencies located at or in the immediate vicinity of 
an Air Force installation, including nonappropriated fund entities. For 
elected or appointed Federal, State, and local officeholders, official 
business is activity performed in fulfilling duties as a public 
official.
    Other Agreement. An agreement between the Air Force and a local 
Government agency for temporary use of an Air Force runway when a local 
civil airport is unavailable, or to accommodate a special event or 
project.
    Scheduled Air Carrier. An air carrier that holds a scheduled air 
carrier certificate and provides scheduled service year round between 
two or more points.
    Unauthorized Landing. A landing at an Air Force airfield by a civil 
aircraft without prior authority (approved DD Form 2401 and 24 hours 
prior notice).
    User. The person, corporation, or other responsible entity operating 
civil aircraft at Air Force airfields.

            Attachment 2 to Part 855--Weather Alternate List

ALTUS AFB OK
ANDERSEN AFB GUAM
CANNON AFB NM
DOBBINS AFB GA
DYESS AFB TX
EARECKSON AFS AK *
---------------------------------------------------------------------------

    * Formerly Shemya AFB.
---------------------------------------------------------------------------

EGLIN AFB FL
EIELSON AFB AK
ELLSWORTH AFB SD
ELMENDORF AFB AK
FAIRCHILD AFB WA
GRAND FORKS AFB ND
HILL AFB UT
HOWARD AFB PA
KADENA AB OKINAWA
KELLY AFB TX
KUNSAN AB KOREA
LANGLEY AFB VA
LAUGHLIN AFB TX
MALMSTROM AFB MT
McCHORD AFB WA
McCONNELL AFB KS
MINOT AFB ND
MT HOME AFB ID
NELLIS AFB NV
OFFUTT AFB NE
OSAN AB KOREA
PLANT 42, PALMDALE CA
TRAVIS AFB CA
TYNDALL AFB FL
YOKOTA AB JAPAN

    Attachment 3 to Part 855--Landing Permit Application Instructions

    A3.1. DD Form 2400, Civil Aircraft Certificate of Insurance: The 
insurance company or its authorized agent must complete and sign the DD 
Form 2400. Corrections to the form made using a different typewriter, 
pen, or whiteout must be initialed by the signatory. THE FORM CANNOT BE 
COMPLETED BY THE AIRCRAFT OWNER OR OPERATOR. Upon expiration, the DD 
Form 2400 must be resubmitted along with DD Form 2401 for continued use 
of Air Force airfields. The DD Form 2400 may be submitted to the 
decision authority by either the user or insurer. (Approved by the 
Office of Management and Budget under control number 0701-0050).
    A3.1.1. Block 1, Date Issued. The date the DD Form 2400 is completed 
by the signatory.
    A3.1.2. Block 2a and 2b, Insurer Name, Address. The name and address 
of the insurance company.
    A3.1.3. Block 3a and 3b. Insured Name, Address. The name and address 
of the aircraft owner and or operator. (The name of the user must be the 
same on all the forms.)
    A3.1.4. Block 4a, Policy Number(s). The policy number must be 
provided. Binder numbers or other assigned numbers will not be accepted 
in lieu of the policy number.
    A3.1.5. Block 4b, Effective Date. The first day of current insurance 
coverage.
    A3.1.6. Block 4c, Expiration Date. The last day of current insurance 
coverage. The DD Form 2400 is valid until one day before the insurance 
expiration date. A DD Form 2400 with the statement ``until canceled,'' 
in lieu of a specific expiration date, is valid for two years from the 
issue date.
    A3.1.7. Block 5, Aircraft Liability Coverage. The amount of split 
limit coverage. All boxes in block 5 must be completed to specify the 
coverage for: each person (top line, left to right) outside the aircraft 
(bodily injury) and each passenger; and the total coverage per accident 
(second line, left to right) for: persons outside the aircraft (bodily 
injury), property damage, and passengers. IF BLOCK 5 IS USED, BLOCK 6 
SHOULD NOT BE USED. All coverages must be stated in US dollars. ALL 
SEATS THAT CAN BE USED FOR PASSENGERS MUST BE INSURED. See Table 2 for 
required minimum coverage.
    A3.1.8. Block 6, Single Limit. The maximum amount of coverage per 
accident. IF BLOCK 6 IS USED, BLOCK 5 SHOULD NOT BE USED. The minimum 
coverage required for a combined single limit is determined by adding 
the minimums specified in the ``each accident'' line of Table 2. All 
coverages must be stated in US dollars. ALL SEATS THAT CAN BE USED FOR 
PASSENGERS MUST BE INSURED.
    A3.1.9. Block 7, Excess Liability. The amount of coverage which 
exceeds primary

[[Page 138]]

coverage. All coverages must be stated in US dollars.
    A3.1.10. Block 8, Provisions of Amendments or Endorsements of Listed 
Policy(ies). Any modification of this block by the insurer or insured 
invalidates the DD Form 2400.
    A3.1.11. Block 9a, Typed Name of Insurer's Authorized 
Representative. Individual must be an employee of the insurance company, 
an agent of the insurance company, or an employee of an insurance 
broker.
    A3.1.12. Block 9b, Signature. The form must be signed in blue ink so 
that hand scribed, original signatures are easy to identify. Signature 
stamps or any type of facsimile signature cannot be accepted.
    A3.1.13. Block 9c, Title. Self-explanatory.
    A3.1.14. Block 9d, Telephone Number. Self-explanatory.
    A3.1.15. THE REVERSE OF THE FORM MAY BE USED IF ADDITIONAL SPACE IS 
REQUIRED.
    A3.2. DD Form 2401, Civil Aircraft Landing Permit. A separate DD 
Form 2401 must be submitted for each purpose of use (Table 1). (Approved 
by the Office of Management and Budget under control number 0701-0050).
    A3.2.1. Block 1a. The name of the owner or operator. (The name of 
the user must be the same on all the forms.)
    A3.2.2. Block 1b. This block should only be completed if the 
applicant is a subsidiary, division, etc, of another company.
    A3.2.3. Block 1c. Business or home address, whichever is applicable, 
of applicant.
    A3.2.4. Block 2. List the airfields where the aircraft will be 
operating. The statement ``Any US Air Force Installation Worldwide'' is 
acceptable for users performing AMC and White House Press Corps 
charters. ``All Air Force airfields in the CONUS'' is acceptable, if 
warranted by official Government business, for all users.
    A3.2.5. Block 3. Self-explanatory. (Users will not necessarily be 
denied landing rights if pilots are not instrument rated and current.)
    A3.2.6. Block 4. Provide a brief explanation of purpose for use. The 
purposes normally associated with use of Air Force airfields are listed 
in Table 1. If use for other purposes is requested, it may be approved 
if warranted by unique circumstances. (The verification specified for 
each purpose of use must be included with the application.)
    A3.2.7. Block 5. EXCEPT AS NOTED FOR BLOCK 5C, ALL ITEMS MUST BE 
COMPLETED.
    A3.2.8. Block 5a and Block 5b. Self-explanatory.
    A3.2.9. Block 5c. If the DD Form 2400, Certificate of Insurance, 
indicates coverage for ``any aircraft of the listed model owned and or 
operated,'' the same statement can be used in block 5c in lieu of 
specific registration numbers.
    A3.2.10. Block 5d. The capacity provided must reflect only the 
number of crew required to operate the aircraft. The remaining seats are 
considered passenger seats.
    A3.2.11. Block 5e. Self-explanatory.
    A3.2.12. Block 5d. A two-way radio is required. Landing rights will 
not necessarily be denied for lack of strobe lights, a transponder, or 
IFR capabilities.
    A3.2.13. Block 6a. Self-explanatory.
    A3.2.14. Block 6b. If the applicant is an individual, this block 
should not be completed.
    A3.2.15. Block 6c. This block should contain a daytime telephone 
number.
    A3.2.16. Block 6d. The form must be signed in blue ink so that hand 
scribed, original signatures are easy to identify. Signature stamps or 
any type of facsimile signature cannot be accepted.
    A3.2.17. Block 6e. Self-explanatory.
    A3.2.18. THE REVERSE OF THE FORM MAY BE USED IF ADDITIONAL SPACE IS 
REQUIRED.
    BLOCKS 7A THROUGH 14C ARE NOT COMPLETED BY THE APPLICANT.
    A3.2.19. Blocks 7a and 7b. The expiration date of a permit is 
determined by the insurance expiration date or the purpose of use. For 
example, the dates of an air show will determine the expiration date of 
a permit approved for participation in the air show. If the insurance 
expiration is used to determine the permit expiration date, the landing 
permit will expire one day before the insurance expiration date shown on 
the DD Form 2400, or 2 years from the date the permit is issued when the 
insurance expiration date either exceeds 2 years or is indefinite (for 
example, ``until canceled'').
    A3.2.20. APPROVED PERMITS CANNOT BE CHANGED WITHOUT THE CONSENT OF 
THE APPROVING AUTHORITY.
    A3.2.21. DD FORMS 2400 AND 2401 MUST BE RESUBMITTED TO RENEW A 
LANDING PERMIT. (Corporations must resubmit the DD Form 2402 every five 
years.)
    A3.3. DD Form 2402, Civil Aircraft Hold Harmless Agreement. A form 
submitted and accepted by an approving authority for an individual 
remains valid and need not be resubmitted to the same approving 
authority, unless canceled for cause. Forms submitted by companies, 
organizations, associations, etc, must be resubmitted at least every 
five years. (Approved by the Office of Management and Budget under 
control number 0701-0050).
    A3.3.1. Block 2a(1). This block should contain the user's name if 
the applicant is a company. If the hold harmless agreement is intended 
to cover other entities of a parent company, their names must also be 
included in this block.
    A3.3.2. Block 2a(2). This block should contain the user's address if 
the applicant is a company.

[[Page 139]]

    A3.3.3. Block 2b(1). This block should contain the name of the 
individual applying for a landing permit or the name of a corporate 
officer that is authorized to legally bind the corporation from 
litigation against the Air Force.
    A3.3.4. Block 2b(2). This block should contain the address of the 
individual applying for a landing permit. A company address is only 
required if it is different from the address in block 2a(2).
    A3.3.5. Block 2b(3). The form must be signed in blue ink so that 
hand scribed, original signatures are easy to identify. Signature stamps 
or any type of facsimile signature cannot be accepted.
    A3.3.6. Block 2b(4). This block should only be completed when the 
applicant is a company, organization, association, etc.
    A3.3.7. Block 3a(1). If the applicant is a company, organization, 
association, etc, the form must be completed and signed by the corporate 
secretary or a second corporate officer (other than the officer 
executing DD Form 2402) to certify the signature of the first officer. 
As necessary, the US Air Force also may require that the form be 
authenticated by an appropriately designated third official.
    A3.3.8. Block 3a(2). The form must be signed in blue ink so that 
hand scribed, original signatures are easy to identify. Signature stamps 
or any type of facsimile signature cannot be accepted.
    A3.3.9. Block 3a(3). Self-explanatory.
    A3.3.10. Block 4. Self-explanatory.

          Attachment 4 to Part 855--Sample Joint-Use Agreement

Joint-Use Agreement Between an Airport Sponsor and the United States Air 
                                  Force

    This Joint Use Agreement is made and entered into this -------- day 
of -------- 19----, by and between the Secretary of the Air Force, for 
and on behalf of the United States of America (``Air Force'') and an 
airport sponsor (``Sponsor'') a public body eligible to sponsor a public 
airport.
    WHEREAS, the Air Force owns and operates the runways and associated 
flight facilities (collectively ``flying facilities'') located at 
Warbucks Air Force Base, USA (``WAFB''); and
    WHEREAS, Sponsor desires to use the flying facilities at WAFB to 
permit operations by general aviation aircraft and commercial air 
carriers (scheduled and nonscheduled) jointly with military aircraft; 
and
    WHEREAS, the Air Force considers that this Agreement will be in the 
public interest, and is agreeable to joint use of the flying facilities 
at WAFB; and
    WHEREAS, this Agreement neither addresses nor commits any Air Force 
real property or other facilities that may be required for exclusive use 
by Sponsor to support either present or future civil aviation operations 
and activities in connection with joint use; and
    WHEREAS, the real property and other facilities needed to support 
civil aviation operations are either already available to or will be 
diligently pursued by Sponsor;
    NOW, THEREFORE, it is agreed:

                              1. Joint Use

    a. The Air Force hereby authorizes Sponsor to permit aircraft 
equipped with two-way radios capable of communicating with the WAFB 
Control Tower to use the flying facilities at WAFB, subject to the terms 
and conditions set forth in this Agreement and those Federal Aviation 
Regulations (FAR) applicable to civil aircraft operations. Civil 
aircraft operations are limited to 20,000 per calendar year. An 
operation is a landing or a takeoff. Civil aircraft using the flying 
facilities of WAFB on official Government business as provided in Air 
Force Instruction (AFI) 10-1001, Civil Aircraft Landing Permits, are not 
subject to this Agreement.
    b. Aircraft using the flying facilities of WAFB under the authority 
granted to Sponsor by this Agreement shall be entitled to use those for 
landings, takeoffs, and movement of aircraft and will normally park only 
in the area made available to Sponsor and designated by them for that 
purpose.
    c. Government aircraft taking off and landing at WAFB will have 
priority over all civil aircraft at all times.
    d. All ground and air movements of civil aircraft using the flying 
facilities of WAFB under this Agreement, and movements of all other 
vehicles across Air Force taxiways, will be controlled by the WAFB 
Control Tower. Civil aircraft activity will coincide with the WAFB 
Control Tower hours of operation. Any additional hours of the WAFB 
Control Tower or other essential airfield management, or operational 
requirements beyond those needed by the Air Force, shall be arranged and 
funded (or reimbursed) by Sponsor. These charges, if any, shall be in 
addition to the annual charge in paragraph 2 and payable not less 
frequently than quarterly.
    e. No civil aircraft may use the flying facilities for training.
    f. Air Force-owned airfield pavements made available for use under 
this Agreement shall be for use on an ``as is, where is'' basis. The Air 
Force will be responsible for snow removal only as required for 
Government mission accomplishment.
    g. Dust or any other erosion or nuisance that is created by, or 
arises out of, activities or operations by civil aircraft authorized use 
of the flying facilities under this Agreement will be corrected by 
Sponsor at no expense to the Air Force, using standard engineering 
methods and procedures.

[[Page 140]]

    h. All phases of planning and construction of new runways and 
primary taxiways on Sponsor property must be coordinated with the WAFB 
Base Civil Engineer. Those intended to be jointly used by Air Force 
aircraft will be designed to support the type of military aircraft 
assigned to or commonly transient through WAFB.
    i. Coordination with the WAFB Base Civil Engineer is required for 
planning and construction of new structures or exterior alteration of 
existing structures that are owned or leased by Sponsor.
    j. Sponsor shall comply with the procedural and substantive 
requirements established by the Air Force, and Federal, State, 
interstate, and local laws, for the flying facilities of WAFB and any 
runway and flight facilities on Sponsor property with respect to the 
control of air and water pollution; noise; hazardous and solid waste 
management and disposal; and hazardous materials management.
    k. Sponsor shall implement civil aircraft noise mitigation plans and 
controls at no expense to and as directed by the Air Force, pursuant to 
the requirements of the WAFB Air Installation Compatible Use Zone 
(AICUZ) study; the FAA Part 150 study; and environmental impact 
statements and environmental assessments, including supplements, 
applicable to aircraft operations at WAFB.
    l. Sponsor shall comply, at no expense to the Air Force, with all 
applicable FAA security measures and procedures as described in the 
Airport Security Program for WAFB.
    m. Sponsor shall not post any notices or erect any billboards or 
signs, nor authorize the posting of any notices or the erection of any 
billboards or signs at the airfield of any nature whatsoever, other than 
identification signs attached to buildings, without prior written 
approval from the WAFB Base Civil Engineer.
    n. Sponsor shall neither transfer nor assign this Agreement without 
the prior written consent of the Air Force.

                               2. Payment

    a. For the purpose of reimbursing the Air Force for Sponsor's share 
of the cost of maintaining and operating the flying facilities of WAFB 
as provided in this Agreement, Sponsor shall pay, with respect to civil 
aircraft authorized to use those facilities under this Agreement, the 
sum of (specify sum) annually. Payment shall be made quarterly, in equal 
installments.
    b. All payments due pursuant to this Agreement shall be payable to 
the order of the Treasurer of the United States of America, and shall be 
made to the Accounting and Finance Officer, WAFB, within thirty (30) 
days after each quarter. Quarters are deemed to end on December 31, 
March 31, June 30, and September 30. Payment shall be made promptly when 
due, without any deduction or setoff. Interest at the rate prescribed by 
the Secretary of the Treasury of the United States shall be due and 
payable on any payment required to be made under this Agreement that is 
not paid within ten (10) days after the date on which such payment is 
due and end on the day payment is received by the Air Force.

                               3. Services

    Sponsor shall be responsible for providing services, maintenance, 
and emergency repairs for civil aircraft authorized to use the flying 
facilities of WAFB under this Agreement at no cost to the Air Force. If 
Air Force assistance is required to repair an aircraft, Sponsor shall 
reimburse the Air Force for all expenses of such services. Any required 
reimbursement shall be paid not less frequently than quarterly. These 
charges are in addition to the annual charge specified in paragraph 2.

                   4. Fire Protection and Crash Rescue

    a. The Air Force maintains the level of fire fighting, crash, and 
rescue capability required to support the military mission at WAFB. The 
Air Force agrees to respond to fire, crash, and rescue emergencies 
involving civil aircraft outside the hangars or other structures within 
the limits of its existing capabilities, equipment, and available 
personnel, only at the request of Sponsor, and subject to subparagraphs 
b, c, and d below. Air Force fire fighting, crash, and rescue equipment 
and personnel shall not be routinely located in the airfield movement 
area during nonemergency landings by civil aircraft.
    b. Sponsor shall be responsible for installing, operating, and 
maintaining, at no cost to the Air Force, the equipment and safety 
devices required for all aspects of handling and support for aircraft on 
the ground as specified in the FARs and National Fire Protection 
Association procedures and standards.
    c. Sponsor agrees to release, acquit, and forever discharge the Air 
Force, its officers, agents, and employees from all liability arising 
out of or connected with the use of or failure to supply in individual 
cases, Air Force fire fighting and or crash and rescue equipment or 
personnel for fire control and crash and rescue activities pursuant to 
this Agreement. Sponsor further agrees to indemnify, defend, and hold 
harmless the Air Force, its officers, agents, and employees against any 
and all claims, of whatever description, arising out of or connected 
with such use of, or failure to supply Air Force fire fighting and or 
crash and rescue equipment or personnel.
    d. Sponsor will reimburse the Air Force for expenses incurred by the 
Air Force for fire

[[Page 141]]

fighting and or crash and rescue materials expended in connection with 
providing such service to civil aircraft. The Air Force may, at its 
option, with concurrence of the National Transportation Safety Board, 
remove crashed civil aircraft from Air Force-owned pavements or property 
and shall follow existing Air Force directives and or instructions in 
recovering the cost of such removal.
    e. Failure to comply with the above conditions upon reasonable 
notice to cure or termination of this Agreement under the provisions of 
paragraph 7 may result in termination of fire protection and crash and 
rescue response by the Air Force.
    f. The Air Force commitment to assist Sponsor with fire protection 
shall continue only so long as a fire fighting and crash and rescue 
organization is authorized for military operations at WAFB. The Air 
Force shall have no obligation to maintain or provide a fire fighting, 
and crash and rescue organization or fire fighting and crash and rescue 
equipment; or to provide any increase in fire fighting and crash and 
rescue equipment or personnel; or to conduct training or inspections for 
purposes of assisting Sponsor with fire protection.

                       5. Liability and Insurance

    a. Sponsor will assume all risk of loss and or damage to property or 
injury to or death of persons by reason of civil aviation use of the 
flying facilities of WAFB under this Agreement, including, but not 
limited to, risks connected with the provision of services or goods by 
the Air Force to Sponsor or to any user under this Agreement. Sponsor 
further agrees to indemnify and hold harmless the Air Force against, and 
to defend at Sponsor expense, all claims for loss, damage, injury, or 
death sustained by any individual or corporation or other entity and 
arising out of the use of the flying facilities of WAFB and or the 
provision of services or goods by the Air Force to Sponsor or to any 
user, whether the claims be based in whole, or in part, on the 
negligence or fault of the Air Force or its contractors or any of their 
officers, agents, and employees, or based on any concept of strict or 
absolute liability, or otherwise.
    b. Sponsor will carry a policy of liability and indemnity insurance 
satisfactory to the Air Force, naming the United States of America as an 
additional insured party, to protect the Government against any of the 
aforesaid losses and or liability, in the sum of not less than (specify 
sum) bodily injury and property damage combined for any one accident. 
Sponsor shall provide the Air Force with a certificate of insurance 
evidencing such coverage. A new certificate must be provided on the 
occasion of policy renewal or change in coverage. All policies shall 
provide that: (1) No cancellation, reduction in amount, or material 
change in coverage thereof shall be effective until at least thirty (30) 
days after receipt of notice of such cancellation, reduction, or change 
by the installation commander at WAFB, (2) any losses shall be payable 
notwithstanding any act or failure to act or negligence of Sponsor or 
the Air Force or any other person, and (3) the insurer shall have no 
right of subrogation against the United States.

                          6. Term of Agreement

    This Agreement shall become effective immediately and shall remain 
in force and effect for a term of 25 years, unless otherwise 
renegotiated or terminated under the provisions of paragraph 7, but in 
no event shall the Agreement survive the termination or expiration of 
Sponsor's right to use, by license, lease, or transfer of ownership, of 
the land areas used in connection with joint use of the flying 
facilities of WAFB.
    7. Renegotiation and Termination
    a. If significant change in circumstances or conditions relevant to 
this Agreement should occur, the Air Force and Sponsor may enter into 
negotiations to revise the provisions of this Agreement, including 
financial and insurance provisions, upon sixty (60) days written notice 
to the other party. Any such revision or modification of this Agreement 
shall require the written mutual agreement and signatures of both 
parties. Unless such agreement is reached, the existing agreement shall 
continue in full force and effect, subject to termination or suspension 
under this section.
    b. Notwithstanding any other provision of this Agreement, the Air 
Force may terminate this Agreement: (1) At any time by the Secretary of 
the Air Force, giving ninety (90) days written notice to Sponsor, 
provided that the Secretary of the Air Force determines, in writing, 
that paramount military necessity requires that joint use be terminated, 
or (2) at any time during any national emergency, present or future, 
declared by the President or the Congress of the United States, or (3) 
in the event that Sponsor ceases operation of the civil activities at 
WAFB for a period of one (1) year, or (4) in the event Sponsor violates 
any of the terms and conditions of this Agreement and continues and 
persists therein for thirty (30) days after written notification to cure 
such violation. In addition to the above rights, the Air Force may at 
any time suspend this agreement if violations of its terms and 
conditions by Sponsor create a significant danger to safety, public 
health, or the environment at WAFB.
    c. The failure of either the Air Force or Sponsor to insist, in any 
one or more instances, upon the strict performance of any of the terms, 
conditions, or provisions of this

[[Page 142]]

Agreement shall not be construed as a waiver or relinquishment of the 
right to the future performance of any such terms, conditions, or 
provisions. No provision of this Agreement shall be deemed to have been 
waived by either party unless such waiver be in writing signed by such 
party.

                               8. Notices

    a. No notice, order, direction, determination, requirement, consent, 
or approval under this Agreement shall be of any effect unless it is in 
writing and addressed as provided herein.
    b. Written communication to Sponsor shall be delivered or mailed to 
Sponsor addressed: The Sponsor, 9000 Airport Blvd, USA.
    c. Written communication to the Air Force shall be delivered or 
mailed to the Air Force addressed: Commander, WAFB, USA.

                    9. Other Agreements not Affected

    This Agreement does not affect the WAFB-Sponsor Fire Mutual Aid 
Agreement.
    IN WITNESS WHEREOF, the respective duly authorized representatives 
of the parties hereto have executed this Agreement on the date set forth 
below opposite their respective signatures.

UNITED STATES AIR FORCE
Date:___________________________________________________________________

By:_____________________________________________________________________
Deputy Assistant Secretary of the Air Force (Installations)

Date:___________________________________________________________________

By:_____________________________________________________________________
Sponsor Representative

          Attachment 5 to Part 855--Sample Temporary Agreement

Letter of Agreement for Temporary Civil Aircraft Operations at Warbucks 
                                AFB, USA

    This letter of agreement establishes policies, responsibilities, and 
procedures for commercial air carrier operations at Warbucks AFB, USA, 
(WAFB) for the period (date)    through    (date) Military requirements 
will take precedence over civil aircraft operations. Should a conflict 
arise between air carrier and Air Force operational procedures, Air 
Force procedures will apply.

                            Authorized Users

    The following air carriers are authorized use, provided they have a 
civil aircraft landing permit approved at HQ USAF/XOOBC for such use:

Flyaway Airlines
Recreation Airlines
Economy Airlines
PacAir Transport

                                Schedules

    The Bunker International Airport (BIA) manager or air carrier 
station managers will ensure that the WAFB Airfield Manager is provided 
current airline schedules during the approved period of use. Every 
effort will be made to avoid disruption of the air carriers' schedules; 
however, it is understood that the installation commander will suspend 
or change flight plans when required to preclude interference with 
military activities or operations.

                     Passenger and Luggage Handling

    The BIA terminal will be used for passenger loading and unloading. 
Security checks will be performed at the terminal before loading 
passengers on buses. Luggage on arriving aircraft will be directly 
offloaded onto vehicles and delivered to the BIA terminal. Each arriving 
and departing bus or vehicle caravan will be accompanied by a 
credentialed representative of the airline or BIA to ensure its 
integrity enroute. Buses or vehicles transporting passengers to board an 
aircraft will not depart WAFB until the passengers are airborne. Unless 
an emergency exists, arriving passengers will not deplane until the 
buses are available for transportation to the BIA terminal. All checked 
luggage will be picked up at BIA and delivered directly to the departing 
aircraft. Buses will proceed directly to the aircraft at WAFB alert 
ramp. Luggage on arriving aircraft will be directly offloaded onto a 
vehicle parked on the WAFB alert ramp. WAFB will be notified, in 
advance, if a local funeral home requires access for pickup or delivery 
of deceased persons.

             Aircraft Handling and Ground Support Equipment

    Air Force-owned fuel will not be provided. The air carriers will 
provide their own ground support equipment. Refueling equipment from BIA 
will be prepositioned at WAFB on the alert ramp. The Air Force shall not 
be responsible for any damage or loss to such equipment, and BIA 
expressly assumes all risks of any such loss or damage and agrees to 
indemnify and hold the United States harmless against any such damage or 
loss. No routine aircraft maintenance will be accomplished at WAFB. 
Emergency repairs and or maintenance are only authorized to avoid 
extended parking and storage of civil aircraft at WAFB.

                          Customs and Security

    The installation commander will exercise administrative and security 
control over both the aircraft and passengers on WAFB. Customs officials 
will be transported to and from the base by air carrier representatives. 
The installation commander will cooperate

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with customer, health, and other public officials to expedite arrival 
and departure of the aircraft. Air carrier representatives will notify 
the WAFB Airfield Manager, in advance, of armed security or law 
enforcement officers arriving or departing on a flight. BIA officials 
and air carrier representatives must provide the WAFB Airfield Manager a 
list of employees, contractors, and vehicles requiring flightline 
access. Temporary passes will be issued to authorized individuals and 
vehicles.

                    Fire, Crash, and Rescue Services

    BIA will provide technical information and training for WAFB Fire 
Department personnel prior to    (date)    . Fire, Crash, and Rescue 
Services will be provided in an emergency, but fire trucks will not 
routinely park on the flightline for aircraft arrivals and departures. 
BIA will reimburse WAFB for all such services.

                      Liability and Indemnification

    The Air Force shall not be responsible for damages to property or 
injuries to persons which may arise from or be incident to the use of 
WAFB by BIA under this Agreement, or for damages to the property of BIA 
or injuries to the person of BIA's officers, agents, servants, 
employees, or invitees. BIA agrees to assume all risks of loss or damage 
to property and injury or death to persons by reason of or incident to 
the use of WAFB under this Agreement and expressly waives any and all 
claims against the United States for any such loss, damage, personal 
injury, or death caused by or occurring as a consequence of such use. 
BIA further agrees to indemnify, save, and hold the United States, its 
officers, agents, and employees harmless from and against all claims, 
demands, or actions, liabilities, judgments, costs, and attorneys fees, 
arising out of, claimed on account of, or in any manner predicated upon 
personal injury, death or property damage resulting from, related to, 
caused by, or arising out of the use of WAFB under this Agreement.

                                  Fees

    Landing and parking fees will be charged in accordance with to AFI 
10-1001, Civil Aircraft Landing Permits. Charges will be made in 
accordance with the appropriate Air Force Instructions for any services 
or supplies required from WAFB. The WAFB Airfield Manager will be 
responsible for consolidating all charges which will be billed to BIA 
not later than    (date)    by the Accounting and Finance Office.
    IN WITNESS WHEREOF, the respective duly authorized representatives 
of the parties hereto have executed this Agreement on the date set forth 
below opposite their respective signatures.
________________________________________________________________________
BIA Representative (Name and Title)

DATE____________________________________________________________________

________________________________________________________________________
WAFB Representative (Name and Title)

DATE____________________________________________________________________



PART 861--DEPARTMENT OF DEFENSE COMMERCIAL AIR CARRIER QUALITY AND SAFETY REVIEW PROGRAM--Table of Contents




Sec.
861.1  References.
861.2  Purpose.
861.3  DOD commercial air carrier quality and safety requirements.
861.4  DOD Commercial Airlift Review Board procedures.

    Authority: 10 U.S.C. 8013; 10 U.S.C. 2640.

    Source: 57 FR 44683, Sept. 29, 1992, unless otherwise noted.



Sec. 861.1  References.

    (a) Section 1204, Public Law 99-661; 10 U.S.C. 2640, Charter Air 
Transportation of Members of the Armed Forces.
    (b) DOD Directive 4500.53, Commercial Passenger Airlift Management 
and Quality Control.
    (c) AMCR 76-8, Contract Airlift Management, Civil Air Carriers.
    (d) MTMCR 15-1, Procedure for Disqualifying and Placing Carriers in 
Nonuse.



Sec. 861.2  Purpose.

    Department of Defense Directive 4500.53, Commercial Passenger 
Airlift Management and Quality Control, charges the Commander, Air 
Mobility Command (AMC), with establishing safety standards and criteria 
for commercial passenger airlift service used by the Department of 
Defense. It also charges the Commander, AMC, jointly with the Commander, 
Military Traffic Management Command (MTMC), with establishing the 
Commercial Airlift Review Board and providing policy guidance and 
direction for its operation. This part establishes Department of Defense 
(DOD) quality and safety criteria for commercial air carriers providing 
or seeking to provide airlift services to the DOD. Included are the 
operating procedures of the Commercial Airlift Review Board (CARB). The 
CARB has the authority to suspend air carriers from DOD use

[[Page 144]]

or take other action when issues of air safety arise.



Sec. 861.3  DOD commercial air carrier quality and safety requirements.

    (a) DOD, as a customer of airlift services, expects an air carrier 
or operator soliciting for or doing business with the DOD to engage in 
quality programs and business practices that not only ensure good 
service but enhance the safety, operational, and maintenance standards 
established by the applicable Civil Aviation Agency Regulations (CARs). 
Accordingly, and as required by U.S. Public Law 99-661, the DOD has 
established a set of air carrier quality and safety requirements that 
reflect the type programs and practices the DOD seeks from air carriers 
or operators airlifting DOD resources.
    (b) A DOD survey team will use the following requirements, the 
specifics of the applicable DOD contract or agreement, the CARs, and the 
experienced judgment of DOD personnel to evaluate an air carrier's 
capability to perform for the DOD. The survey will also include, with 
the carrier's coordination, observation of cockpit crew performance, as 
well as ramp inspections of selected company aircraft. A satisfactory 
on-site survey (audit) conducted by DOD personnel is prerequisite to 
participation in the DOD air transportation program. Surveys are 
conducted prior to an air carrier's acceptance into the program; 
thereafter, surveys will be completed on a biennial basis and when 
otherwise required to validate adherence to DOD quality and safety 
requirements. DOD personnel will also assess these quality and safety 
requirements when conducting periodic commercial air carrier table-top 
performance evaluations.
    (c) The size of an air carrier, along with the type and scope of 
operations, will be considered during the on-site survey. For example, 
while an air taxi/FAA part 135 air carrier may not have a formal flight 
control function, such as a 24-hour dispatch organization, that same air 
taxi is expected to demonstrate some kind of effective flight following 
capability. On the other hand, a major carrier/FAA part 121 air carrier 
is expected to have a formal flight control or dispatch function. Both, 
however, will be evaluated based on the effectiveness and quality of 
whatever flight following function they do maintain.
    (d) The air carrier requirements stated in this part provide the 
criteria against which would-be DOD air carrier contractors may be 
subjectively evaluated by the DOD. These requirements are neither all-
inclusive nor are they inflexible in nature. They are not replacements 
for the certification criteria and other regulations established by 
civil aviation agencies; rather, these requirements are customer-
developed and describe enhanced air carrier activities sought by the 
DOD.
    Note: The term ``Civil Aviation Agency (CAA)'' is used throughout 
this part since these requirements are applicable to U.S. and 
international air carriers doing business with DOD. CAA includes the 
United States Federal Aviation Administration.
    (1) Quality and Safety Requirements--prior experience. Commercial 
air carriers or operators applying to conduct passenger or cargo 
business for the United States Department of Defense are required to 
possess 12 months of continuous service equivalent to the service sought 
by DoD. The service must have been performed for the 12 continuous 
months immediately prior to applying for DoD business. Prior experience 
must be equivalent in difficulty and complexity in regard to distance, 
weather systems, international or national procedures, similar aircraft, 
schedule demands, aircrew experience, and management required.
    (2) Quality and safety requirements--air carrier management. 
Management has clearly defined safety as the number one company 
priority, and safety is never sacrificed to satisfy passenger concern, 
convenience, or cost. Policies, procedures, and goals that enhance the 
CAA's minimum operations and maintenance standards have been established 
and implemented. A cooperative response to CAA inspections, critiques, 
or comments is demonstrated. Proper support infrastructure, including 
facilities, equipment, parts, and qualified personnel, is provided at 
the certificate holder's primary facility and en route stations. 
Personnel with aviation credentials and experience fill key management 
positions. An internal quality audit program or other method capable

[[Page 145]]

of identifying in-house deficiencies and measuring the company's 
compliance with their stated policies and standards has been 
implemented. Audit results are analyzed in order to determine the cause, 
not just the symptom, of any deficiency. The result of sound fiscal 
policy is evident throughout the company.
    (3) Quality and safety requirements--operations--(i) Flight safety. 
Establish policies that promote flight safety. These policies are 
infused among all aircrew and operational personnel who translate the 
policies into practice. New or revised safety-related data are promptly 
disseminated to affected personnel who understand that deviation from 
any established safety policy is unacceptable. An audit system that 
detects unsafe practices is in place and a feedback structure informs 
management of safety policy results including possible safety problems. 
Management ensures that corrective actions resolve every unsafe 
condition.
    (ii) Flight operations. Established flight operations policies and 
procedures are up-to-date, reflect the current scope of operations, and 
are clearly defined to aviation department employees. These adhered-to 
procedures are further supported by a flow of current, management-
generated safety and operational communications. Managers are in touch 
with mission requirements, supervise crew selection, and ensure the risk 
associated with all flight operations is reduced to the lowest 
acceptable level. Flight crews are free from undue management pressure 
and are comfortable with exercising their professional judgment during 
flight activities, even if such actions do not support the flight 
schedule. Effective lines of communication permit feedback from line 
crews to operations managers. Personnel records are maintained and 
reflect such data as experience, qualifications, and medical status.
    (iii) Flight crew hiring. Established procedures ensure that 
applicants are carefully screened, including a review of the 
individual's health and suitability to perform flight crew duties. 
Consideration is given to the applicant's total aviation background, 
appropriate experience, and the individual's potential to perform 
safely. Freedom from alcohol abuse and illegal drugs is required. If 
new-hire cockpit crewmembers do not meet industry standards for 
experience and qualification, then increased training and management 
attention to properly qualify these personnel are required.
    (iv) Aircrew training. Training, including recurrent training, that 
develops and refines skills designed to eliminate mishaps and improve 
safety is essential to a quality operation. Crew coordination training 
that facilitates full cockpit crews training and interacting together 
using standardized procedures and including the principles of Cockpit 
Resource Management (CRM) is required. Programs involving the use of 
simulators or other devices that can provide realistic training 
scenarios are desired. Captain and first officer training objectives 
cultivate similar levels of proficiency. Appropriate emergency 
procedures training (e.g., evacuation procedures) is provided to flight 
deck and flight attendant personnel as a total crew whenever possible; 
such training focuses on cockpit and cabin crews functioning as a 
coordinated team during emergencies. Crew training--be it pilot, 
engineer, or flight attendant--is appropriate to the level of risk and 
circumstances anticipated for the trainee. Training programs have the 
flexibility to incorporate and resolve recurring problem areas 
associated with day-to-day flight operations. Trainers are highly 
skilled in both subject matter and training techniques. Training 
received is documented, and that documentation is maintained in a 
current status.
    (v) Captain upgrade training. A selection and training process that 
considers proven experience, decision making, cockpit resource 
management, and response to unusual situations, including stress and 
pressure, is required. Also important is emphasis on captain 
responsibility and authority.
    (vi) Aircrew scheduling. A closely monitored system that evaluates 
operational risks, experience levels of crewmembers, and ensures the 
proper pairing of aircrews on all flights is required. New captains are 
scheduled with highly experienced first officers, and new or low-time 
first officers are

[[Page 146]]

scheduled with experienced captains. Except for aircraft new to the 
company, captains and first officers assigned to DOD charter passenger 
missions possess at least 250 hours combined experience in the type 
aircraft being operated. The scheduling system involves an established 
flight duty time program for aircrews, including flight attendants, 
carefully managed so as to ensure proper crew rest and considers 
quality-of-life factors. Attention is given to the stress on aircrews 
during strikes, mergers, or periods of labor-management difficulties.
    (vii) In-flight performance. Aircrews, including flight attendants, 
are fit for flight duties and trained to handle normal, abnormal, and 
emergency situations. They demonstrate crew discipline and a knowledge 
of aviation rules; use company-developed standardized procedures; adhere 
to checklists; and emphasize safety, including security considerations, 
throughout all preflight, in-flight, and postflight operations. 
Qualified company personnel evaluate aircrews and analyze results; known 
performance deficiencies are eliminated. Evaluations ensure aircrews 
demonstrate aircraft proficiency in accordance with company established 
standards. Flight crews are able to determine an aircraft's maintenance 
condition prior to flight and use standardized methods to accurately 
report aircraft deficiencies to the maintenance activity.
    (viii) Operational control/support. Effective mission control 
includes communications with aircrews and the capability to respond to 
irregularities or difficulties. Clear written procedures for mission 
preparation and flight following aircraft and aircrews are provided. 
There is access to weather, flight planning, and aircraft maintenance 
data. There are personnel available who are knowledgeable in aircraft 
performance and mission requirements and that can correctly respond to 
emergency situations. There is close interface between operations and 
maintenance, ensuring a mutual awareness of aircraft operational and 
maintenance status. Procedures to notify DOD in case of an accident or 
serious incident have been established. Flight crews involved in such 
accidents or incidents report the situation to company personnel who, in 
turn, have procedures to evaluate the flight crew's capability to 
continue the mission. Aircraft involved in accidents or incidents are 
inspected in accordance with Civil Aviation Regulations and a 
determination made as to whether or not the aircraft is safe from 
continued operations.
    (ix) DOD charter procedures. Detailed procedures addressing military 
charter requirements are expected. The level of risk associated with DOD 
charter missions does not exceed the risk inherent in the carrier's non-
DOD daily flight operations. Complete route planning and airport 
analyses are accomplished, and actual passenger and cargo weights are 
used in computing aircraft weight and balance.
    (4) Quality and safety requirements--maintenance. Maintenance 
supervisors ensure all personnel understand that in spite of scheduling 
pressure, peer pressure, supervisory pressure, or other factors, the 
airplane must be airworthy prior to flight. Passenger and employee 
safety is a paramount management concern. Quality, completeness, and 
integrity of work are trademarks of the maintenance manager and 
maintenance department. Nonconformance to established maintenance 
practices is not tolerated. Management ensures that contracted 
maintenance, including repair and overhaul facilities, is performed by 
maintenance organizations acceptable to the CAA.
    (i) Maintenance personnel. Air carriers are expected to hire and 
train the number of employees required to safely maintain the company 
aircraft and support the scope of the maintenance operation both at home 
station (the company's primary facility) and at en route locations. 
These personnel ensure that all maintenance tasks, including required 
inspections and airworthiness directives, are performed; that 
maintenance actions are properly documented; and that the discrepancies 
identified between inspections are corrected. Mechanics are fit for 
duty, properly certificated, the company verifies certification, and 
these personnel possess the knowledge and the necessary aircraft-
specific experience to accomplish the maintenance tasks.

[[Page 147]]

Noncertified and inexperienced personnel receive proper supervision. 
Freedom from alcohol abuse and illegal drugs is required.
    (ii) Quality assurance (continuing analysis and surveillance 
program). A system that continuously analyzes the performance and 
effectiveness of maintenance activities and maintenance inspection 
programs is required. This system evaluates such functions as 
reliability reports, audits, component tear-down reports, inspection 
procedures and results, tool calibration program, real-time aircraft 
maintenance actions, warranty programs, and other maintenance functions. 
The extent of this program is directly related to the air carrier's size 
and scope of operation. The cause of any recurring discrepancy or 
negative trend is researched and eliminated. Action is taken to prevent 
recurrence to these discrepancies and preventive actions are monitored 
to ensure effectiveness. The results of preventive actions are provided 
to appropriate maintenance technicians.
    (iii) Maintenance inspection activity. A process to ensure required 
aircraft inspections are completed and the results properly documented 
is required. Also required is a system to evaluate contract vendors, 
suppliers, and their products. Inspection personnel are identified, 
trained (initial and recurrent), and provided guidance regarding 
inspector responsibility and authority. The inspection activity is 
normally a separate entity within the maintenance department.
    (iv) Maintenance training. Training is conducted commensurate with 
the size and type of maintenance function being performed. Continuing 
education and progressive experience are provided for all maintenance 
personnel. Orientation, familiarization, on-the-job, and appropriate 
recurrent training for all full- and part-time personnel is expected. 
The use of such training aids as mockups, simulators, and computer-based 
training enhances maintenance training efforts and is desired. Training 
documentation is required; it is current, complete, well-maintained, and 
correctly identifies any special authorizations such as inspection and 
airworthiness release. Trainers are fully qualified in the subject 
matter.
    (v) Maintenance control. A method to control maintenance activities 
and track aircraft status is required. Qualified personnel monitor 
maintenance preplanning, ensure completion of maintenance actions, and 
track deferred discrepancies. Deferred maintenance actions are 
identified to supervisory personnel and corrected in accordance with the 
criteria provided by the manufacturer or regulatory agency. Constant and 
effective communications between maintenance and flight operations 
ensure an exchange of critical information.
    (vi) Aircraft maintenance program. Aircraft are properly certified 
and maintained in a manner that ensures they are airworthy and safe. The 
program includes the use of manufacturer's and CAA information, as well 
as company policies and procedures. Airworthiness directives are 
complied with in the prescribed time frame, and service bulletins are 
evaluated for applicable action. Approved reliability programs are 
proactive, providing management with visibility on the effectiveness of 
the maintenance program; attention is given to initial component and 
older aircraft inspection intervals and to deferred maintenance actions. 
Special tools and equipment are calibrated.
    (vii) Maintenance records. Maintenance actions are well documented 
and provide a complete record of maintenance accomplished and, for 
repetitive actions, maintenance required. Such records as aircraft log 
books and maintenance documentation are legibly prepared, dated, clean, 
readily identifiable, and maintained in an orderly fashion. Inspection 
compliance, airworthiness release, and maintenance release records, 
etc., are complete and signed by approved personnel.
    (viii) Aircraft appearance (in-service aircraft). Aircraft 
exteriors, including all visible surfaces and components, are clean and 
well maintained. Interiors are also clean and orderly. Required safety 
equipment and systems are available and operable.
    (ix) Fueling and servicing. Aircraft fuel is free from 
contamination, and

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company fuel facilities (farms) are inspected and results documented. 
Procedures and instructions pertaining to servicing, handling, and 
storing fuel and oil meet established safety standards. Procedures for 
monitoring and verifying vendor servicing practices are included in this 
program.
    (x) Maintenance manuals. Company policy manuals and manufacturer's 
maintenance manuals are current, available, clear, complete, and adhered 
to by maintenance personnel. These manuals provide maintenance personnel 
with standardized procedures for maintaining company aircraft. 
Management policies, lines of authority, and company maintenance 
procedures are documented in company manuals and kept in a current 
status.
    (xi) Maintenance facilities. Well maintained, clean maintenance 
facilities adequate for the level of aircraft repair authorized in the 
company's CAA certificate are expected. Safety equipment is available in 
hangars, shops, etc., and is serviceable. Shipping, receiving, and 
stores areas are likewise clean and orderly. Parts are correctly 
packaged, tagged, segregated, and shelf life properly monitored.
    (5) Quality and safety requirements--security. Company personnel are 
schooled in security responsibilities and practice applicable procedures 
during ground and in-flight operations. Compliance with provisions of 
the appropriate standard security program, established by the CAA, is 
required for all DOD missions.
    (6) Quality and safety requirements--specific equipment 
requirements. Air carriers satisfy DOD equipment and other requirements 
as specified in Air Mobility Command contracts or Military Traffic 
Management Command Military Air Transportation Agreements.

[57 FR 44683, Sept. 29, 1992, as amended at 61 FR 17841, Apr. 23, 1996]



Sec. 861.4  DOD Commercial Airlift Review Board procedures.

    (a) This part establishes the procedures to be used by the United 
States Air Force Air Mobility Command (AMC) and the United States Army 
Military Traffic Management Command (MTMC) when, in accordance with 
references Sec. 861.1 (a) through (d):
    (1) A commercial air carrier is subject to review or other action by 
the DOD Commercial Airlift Review Board (hereinafter referred to as the 
CARB),
    (2) A warning, suspension, temporary nonuse, or reinstatement action 
is taken against a carrier by the CARB, or
    (3) Review or other CARB action is escalated to a higher authority.
    These procedures apply to all commercial air carriers providing DOD 
passenger or cargo airlift through charter, individual ticket movements, 
contracts, or other transportation agreements. They also apply to 
carriers providing air transportation purchased by DOD individuals for 
which government reimbursement will be made in whole or in part.
    (b) Safety or airworthiness issues, per reference Sec. 861.1(b) must 
be referred to the CARB. AMC and MTMC may each take independent 
corrective action in accordance with their respective procedures on 
standards of service issues when safety and airworthiness issues are not 
involved. The DOD Air Carrier Survey and Analysis Directorate will be 
informed of all actions taken independently by AMC or MTMC.
    (c) Except as otherwise provided herein, the rights and remedies of 
the government and commercial air carriers outlined in these procedures 
are not exclusive and are in addition to any other rights and remedies 
provided for by law, regulation, contract, or agreement.
    (d) Definitions. (1) Letter of warning is a notice to a carrier of a 
failure to satisfy safety or airworthiness requirements which, if not 
remedied, may result in temporary nonuse or suspension. The issuance of 
a letter of warning is not a prerequisite to a suspension or other 
action.
    (2) Temporary nonuse is the immediate exclusion of a carrier from 
any flight activities in the DOD airlift transportation program, pending 
a decision on suspension, taken under the conditions outlined in 
paragraph (h)(1) of this section. By mutual agreement of the CARB and 
the air carrier involved, a suspension hearing or decision may be 
delayed and the air carrier

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continued in a temporary nonuse status for an extended period of time.
    (3) Suspension is the exclusion of an air carrier from participating 
in the DOD airlift transportation program. The period of suspension will 
normally:
    (i) Remain in effect until the carrier furnishes satisfactory 
evidence that the conditions causing the suspension have been remedied 
or
    (ii) Be for a fixed period of time as determined at the discretion 
of the CARB.
    (4) The procedures for commercial airlift safety review include five 
possible levels with increasing authority:
    (i) DOD Air Carrier Survey and Analysis Directorate.
    (ii) DOD Commercial Airlift Review Committee.
    (iii) DOD Commercial Airlift Review Board.
    (iv) Commanders MTMC and AMC.
    (v) DOD Commercial Airlift Review Authority.
    These levels are described in reference Sec. 861.1(b), with the 
exception of the DOD Commercial Airlift Review Committee, which is 
described in reference Sec. 861.1(c). The Committee provides 
multifunctional review of the efforts of the DOD Air Carrier Survey and 
Analysis Directorate, including approval or disapproval of carriers 
initially seeking DOD business, and offers advice to the higher 
authorities when appropriate.
    (e) Causes and conditions for suspension. (1) Carrier shall be 
subject to suspension for good cause, including:
    (i) Failing to comply with generally accepted standards of 
airmanship, training, and maintenance practices and procedures.
    (ii) Failing to satisfy DOD quality and safety requirements as 
described in Sec. 861.3.
    (iii) Failing to comply with all provisions of applicable statutes, 
agreements, and contract terms, as such may affect flight safety, as 
well as with all applicable Federal Aviation Administration regulations, 
airworthiness directives, orders, rules, and standards promulgated under 
the Federal Aviation Act of 1958 as amended.
    (iv) Involvement of one of the carrier's aircraft in a serious or 
fatal accident, incident, or operational occurrence (regardless of 
whether or not such aircraft is being used in the performance of 
government procured transportation).
    (v) Any other condition which affects the safe operation of the 
carrier's flights hereunder.
    (vi) Compliance with published standards does not, standing alone, 
constitute compliance with generally accepted standards or airmanship, 
training, or maintenance practices.
    (f) Reinstatement considerations. In no event shall reinstatement 
occur unless and until the carrier shows to the satisfaction of the CARB 
that deficiencies that led to suspension have been corrected and that 
actions have been implemented to preclude the recurrence of similar 
deficiencies.
    (g) CARB membership. (1) Four voting members will constitute the 
CARB; two senior, knowledgeable individuals appointed by Commander, AMC; 
one similarly knowledgeable individual appointed by USCINCTRANS; and one 
appointed by Commander, MTMC. At least one of the voting HQ AMC members 
and the MTMC member will be of general/flag officer or civilian 
equivalent rank. Other non-voting CARB members will be appointed as 
necessary to facilitate the CARB deliberative process. A non-voting 
recorder will also be appointed.
    (2) The HQ AMC senior member will act as the CARB chairperson. A 
voting member who will not be present at any meeting of the CARB, may be 
represented by a knowledgeable alternate empowered with the voting 
responsibilities of the voting member. Three voting members (or their 
alternate) shall constitute a quorum. Decisions shall be by majority 
vote. In the case of a tie vote, the chairperson will have the deciding 
vote.
    (3) The meeting date, time, and site of the CARB will be determined 
at the time of the decision to convene the CARB. Teleconferencing, if 
utilized, will be specified in the notice to the carrier.
    (4) Minutes of CARB hearings may be recorded or summarized and will 
be maintained with all other records pertaining to the CARB proceeding.
    (5) The CARB recorder shall ensure that the air carrier and 
appropriate

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DOD agencies are notified of the CARB's decision and reasons therefor.
    (h) CARB operating procedures--(1) Temporary nonuse. (i) In case of 
a fatal aircraft accident or for other good cause, the two senior 
members of the CARB (see paragraph (g)(1) of this section) will jointly 
make an immediate determination whether to place the carrier involved in 
a temporary nonuse status pending suspension proceedings. Prior notice 
to the carrier is not required.
    (ii) Such determination shall include consideration of the advice of 
the DOD Commercial Airlift Review Committee, if reasonably available, 
but will not await such advice.
    (iii) The carrier shall be promptly notified of the temporary nonuse 
determination and the basis therefore.
    (iv) Temporary nonuse status terminates automatically if suspension 
proceedings are not commenced, as set out in paragraph (h)(2)(ii) of 
this section, within 30 days of inception, unless otherwise agreed to 
per paragraph (d)(2) of this section.
    (2) Suspension: (i) On a recommendation of the DOD Air Carrier 
Survey and Analysis Directorate, the DOD Commercial Airlift Review 
Committee, or any individual member of the CARB, the CARB shall consider 
whether or not to suspend a carrier.
    (ii) If the CARB determines that suspension may be appropriate, it 
shall notify the carrier that suspension action is under consideration 
and of the basis for such consideration and offer the carrier a hearing 
thereon within 15 days of the date of the notice, or such other period 
as granted by the CARB, at which the carrier may be present and may 
offer evidence. The presiding member of the CARB shall establish 
procedures for such hearing as may be appropriate which shall be as 
informal as practicable, consistent with administrative due process.
    (iii) Types of evidence which may be considered, if appropriate, 
shall include, but not be limited to, the following:
    (A) Information and analysis provided by the DOD Air Carrier Survey 
and Analysis Directorate.
    (B) Carrier's written/oral evidence.
    (C) Corrective actions that may have been taken by the carrier to:
    (1) Correct the specific deficiencies that led the CARB to consider 
suspension, and
    (2) Preclude recurring similar deficiencies.
    (D) Such other matters as the CARB deems relevant.
    (E) The CARB's decisions on the reception or exclusion of evidence 
shall be final.
    (iv) Carriers shall have the burden of proving their suitability to 
safely perform DOD airlift services by clear and convincing evidence.
    (v) After the conclusion of such hearing, or if no hearing is 
requested and attended by the carrier within the time specified by the 
CARB, the CARB shall consider the matter and make a final decision 
whether or not to suspend the carrier or to impose such lesser sanction 
as is appropriate. The carrier shall be notified of the CARB's decision.
    (3) Reinstatement: (i) The CARB may consider reinstating a suspended 
carrier on either CARB motion or carrier motion, unless such carrier has 
become ineligible in the interim.
    (ii) The carrier has the burden of proving by clear and convincing 
evidence that the reinstatement considerations in paragraph (f) of this 
section have been satisfied.
    (iii) Carrier evidence in support of reinstatement will be provided 
in a timely manner to the CARB for its review. The CARB may 
independently corroborate the carrier-provided evidence and may, at its 
option, convene a hearing and request the participation of the carrier.
    (i) Decision by others. In the event the CARB is unable to decide an 
issue properly before it, or if the issue in the judgment of the CARB 
requires review at a DOD organizational level higher than the CARB, the 
issue will be referred to the Commander, AMC, and Commander, MTMC, for 
appropriate disposition. In such event, the decision will be made upon 
the written record only, no hearing will be held.
    (j) Appeal of a determination. (1) A carrier placed in suspension 
may administratively appeal this action to the authorities shown in 
paragraph (j)(3) of this section. An appeal, if any, must be

[[Page 151]]

filed within 15 work days after receipt of the decision of the CARB or 
Commander, AMC, and Commander, MTMC. The suspension will not be stayed 
pending appeal unless for good cause, as determined by the CARB. The 
decision of the appellate authority designated herein is final and is 
not subject to further administrative review or appeal.
    (2) An appeal will be in writing only and carriers shall not be 
entitled to a de novo hearing before the administrative appellate 
authorities.
    (3) The following administrative appellate authorities will review 
and make decisions on appeals:
    (i) When the decision being appealed was made by the CARB, the 
appellate authorities are Commander, AMC, and Commander, MTMC. They will 
jointly decide the appeal.
    (ii) When Commander, AMC, and Commander, MTMC, are unable to jointly 
agree on an appeal, they shall refer the matter to the DOD Commercial 
Airlift Review Authority (CARA) for its decision.
    (iii) When the decision being appealed was made by Commander, AMC, 
and Commander, MTMC, the appellate authority is the DOD CARA.

[57 FR 44683, Sept. 29, 1992, as amended at 61 FR 17841, Apr. 23, 1996]

[[Page 152]]



             SUBCHAPTER G--ORGANIZATION AND MISSION--GENERAL





PART 865--PERSONNEL REVIEW BOARDS--Table of Contents




      Subpart A--Air Force Board for Correction of Military Records

Sec.
865.0  Purpose.
865.1  Setup of the Board.
865.2  Board responsibilities.
865.3  Application procedures.
865.4  Board actions.
865.5  Decision of the Secretary of the Air Force.
865.6  Reconsideration of applications.
865.7  Action after final decision.
865.8  Miscellaneous provisions.

               Subpart B--Air Force Discharge Review Board

865.100  Purpose.
865.101  References.
865.102  Statutory authority.
865.103  Definition of terms.
865.104  Secretarial responsibilities.
865.105  Jurisdiction and authority.
865.106  Application for review.
865.107  DRB composition and meeting location.
865.108  Availability of records and documents.
865.109  Procedures for hearings.
865.110  Decision process.
865.111  Response to items submitted as issues by the applicant.
865.112  Decisional issues.
865.113  Recommendations by the Director of the Personnel Council and 
          Secretarial Review Authority.
865.114  Decisional document.
865.115  Issuance of decisions following discharge review.
865.116  Records of DRB proceeding.
865.117  Final disposition of the record of proceedings.
865.118  Availability of Discharge Review Board documents for public 
          inspection and copying.
865.119  Privacy Act information.
865.120  Discharge review standards.
865.121  Complaints concerning decisional documents and index entries.
865.122  Summary of statistics for Discharge Review Board.
865.123  Approval of exceptions to directive.
865.124  Procedures for regional hearings.
865.125  Report requirement.
865.126  Sample report format.



      Subpart A--Air Force Board for Correction of Military Records

    Source: 61 FR 16047, Apr. 11, 1996, unless otherwise noted.

    Authority: 10 U.S.C. 1034, 1552.



Sec. 865.0  Purpose.

    This subpart sets up procedures for correction of military records 
to remedy error or injustice. It tells how to apply for correction of 
military records and how the Air Force Board for Correction of Military 
Records (AFBCMR, or the Board) considers applications. It defines the 
Board's authority to act on applications. It directs collecting and 
maintaining information subject to the Privacy Act of 1974 authorized by 
10 U.S.C. 1034 and 1552. System of Records notice F035 SAFCB A, Military 
Records Processed by the Air Force Correction Board, applies.



Sec. 865.1  Setup of the Board.

    The AFBCMR operates within the Office of the Secretary of the Air 
Force according to 10 U.S.C. 1552. The Board consists of civilians in 
the executive part of the Department of the Air Force who are appointed 
and serve at the pleasure of the Secretary of the Air Force. Three 
members constitute a quorum of the Board.



Sec. 865.2  Board responsibilities.

    (a) Considering applications. The Board considers all individual 
applications properly brought before it. In appropriate cases, it 
directs correction of military records to remove an error or injustice, 
or recommends such correction.
    (b) Recommending action. When an applicant alleges reprisal under 
the Military Whistleblowers Protection Act, 10 U.S.C. 1034, the Board 
may recommend to the Secretary of the Air Force that disciplinary or 
administrative action be taken against those responsible for the 
reprisal.
    (c) Deciding cases. The Board normally decides cases on the evidence 
of the record. It is not an investigative body. However, the Board may, 
in its

[[Page 153]]

discretion, hold a hearing or call for additional evidence or opinions 
in any case.



Sec. 865.3  Application procedures.

    (a) Who may apply. (1) In most cases, the applicant is a member or 
former member of the Air Force, since the request is personal to the 
applicant and relates to his or her military records.
    (2) An applicant with a proper interest may request correction of 
another person's military records when that person is incapable of 
acting on his or her own behalf, is missing, or is deceased. Depending 
on the circumstances, a child, spouse, parent or other close relative, 
an heir, or a legal representative (such as a guardian or executor) of 
the member or former member may be able to show a proper interest. 
Applicants will send proof of proper interest with the application when 
requesting correction of another person's military records.
    (b) Getting forms. Applicants may get a DD Form 149, ``Application 
for Correction of Military Record Under the Provisions of Title 10, 
U.S.C., Section 1552,'' and Air Force Pamphlet 36-2607, ``Applicants' 
Guide to the Air Force Board for Correction of Military Records 
(AFBCMR),'' from:
    (1) Any Air Force Military Personnel Flight (MPF) or publications 
distribution office.
    (2) Most veterans' service organizations.
    (3) The Air Force Review Boards Office, SAF/MIBR, 550 C Street West, 
Suite 40, Randolph AFB TX 78150-4742.
    (4) The AFBCMR, 1535 Command Drive, EE Wing 3rd Floor, Andrews AFB 
MD 20331-7002.
    (c) Preparation. Before applying, applicants should:
    (1) Review Air Force Pamphlet 36-2607.
    (2) Discuss their concerns with MPF, finance office, or other 
appropriate officials. Errors can often be corrected administratively 
without resort to the Board.
    (3) Exhaust other available administrative remedies (otherwise the 
Board may return the request without considering it).
    (d) Submitting the application. Applicants should complete all 
applicable sections of the DD Form 149, including at least:
    (1) The name under which the member served.
    (2) The member's social security number or Air Force service number.
    (3) The applicant's current mailing address.
    (4) The specific records correction being requested.
    (5) Proof of proper interest if requesting correction of another 
person's records.
    (6) The applicant's signature.
    (e) Applicants should mail the original signed DD Form 149 and any 
supporting documents to the Air Force address on the back of the form.
    (f) Meeting time limits. Ordinarily, applicants must file an 
application within three years after the error or injustice was 
discovered, or, with due diligence, should have been discovered. An 
application filed later is untimely and may be denied by the Board on 
that basis.
    (1) The Board may excuse untimely filing in the interest of justice.
    (2) If the application is filed late, applicants should explain why 
it would be in the interest of justice for the Board to waive the time 
limits.
    (g) Stay of other proceedings. Applying to the AFBCMR does not stay 
other proceedings.
    (h) Counsel representation. Applicants may be represented by 
counsel, at their own expense.
    (1) The term ``counsel'' includes members in good standing of the 
bar of any state, accredited representatives of veterans' organizations 
recognized under 38 U.S.C. 3402, and other persons determined by the 
Executive Director of the Board to be competent to represent the 
interests of the applicant.
    (2) See Department of Defense Directive (DoDD) 7050.6, Whistleblower 
Protection Act, 3 September 1992,\1\ for special provisions for counsel 
in cases processed under 10 U.S.C. 1034.
---------------------------------------------------------------------------

    \1\ Copies of the publication are available, at cost, from the 
National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    (i) Page limitations on briefs. Briefs in support of applications:
    (1) May not exceed twenty-five double-spaced typewritten pages.

[[Page 154]]

    (2) Must be typed on one side of a page only with not more than 
twelve characters per inch.
    (3) Must be assembled in a manner that permits easy reproduction.
    (j) Responses to advisory opinions must not exceed ten double-spaced 
typewritten pages and meet the other requirements for briefs.
    (k) These limitations do not apply to supporting documentary 
evidence.
    (l) In complex cases and upon request, the Executive Director of the 
Board may waive these limitations.
    (m) Withdrawing applications. Applicants may withdraw an application 
at any time before the Board's decision. Withdrawal does not stay the 
three-year time limit.



Sec. 865.4  Board actions.

    (a) Board information sources. The applicant has the burden of 
providing sufficient evidence of probable material error or injustice. 
However, the Board:
    (1) May get additional information and advisory opinions on an 
application from any Air Force organization or official.
    (2) May require the applicant to furnish additional information 
necessary to decide the case.
    (b) Applicants will normally be given an opportunity to review and 
comment on advisory opinions and additional information obtained by the 
Board.
    (c) Consideration by the Board. A panel consisting of at least three 
board members considers each application. One panel member serves as its 
chair. The panel's actions and decisions constitute the actions and 
decisions of the Board.
    (d) The panel may decide the case in executive session or authorize 
a hearing. When a hearing is authorized, the procedures in paragraph (f) 
of this section apply.
    (e) Board deliberations. Normally only members of the Board and 
Board staff will be present during deliberations. The panel chair may 
permit observers for training purposes or otherwise in furtherance of 
the functions of the Board.
    (f) Board hearings. The Board in its sole discretion determines 
whether to grant a hearing. Applicants do not have a right to a hearing 
before the Board.
    (g) The Executive Director will notify the applicant or counsel, if 
any, of the time and place of the hearing. Written notice will be mailed 
thirty days in advance of the hearing unless the notice period is waived 
by the applicant. The applicant will respond not later than fifteen days 
before the hearing date, accepting or declining the offer of a hearing 
and, if accepting, provide information pertaining to counsel and 
witnesses. The Board will decide the case in executive session if the 
applicant declines the hearing or fails to appear.
    (h) When granted a hearing, the applicant may appear before the 
Board in person, represented by counsel, or in person with counsel and 
may present witnesses. It is the applicant's responsibility to notify 
witnesses, arrange for their attendance at the hearing, and pay any 
associated costs.
    (i) The panel chair conducts the hearing, maintains order, and 
ensures the applicant receives a full and fair opportunity to be heard. 
Formal rules of evidence do not apply, but the panel observes reasonable 
bounds of competency, relevancy, and materiality. Witnesses other than 
the applicant will not be present except when testifying. Witnesses will 
testify under oath or affirmation. A recorder will record the 
proceedings verbatim. The chair will normally limit hearings to two 
hours but may allow more time if necessary to ensure a full and fair 
hearing.
    (j) Additional provisions apply to cases processed under 10 U.S.C. 
1034. See DoDD 7050.6.\2\
---------------------------------------------------------------------------

    \2\ See footnote 1.
---------------------------------------------------------------------------

    (k) The Board will not deny or recommend denial of an application on 
the sole ground that the issue already has been decided by the Secretary 
of the Air Force or the President of the United States in another 
proceeding.
    (l) Board decisions. The panel's majority vote constitutes the 
action of the Board. The Board's decision will be in writing and will 
include determinations on the following issues:
    (1) Whether the provisions of the Military Whistleblowers Protection

[[Page 155]]

Act apply to the application. This determination is needed only when the 
applicant invokes the protection of the Act, or when the question of its 
applicability is otherwise raised by the evidence.
    (2) Whether the application was timely filed and, if not, whether 
the applicant has demonstrated that it would be in the interest of 
justice to excuse the untimely filing. When the Board determines that an 
application is not timely, and does not excuse its untimeliness, the 
application will be denied on that basis.
    (3) Whether the applicant has exhausted all available and effective 
administrative remedies. If the applicant has not, the application will 
be denied on that basis.
    (4) Whether the applicant has demonstrated the existence of a 
material error or injustice that can be remedied effectively through 
correction of the applicant's military record and, if so, what 
corrections are needed to provide full and effective relief.
    (5) In Military Whistleblowers Protection Act cases only, whether to 
recommend to the Secretary of the Air Force that disciplinary or 
administrative action be taken against any Air Force official whom the 
Board finds to have committed an act of reprisal against the applicant. 
Any determination on this issue will not be made a part of the Board's 
record of proceedings and will not be given to the applicant, but will 
be provided directly to the Secretary of the Air Force under separate 
cover (Sec. 865.2(b)).
    (m) Record of proceedings. The Board staff will prepare a record of 
proceedings following deliberations which will include:
    (1) The name and vote of each Board member.
    (2) The application.
    (3) Briefs and written arguments.
    (4) Documentary evidence.
    (5) A hearing transcript if a hearing was held.
    (6) Advisory opinions and the applicant's related comments.
    (7) The findings, conclusions, and recommendations of the Board.
    (8) Minority reports, if any.
    (9) Other information necessary to show a true and complete history 
of the proceedings.
    (n) Minority reports. A dissenting panel member may prepare a 
minority report which may address any aspect of the case.
    (o) Separate communications. The Board may send comments or 
recommendations to the Secretary of the Air Force as to administrative 
or disciplinary action against individuals found to have committed acts 
of reprisal prohibited by the Military Whistleblowers Protection Act and 
on other matters arising from an application not directly related to the 
requested correction of military records. Such comments and 
recommendations will be separately communicated and will not be included 
in the record of proceedings or given to the applicant or counsel.
    (p) Final action by the Board. The Board acts for the Secretary of 
the Air Force and its decision is final when it:
    (1) Denies any application (except under 10 U.S.C. 1034).
    (2) Grants any application in whole or part when the relief was 
recommended by the official preparing the advisory opinion, was 
unanimously agreed to by the panel, and does not involve an appointment 
or promotion requiring confirmation by the Senate.
    (q) The Board sends the record of proceedings on all other 
applications to the Secretary of the Air Force or his or her designee 
for final decision.



Sec. 865.5  Decision of the Secretary of the Air Force.

    (a) The Secretary may direct such action as he or she deems 
appropriate on each case, including returning the case to the Board for 
further consideration. Cases returned to the Board for further 
reconsideration will be accompanied by a brief statement of the reasons 
for such action. If the Secretary does not accept the Board's 
recommendation, the decision will be in writing and will include a brief 
statement of the grounds for denial.
    (b) Decisions in cases under the Military Whistleblowers Protection 
Act. The Secretary will issue decisions on such cases within 180 days 
after receipt

[[Page 156]]

of the case and will, unless the full relief requested is granted, 
inform applicants of their right to request review of the decision by 
the Secretary of Defense (SecDef). Applicants will also be informed:
    (1) Of the name and address of the official to whom the request for 
review must be submitted.
    (2) That the request for review must be submitted within ninety days 
after receipt of the decision by the Secretary of the Air Force.
    (3) That the request for review must be in writing and include the 
applicant's name, address, and telephone number; a copy of the 
application to the AFBCMR and the final decision of the Secretary of the 
Air Force; and a statement of the specific reasons the applicant is not 
satisfied with the decision of the Secretary of the Air Force.
    (4) That the request must be based on the Board record; requests for 
review based on factual allegations or evidence not previously presented 
to the Board will not be considered under this section but may be the 
basis for reconsideration by the Board under Sec. 865.6.
    (c) Decisions in cases filed under Section 507, Public Law 103-160. 
The Secretary will issue a decision within 60 days of receipt of the 
case of an officer who:
    (1) Was offered the opportunity to be discharged or separated from 
active duty under the Voluntary Separation Incentive (VSI) or Special 
Separation Benefit (SSB) programs,
    (2) Elected not to accept such discharge or separation,
    (3) Was thereafter discharged or separated from active duty, after 
September 30, 1990, as a result of selection by a board convened to 
select officers for early separation (a ``RIF board''),
    (4) Files an application with the Board within two years of the date 
of separation or discharge, or one year after March 1, 1996, whichever 
is later, alleging that the officer was not effectively counseled, 
before electing not to accept discharge or separation under the VSI/SSB 
programs, concerning the officer's vulnerability to selection for 
involuntary discharge or separation (``RIF''), and
    (5) Requests expedited consideration under this section.
    (d) Upon finding of ineffective counseling, the Secretary will 
provide the officer with an opportunity to participate, at the officer's 
option, in the VSI or SSB programs or, if eligible, in an early 
retirement program.
    (e) In cases under Secs. 865.5(b) and 865.5(c) which involve 
additional issues not cognizable under those sections, the additional 
issues may be considered separately by the Board under Secs. 865.3 and 
865.4. The special time limits in Secs. 865.5(b) and 865.5(c) do not 
apply to the decision concerning these additional issues.



Sec. 865.6  Reconsideration of applications.

    The Board may reconsider an application if the applicant submits 
newly discovered relevant evidence that was not available when the 
application was previously considered. The Executive Director will 
screen each request for reconsideration to determine whether it contains 
new evidence.
    (a) If the request contains new evidence, the Executive Director 
will refer it to a panel of the Board for a decision. The Board will 
decide the relevance and weight of any new evidence, whether it was 
reasonably available to the applicant when the application was 
previously considered, and whether it was submitted in a timely manner. 
The Board may deny reconsideration if the request does not meet the 
criteria for reconsideration. Otherwise the Board will reconsider the 
application and decide the case either on timeliness or merit as 
appropriate.
    (b) If the request does not contain new evidence, the Executive 
Director will return it to the applicant without referral to the Board.



Sec. 865.7  Action after final decision.

    (a) Action by the Executive Director. The Executive Director will 
inform the applicant or counsel, if any, of the final decision on the 
application. If any requested relief was denied, the Executive Director 
will advise the applicant of reconsideration procedures and, for cases 
processed under the Military Whistleblowers Protection Act, review by 
the SecDef. The Executive Director will send decisions requiring 
corrective

[[Page 157]]

action to the Chief of Staff, U.S. Air Force, for necessary action.
    (b) Settlement of claims. The Air Force is authorized, under 10 
U.S.C. 1552, to pay claims for amounts due to applicants as a result of 
correction of military records.
    (c) The Executive Director will furnish the Defense Finance and 
Accounting Service (DFAS) with AFBCMR decisions potentially affecting 
monetary entitlement or benefits. DFAS will treat such decisions as 
claims for payment by or on behalf of the applicant.
    (d) DFAS settles claims on the basis of the corrected military 
record. Computation of the amount due, if any, is a function of DFAS. 
Applicants may be required to furnish additional information to DFAS to 
establish their status as proper parties to the claim and to aid in 
deciding amounts due.
    (e) Public access to decisions. After deletion of personal 
information, AFBCMR decisions will be made available for review and 
copying at a public reading room in the Washington, DC metropolitan 
area.



Sec. 865.8  Miscellaneous provisions.

    (a) At the request of the Board, all Air Force activities and 
officials will furnish the Board with:
    (1) All available military records pertinent to an application.
    (2) An advisory opinion concerning an application. The advisory 
opinion will include an analysis of the facts of the case and of the 
applicant's contentions, a statement of whether or not the requested 
relief can be done administratively, and a recommendation on the 
timeliness and merit of the request. Regardless of the recommendation, 
the advisory opinion will include instructions on specific corrective 
action to be taken if the Board grants the application.
    (b) Access to records. Applicants will have access to all records 
considered by the Board, except those classified or privileged. To the 
extent practicable, applicants will be provided unclassified or 
nonprivileged summaries or extracts of such records considered by the 
Board.
    (c) Payment of expenses. The Air Force has no authority to pay 
expenses of any kind incurred by or on behalf of an applicant in 
connection with a correction of military records under 10 U.S.C. 1034 or 
1552.



               Subpart B--Air Force Discharge Review Board

    Authority: Sec. 8012, 70A Stat. 488; sec. 1553, 72 Stat. 1267, 10 
U.S.C. 8012, 1553.

    Source: 48 FR 37384, Aug. 18, 1983, unless otherwise noted.



Sec. 865.100  Purpose.

    This subpart establishes policies for the review of discharges and 
dismissals under 32 CFR part 70, ``Discharge Review Boards Procedures 
and Standards,'' 47 FR 37770, August 26, 1982. 1982, and explains the 
jurisdiction, authority, and actions of the Air Force Discharge Review 
Board. It applies to all Air Force activities. This subpart is affected 
by the Privacy Act of 1974. The system of records cited in this subpart 
is authorized by 10 U.S.C. 1553 and 8012. Each data gathering form or 
format which is required by this subpart contains a Privacy Act 
Statement, either incorporated in the body of the document or in a 
separate statement accompanying each such document.



Sec. 865.101  References.

    (a) Title 10 U.S.C., section 1553.
    (b) Title 38 U.S.C., sections 101 and 3103, as amended by Pub. L. 
95-126, October 8, 1977.
    (c) DOD Directive 5000.19, ``Policies for the Management and Control 
of Information Requirements,'' March 12, 1976.
    (d) DOD Directive 5000.11, ``Data Elements and Data Codes 
Standardization Program,'' December 7, 1964.
    (e) DOD Directive 5000.12-M ``DOD Manual for Standard Data 
Elements,'' December 1981.
    (f) DOD Directive 1332.14, ``Enlisted Administrative Separations,'' 
January 28, 1982.
    (g) DOD Directive 5400.7, ``DOD Freedom of Information Act 
Program,'' March 24, 1980; title 5 U.S.C., section 552.
    (h) DOD Directive 5400.11, ``Department of Defense Privacy 
Program,'' June 9, 1982; title 5 U.S.C., section 552a.

[[Page 158]]

    (i) Title 10 U.S.C., chapter 47, Uniform Code of Military Justice.
    (j) Wood v. Secretary of Defense, Civ. No. 77-0684 (D.D.C.) (Order, 
December 3, 1981).
    (k) Urban Law Institute of Antioch College, Inc. v. Secretary of 
Defense, Civ. No. 76-0530, (D.D.C.) (Stipulation of Dismissal, January 
31, 1977) (Order and Settlement Agreement, July 30, 1982).
    (l) Air Force Regulation 35-41, Vol III, Separation Procedures for 
USAFR Members, dated October 30, 1975.
    (m) Air Force Regulation 36-2, Officer Personnel, Administrative 
Discharge Procedures, August 2, 1976.
    (n) Air Force Regulation 36-3, Officer Personnel, Administrative 
Discharge Procedures, August 2, 1976.
    (o) Air Force Regulation 36-12, Officer Personnel, Administrative 
Separation of Commissioned Officers and Warrant Officers, July 15, 1977.
    (p) Air Force Regulation 39-10, Separation Upon Expiration of Term 
of Service, for Convenience of Government, Minority, Dependency and 
Hardship, January 3, 1977.
    (q) Air Force Manual 39-12, Separation for Unsuitability, 
Misconduct, Resignation, or Request for Discharge for the Good of the 
Service and Procedures for the Rehabilitation Program, September 1, 
1966.
    (r) Air National Guard Regulation 39-10, Enlisted Personnel-
Separation, December 30, 1971.



Sec. 865.102  Statutory authority.

    The Air Force Discharge Review Board (DRB) was established within 
the Department of the Air Force under section 301 of the Serviceman's 
Readjustment Act of 1944, as amended (now 10 U.S.C. 1553) and further 
amended by Pub. L. 95-126 dated October 8, 1977.



Sec. 865.103  Definition of terms.

    (a) Applicant. A former member of the Armed Forces who has been 
dismissed or discharged administratively in accordance with Military 
Department regulations or by sentence of a court-martial (other than a 
general court-martial) and under statutory regulatory provisions whose 
application is accepted by the DRB concerned or whose case is heard on 
the DRB's own motion. If the former member is deceased or incompetent, 
the term ``applicant'' includes the surviving spouse, next-of-kin, or 
legal representative who is acting on behalf of the former member. When 
the term ``applicant'' is used in this subpart, it includes the 
applicant's counsel or representative, except that the counsel or 
representative may not submit an application for review, waive the 
applicant's right to be present at a hearing, or terminate a review 
without providing the DRB an appropriate power of attorney or other 
written consent of the former member.
    (b) Complainant. A former member of the Armed Forces (or the former 
member's counsel) who submits a complaint in accordance with 
Sec. 865.121 of this subpart with respect to the decisional document 
issued in the former member's own case; or a former member of the Armed 
Forces (or the former member's counsel) who submits a complaint stating 
that correction of the decisional document will assist the former member 
in preparing for an administrative or judicial proceeding in which the 
former member's own discharge will be at issue.
    (c) Counsel or representative. An individual or agency designated by 
the applicant who agrees to represent the applicant in a case before the 
DRB. It includes, but is not limited to: a lawyer who is a member of the 
bar of a federal court or of the highest court of a state; an accredited 
representative designated by an organization recognized by the 
Administrator of Veterans Affairs; a representative from a state agency 
concerned with veterans affairs; and representatives from private 
organizations or local government agencies.
    (d) Discharge. A general term used in this subpart that includes 
dismissal and separation or release from active or inactive military 
status, and actions that accomplish a complete severance of all military 
status. This term also includes the assignment of a reason for such 
discharge and characterization of service.
    (e) Discharge review. The process by which the reason for 
separation, the procedures followed in accomplishing separation, and 
characterization of

[[Page 159]]

service are evaluated. This includes determinations made under the 
provisions of title 38 U.S.C. 3103(e)(2).
    (f) Discharge Review Board (DRB). An administrative board 
constituted by the Secretary of the Air Force and vested with 
discretionary authority to review discharges and dismissals under the 
provisions of title 10 U.S.C. 1553.
    (g) Regional Discharge Review Board. A DRB that conducts discharge 
reviews in a location outside the National Capital Region (NCR).
    (h) DRB President. The senior line officer of any DRB convened for 
the purpose of conducting discharge reviews.
    (i) Hearing. A review involving an appearance before the DRB by the 
applicant or on the applicant's behalf by a counsel or representative.
    (j) Record review. A review of the application, available service 
records, and additional documents (if any) submitted by the applicant.
    (k) National Capital Region (NCR). The District of Columbia; Prince 
Georges and Montgomery Counties in Maryland; Arlington, Fairfax, 
Loudoun, and Prince William Counties in Virginia; and all cities and 
towns included within the outer boundaries of the foregoing counties.
    (l) Director, Air Force Personnel Council. The person designated by 
the Secretary of the Air Force who is responsible for the supervision of 
the Discharge Review function.



Sec. 865.104  Secretarial responsibilities.

    The Secretary of the Air Force is responsible for the overall 
operation of the Discharge Review program within the Department of the 
Air Force. The following delegation of authority have been made:
    (a) To the Office of the Assistant Secretary of the Air Force 
(Manpower, Reserve Affairs and Installations) to act for the Secretary 
of the Air Force in all discharge review actions subject to review by 
the Secretary as specified in Sec. 865.113 of this subpart.
    (b) To the Director, Air Force Personnel Council, for operation of 
all phases of the discharge review function and authority to take action 
in the name of the Secretary of the Air Force in all discharge review 
actions except those specified in Sec. 865.113 of this subpart.



Sec. 865.105  Jurisdiction and authority.

    The DRB has jurisdiction and authority in cases of former military 
personnel who, at the time of their separation from the Service, were 
members of the US Army Aviation components (Aviation Section, Signal 
Corps; Air Service; Air Corps; or Air Forces) prior to September 17, 
1947, or the US Air Force. The DRB does not have jurisdiction and 
authority concerning personnel of other armed services who at the time 
of their separation, were assigned to duty with the Army Air Forces or 
the US Air Force.
    (a) The DRB's review is based on the former member's available 
military records, issues submitted by the former member, or his counsel 
and on any other evidence that is presented to the DRB. The DRB 
determines whether the type of discharge or dismissal the former member 
received is equitable and proper; if not, the DRB instructs the USAF 
Manpower and Personnel Center (AFMPC) to change the discharge reason or 
to issue a new character of discharge according to the DRB's findings.
    (b) The DRB is not authorized to revoke any discharge, to reinstate 
any person who has been separated from the military service, or to 
recall any person to active duty.
    (c) The DRB, on its own motion, may review a case that appears 
likely to result in a decision favorable to the former military member, 
without the member's knowledge or presence. In this case, if the 
decision is:
    (1) Favorable, the DRB directs AFMPC to notify the former member 
accordingly at the member's last known address.
    (2) Unfavorable, the DRB returns the case to the files without any 
record of formal action; the DRB then reconsiders the case without 
prejudice in accordance with normal procedures.



Sec. 865.106  Application for review.

    (a) General. Applications shall be submitted to the Air Force DRB on 
DD Form 293, Application for Review of Discharge or Dismissal from the 
Armed

[[Page 160]]

Forces of the United States (OMB Approval No. 0704-0004) with such other 
statements, affidavits, or documentation as desired. It is to the 
applicant's advantage to submit such documents with the application or 
within 60 days thereafter in order to permit a thorough screening of the 
case. The DD Form 293 is available at most DOD installations and 
regional offices of the Veterans Administration, or by writing to: DA 
Military Review Boards Agency, Attention: SFBA (Reading Room), Room 
1E520, The Pentagon, Washington, DC 20310.
    (b) Timing. A motion or request for review must be made within 15 
years after the date of discharge or dismissal.
    (c) Applicant's responsibilities. An applicant may request a change 
in the character of or reason for discharge (or both).
    (1) Character of discharge. DD Form 293 provides an applicant an 
opportunity to request a specific change in character of discharge (for 
example, General Discharge to Honorable Discharge; Under Other Than 
Honorable Conditions Discharge to General or Honorable Discharge). Only 
a person separated on or after 1 October 1982 while in an entry level 
status may request a change from other than an honorable discharge to 
Entry Level Separation. A request for review from an applicant who does 
not have an Honorable Discharge will be treated as a request for a 
change to an Honorable Discharge unless the applicant requests a 
specific change to another character of discharge.
    (2) Reason for discharge. DD Form 293 provides an applicant an 
opportunity to request a specific change in the reason for discharge. If 
an applicant does not request a specific change in the reason for 
discharge, the DRB will presume that the request for review does not 
involve a request for change in the reason for discharge. Under its 
responsibility to examine the propriety and equity of an applicant's 
discharge, the DRB will change the reason for discharge if such a change 
is warranted.
    (3) The applicant must ensure that issues submitted to the DRB are 
consistent with the request for change in discharge set forth in ``Board 
Action Requested'' of the DD Form 293. If an ambiguity is created by a 
difference between an applicant's issue and the requested action, the 
DRB will respond to the issue in the context of the action requested in 
``Board Action Requested.'' In the case of a Personal Appearance 
hearing, the DRB will attempt to resolve the ambiguity.
    (d) If the member is deceased or mentally incompetent, the spouse, 
next-of-kin, or legal representative may, as agent for the member, 
submit the application for the review along with proof of the member's 
death or mental incompetency.
    (e) Applicants forward their requests for review to the USAF 
Manpower and Personnel Center-mailing address: AFMPC/MPCDOA1, Randolph 
AFB TX 78150. AFMPC will obtain all available military records of the 
former members from the National Personnel Records Center.
    (f) Withdrawal of application. An applicant shall be permitted to 
withdraw an application without prejudice at any time before the 
scheduled review.
    (g) Submission of issues on DD Form 293. Issues must be provided to 
the DRB on DD Form 293 before the DRB closes the review process for 
deliberation and should be submitted in accordance with the guidelines 
of this subpart for submission of issues.
    (1) Issues must be clear and specific. An issue must be stated 
clearly and specifically in order to enable the DRB to understand the 
nature of the issue and its relationship to the applicant's discharge.
    (2) Separate listing of issues. Each issue submitted by an applicant 
should be listed separately. Submission of a separate statement for each 
issue provides the best means of ensuring that the full import of the 
issue is conveyed to the DRB.
    (3) Use of DD Form 293. DD Form 293 provides applicants with a 
standard format for submitting issues to the DRB, and its use:
    (i) Provides a means for an applicant to set forth clearly and 
specifically those matters that, in the opinion of the applicant, 
provide a basis for changing the discharge;
    (ii) Assists the DRB in focusing on those matters considered to be 
important by an applicant;

[[Page 161]]

    (iii) Assists the DRB in distinguishing between a matter submitted 
by an applicant in the expectation that it will be treated as a 
decisional issue under Sec. 865.112, and those matters submitted simply 
as background or supporting materials;
    (iv) Provides the applicant with greater rights in the event that 
the applicant later submits a complaint under Sec. 865.121 of this 
subpart concerning the decisional document.
    (v) Reduces the potential for disagreement as to the content of an 
applicant's issue.
    (4) Incorporation by reference. If the applicant makes an additional 
written submission, such as a brief, in support of the application, the 
applicant may incorporate by reference specific issues set forth in the 
written submission in accordance with the guidance on DD Form 293. The 
reference shall be specific enough for the DRB to identify clearly the 
matter being submitted as an issue. At a minimum, it shall identify the 
page, paragraph, and sentence incorporated. Because it is to the 
applicant's benefit to bring such issues to the DRB's attention as early 
as possible in the review, applicants who submit a brief are strongly 
urged to set forth all issues as a separate item at the beginning of the 
brief. If it reasonably appears that the applicant inadvertently has 
failed expressly to incorporate an issue which the applicant clearly 
identifies as an issue to be addressed by the DRB, the DRB shall respond 
to such an issue in accordance with Secs. 865.111 and 865.112 of this 
subpart.
    (5) Effective date of the new DD Form 293. With respect to 
applications received before November 27, 1982, the DRB shall consider 
issues clearly and specifically stated in accordance with the rules in 
effect at the time of submission. With respect to applications received 
on or after November 27, 1982, if the applicant submits an obsolete DD 
Form 293, the application will be returned with a copy of the revised DD 
Form 293 for reaccomplishment. The DRB will only respond to the issues 
submitted on the new form in accordance with 32 CFR part 70, 47 FR 
37770, August 26, 1982 and this subpart.
    (h) Relationship of issues to character of or reason for discharge. 
If the application applies to both character of and reason for 
discharge, the applicant is encouraged, but not required, to identify 
the issue as applying to the character of or reason for discharge (or 
both). Unless the issue is directed at the reason for discharge 
expressly or by necessary implication, the DRB will presume that it 
applies solely to the character of discharge.
    (i) Relationship of issues to the standards for discharge review. 
The DRB reviews discharges on the basis of issues of propriety and 
equity. The standards used by the DRB are set forth in Sec. 865.120 of 
this subpart. The applicant is encouraged to review those standards 
before submitting any issue upon which the applicant believes a change 
in discharge should be based. The applicant is also encouraged, but not 
required, to identify an issue as pertaining to the propriety or the 
equity of the discharge. This will assist the DRB in assessing the 
relationship of the issue to propriety or equity under Sec. 865.112(d) 
of this subpart.
    (j) Citation of matter from decisions. The primary function of the 
DRB involves the exercise of discretion on a case-by-case basis. 
Applicants are not required to cite prior decisions as the basis for a 
change in discharge. If the applicant wishes to bring the DRB's 
attention to a prior decision as background or illustrative material, 
the citation should be placed in a brief or other supporting documents. 
If, however, it is the applicant's intention to submit an issue that 
sets forth specific principles and facts from a specific cited decision, 
the following requirements apply with respect to applications received 
on or after November 27, 1982.
    (1) The issue must be set forth or expressly incorporated in the 
``Applicant's Issue'' portion of DD Form 293.
    (2) If an applicant's issue cites a prior decision (of the DRB, 
another Board, an agency, or a court), the applicant shall describe the 
specific principles and facts that are contained in the prior decision 
and explain the relevance of cited matter to the applicant's case.

[[Page 162]]

    (3) To insure timely consideration of principles cited from 
unpublished opinions (including decisions maintained by the Armed Forces 
Discharge Review Board/Correction Board Reading Room), the applicant 
must provide the DRB with copies of such decisions or of the relevant 
portion of treatise, manual, or similar source in which the principles 
were discussed. At the applicant's request, such materials will be 
returned.
    (4) If the applicant fails to comply with the requirements above, 
the decisional document shall note the defect, and shall respond to the 
issue without regard to the citation.
    (k) Identification by the DRB of issues submitted by an applicant. 
The applicant's issues shall be identified in accordance with this 
section after a review of all materials and information is made.
    (1) Issues on DD Form 293. The DRB shall consider all items 
submitted as issues by an applicant on DD Form 293 (or incorporated 
therein) in accordance with this part. With respect to applications 
submitted before November 27, 1982, the DRB shall consider all issues 
clearly and specifically stated in accordance with the rules in effect 
at the time of the submission.
    (2) Amendment of issues. The DRB shall not request or instruct an 
applicant to amend or withdraw any matter submitted by the applicant. 
Any amendment or withdrawal of an issue by an applicant shall be 
confirmed in writing by the applicant. This provision does not:
    (i) Limit by DRB's authority to question an applicant as to the 
meaning of such matter;
    (ii) Preclude the DRB from developing decisional issues based upon 
such questions:
    (iii) Prevent the applicant from amending or withdrawing such matter 
any time before the DRB closes the review process for deliberation; or
    (iv) Prevent the DRB from presenting an applicant with a list of 
proposed decisional issues and written information concerning the right 
of the applicant to add to, amend, or withdraw the applicant's 
submission. The written information will state that the applicant's 
decision to take such action (or decline to do so) will not be used 
against the applicant in the consideration of the case.
    (3) Additional Issues Identified During a Hearing. The following 
additional procedure shall be used during a hearing in order to promote 
the DRB's understanding of an applicant's presentation. If before 
closing the hearing for deliberation, the DRB believes that an applicant 
has presented an issue not listed on DD Form 293, the FRB may so inform 
the applicant, and the applicant may submit the issue in writing or add 
additional written issues at that time. This does not preclude the DRB 
from developing its own decisional issues.
    (l) Notification of possible bar to benefits. Written notification 
shall be made to each applicant whose record indicates a reason for 
discharge that bars receipt of benefits under 38 U.S.C. 3103(a). This 
notification will advise the applicant that separate action by the Board 
for Correction of Military Records or the Veterans Administration may 
confer eligibility for VA benefits. Regarding the bar to benefits based 
upon the 180 days consecutive unauthorized absence, the following 
applies:
    (1) Such absence must have been included as part of the basis for 
the applicant's discharge under other than honorable conditions.
    (2) Such absence is computed without regard to the applicant's 
normal or adjusted expiration of term of service.



Sec. 865.107  DRB composition and meeting location.

    (a) The DRB consists of five members, with the senior line officer 
acting as the presiding officer. The presiding officer convenes, 
recesses and adjourns the Board.
    (b) In addition to holding hearings in Washington, DC, the DRB, as a 
convenience to applicants, periodically conducts hearings at selected 
locations throughout the Continental United States. Reviews are 
conducted at locations central to those areas with the greatest number 
of applicants. A continuing review and appraisal is conducted to ensure 
the selected hearing locations are responsive to a majority of 
applicants. Administrative details

[[Page 163]]

and responsibilities for Regional Boards are outlined in Sec. 865.124.



Sec. 865.108  Availability of records and documents.

    (a) Before applying for discharge review, potential applicants or 
their designated resentatives may, and are encouraged to obtain copies 
of their military personnel records by submitting a General Services 
Administration Standard Form 180, Request Pertaining to Military 
Records, to the National Personnel Records Center (NPRC) 9700 Page 
Boulevard, St. Louis, Mo 63132; thus avoiding any lengthy delays in the 
processing of the application (DD Form 293) and the scheduling of 
reviews.
    (1) Once the application for discharge review (DD Form 293) is 
submitted, an applicant's military records are forwarded to the DRB 
where they cannot be reproduced. Submission of a request for an 
applicant's military records, including a request under the Freedom of 
Information Act or Privacy Act after the DD Form 293 has been submitted, 
shall result automatically in the termporary suspension of processing of 
the application for discharge review until the requested records are 
sent to an appropriate location for copying, are copied, and returned to 
the headquarters of the DRB. Processing of the application shall then be 
resumed at whatever stage of the discharge review process is 
practicable.
    (2) Applicants and their designated representatives also may examine 
their military personnel records at the site of their scheduled review 
before the hearing. The DRB shall notify applicants and their designated 
representatives of the dates the records are available for examination 
in their standard scheduling information.
    (b) The DRB is not authorized to provide copies of documents that 
are under the cognizance of another government department, office, or 
activity. Applications for such information must be made by the 
applicant to the cognizant authority. The DRB shall advise the applicant 
of the mailing address of the government department, office, or activity 
to which the request should be submitted.
    (c) If the official records relevant to the discharge review are not 
available at the agency having custody of the records, the applicant 
shall be so notified and requested to provide such information and 
documents as may be desired in support of the request for discharge 
review. A period of not less than 30 days shall be allowed for such 
documents to be submitted. At the expiration of this period, the review 
may be conducted with information available to the DRB.
    (d) The DRB may take steps to obtain additional evidence that is 
relevant to the discharge under consideration beyond that found in the 
official military records or submitted by the applicant, if a review of 
available evidence suggests that it would be incomplete without the 
additional information, or when the applicant presents testimony or 
documents that require additional information to evaluate properly. Such 
information shall be made available to the applicant, upon request, with 
appropriate modifications regarding classified material.
    (1) In any case heard on the request of an applicant, the DRB shall 
provide the applicant and counsel or representative, if any, at a 
reasonable time before initiating the decision process, a notice of the 
availability of all regulations and documents to be considered in the 
discharge review, except for documents in the official personnel or 
medical records and any documents submitted by the applicant. The DRB 
shall also notify the applicant or counsel or representative (i) of the 
right to examine such documents or to be provided with copies of 
documents upon request; (ii) of the date by which such request must be 
received; and (iii) of the opportunity to respond within a reasonable 
period of time to be set be the DRB.
    (2) When necessary to acquaint the applicant with the substance of a 
classified document, the classifying authority, on the request of the 
DRB, shall prepare a summary of or an extract from the document, 
deleting all reference to source of information and other matters, the 
disclosure of which, in the opinion of the classifying authority, would 
be detrimental to the national security interest of the United

[[Page 164]]

States. Should preparation of such summary be deemed impracticable by 
the classifying authority, information from the classified source shall 
not be considered by the DRB in its review of the case.
    (e) Current Air Force numbered publications may be obtained from the 
Chief, Central Base Administration at any major Air Force installation 
or by writing:

HQ USAF/DASJL, Washington, DC 20330

      or

DA Military Review Boards Agency, Attention: SPBA (Reading Room), Room 
1E520, Washington, DC 20310



Sec. 865.109  Procedures for hearings.

    (a) The applicant is entitled, by law, to appear in person at his or 
her request before the DRB in open session and to be represented by 
counsel of his or her own selection. The applicant also may present such 
witnesses as he or she may desire.
    (b) There are two types of reviews. They are:
    (1) Record Review. A review of the application, available service 
records, and additional documents (if any) submitted by the applicant.
    (2) Hearing. A personal appearance before the DRB by the applicant 
with or without counsel, or by the counsel only.
    (c) The Government does not compensate or pay the expenses of the 
applicant, applicant's witnesses, or counsel.
    (d) A summary of the available military records of the applicant is 
prepared for use by the DRB in the review process. A copy of the summary 
is available to the applicant and/or his or her counsel, upon request.
    (e) When an applicant has requested a personal appearance and/or 
representation by counsel on the DD Form 293, the DRB sends written 
notice of the hearing time and place to the applicant and designated 
counsel. Evidence of such notification will be placed in the applicant's 
record.
    (f) Personal appearance hearings shall be conducted with recognition 
of the rights of the individual to privacy. Accordingly, presence at 
hearings of individuals other than those whose presence is required will 
be limited to persons authorized by the presiding officer and/or 
expressly requested by the applicant, subject to reasonable limitations 
based upon available space.
    (g) Formal rules of evidence shall not be applied in DRB 
proceedings. The presiding officer shall rule on matters of procedure 
and shall ensure that reasonable bounds of relevancy and materiality are 
maintained in the taking of evidence and presentation of witnesses. 
Applicants and witnesses may present evidence to the DRB panel either in 
person or by affidavit or through counsel. If an applicant or witness 
testifies under oath or affirmation, he or she is subject to questioning 
by Board members.
    (h) There is a presumption of regularity in the conduct of 
governmental affairs. This presumption can be applied in any review 
unless there is substantial credible evidence to rebut the presumption.
    (i) Failure to appear at a hearing or respond to scheduling notice. 
(1) Except as otherwise authorized by the Secretary of the Air Force, 
further opportunity for a personal appearance hearing shall not be made 
available in the following circumstances to an applicant who has 
requested a hearing.
    (i) When the applicant and/or a designated counsel or representative 
has been sent a letter containing the date and location of a proposed 
hearing and fails to make a timely response; or
    (ii) When the applicant and/or a designated representative, after 
being notified by letter of the time and place of the hearing, fails to 
appear at the appointed time, either in person or by representative, 
without having made a prior, timely request for a postponement or 
withdrawal.
    (2) In such cases, the applicant shall be deemed to have waived his/
her right to a hearing, and the DRB shall complete its review of the 
discharge. Further request for a hearing shall not be granted unless the 
applicant can demonstrate that the failure to appear or respond was due 
to circumstances beyond the applicant's control.
    (j) Continuance and postponements. (1) A continuance of a discharge 
review hearing may be authorized by the presiding officer of the Board 
concerned, provided that such continuance is of a

[[Page 165]]

reasonable duration and is essential to achieving a full and fair 
hearing. Where a proposal for continuance is indefinite, the pending 
application shall be returned to the applicant with the option to 
resubmit when the case is fully ready for review.
    (2) Postponements of scheduled reviews normally shall not be 
permitted other than for demonstrated good and sufficient reason set 
forth by the applicant in a timely manner, or for the convenience of the 
government.
    (k) Reconsideration. A discharge review shall not be subject to 
reconsideration except:
    (1) Where the only previous consideration of the case was on the 
motion of the DRB;
    (2) When the original discharge review did not involve a personal 
appearance hearing and a personal appearance is now desired, and the 
provisions of Sec. 865.109(j) do not apply;
    (3) Where changes in discharge policy are announced subsequent to an 
earlier review of an applicant's discharge, and the new policy is made 
expressly retroactive;
    (4) Where the DRB determines that policies and procedures under 
which the applicant was discharged differ in material respects from 
policies and procedures currently applicable on a service-wide basis to 
discharges of the type under consideration, provided that such changes 
in policies or procedures represent a substantial enhancement of the 
rights afforded an applicant in such proceeding;
    (5) Where an individual is to be represented by a counsel/
representative, and was not so represented in any previous consideration 
of the case.
    (6) Where the case was not previously considered under the uniform 
standards published pursuant to Pub. L. 95-126 and application is made 
for such consideration within 15 years after the date of discharge; or
    (7) On the basis of presentation of new, substantial, relevant 
evidence not available to the applicant at the time of the original 
review. The decision as to whether evidence offered by an applicant in 
support of a request for reconsideration is in fact new, substantial, 
relevant, and was not available to the applicant at the time of the 
original review will be based on a comparison of such evidence with the 
evidence considered in the previous discharge review. If this comparison 
shows that the evidence submitted would have had a probable effect on 
matters concerning the propriety or equity of the discharge, the request 
for reconsideration shall be granted.



Sec. 865.110  Decision process.

    (a) The DRB shall meet in plenary session to review discharges and 
exercise its discretion on a case-by-case basis in applying the 
standards set forth in this regulation.
    (b) The presiding officer is responsible for the conduct of the 
discharge review. The presiding officer shall convene, recess, and 
adjourn the DRB as appropriate, and shall maintain an atmosphere of 
dignity and decorum at all times.
    (c) Each board member shall act under oath or affirmation requiring 
careful, objective consideration of the application. They shall consider 
all relevant material and competent information presented to them by the 
applicant. In addition, they shall consider all available military 
records, together with such other records as may be in the files and 
relevant to the issues before the DRB.
    (d) The DRB shall identify and address issues after a review of the 
following material obtained and presented in accordance with this 
subpart and 32 CFR part 70: available official military records, 
documentary evidence submitted by or on behalf of the applicant, 
presentation of testimony by or on behalf of the applicant, oral or 
written arguments presented by or on behalf of the applicant, and any 
other relevant evidence.
    (e) Application of Standards:
    (1) When the DRB determines that an applicant's discharge was 
improper, the DRB will determine which reason for discharge should have 
been assigned based upon the facts and circumstances properly before the 
discharge authority in view of the regulations governing reasons for 
discharge at the time the applicant was discharged.
    (2) When the board determines that an applicant's discharge was 
inequitable, any change will be based on the

[[Page 166]]

evaluation of the applicant's overall record of service and relevant 
regulations.
    (f) Voting shall be conducted in closed session, a majority of the 
five members' votes constituting the DRB's decision.
    (g) Details of closed session deliberations of a DRB are privileged 
information and shall not be divulged.
    (h) A formal minority opinion may be submitted in instances of 
disagreement between members of a board. The opinion must cite findings, 
conclusions and reasons which are the basis for the opinion. The 
complete case with the majority and minority recommendations will be 
submitted to the Director, Air Force Personnel Council.
    (i) The DRB may request advisory opinions from staff offices of the 
Air Force. These opinions are advisory in nature and are not binding on 
the DRB in its decision making process.



Sec. 865.111  Response to items submitted as issues by the applicant.

    (a) If an issue submitted by an applicant contains two or more 
clearly separate issues, the DRB should respond to each issue under the 
guidance of this section as if it had been set forth separately by the 
applicant.
    (b) If an applicant uses a ``building block'' approach (that is, 
setting forth a series of conclusions on issues that lead to a single 
conclusion purportedly warranting a change in the applicant's 
discharge), normally there should be a separate response to each issue.
    (c) This section does not preclude the DRB from making a single 
response to multiple issues when such action would enhance the clarity 
of the decisional document, but such response must reflect an adequate 
response to each separate issue.
    (d) An item submitted as an issue by an applicant in accordance with 
this regulation shall be addressed as a decisional issue under 
Sec. 865.112 of this subpart in the following circumstances:
    (1) When the DRB decides that a change in discharge should be 
granted, and the DRB bases its decision in whole or in part on the 
applicant's issue; or
    (2) When the DRB does not provide the applicant with the full change 
in discharge requested, and the decision is based in whole or in part on 
the DRB's disagreement with the merits of an issue submitted by the 
applicant.
    (e) If the applicant receives the full change in discharge requested 
(or a more favorable change), that fact shall be noted and the basis 
shall be addressed as a decisional issue even if that basis is not 
addressed as an issue by the applicant. No further response is required 
to other issues submitted by the applicant.
    (f) If the applicant does not receive the full change in discharge 
requested with respect to either the character of or reason for 
discharge (or both), the DRB shall address the items submitted by the 
applicant unless one of the following responses is applicable:
    (1) Duplicate issues. The DRB may state that there is a full 
response to the issue submitted by the applicant under a specified 
decisional issue. This respose may be used only when one issue clearly 
duplicates another or the issue clearly requires discussion in 
conjunction with another issue.
    (2) Citations without principles and facts. The DRB may state that 
any issue, which consists of a citation of a previous decision without 
setting forth any principles and facts from the decision that the 
applicant states are relevant to the applicant's case, does not comply 
with the requirements of Sec. 865.106(g)(1) of this part.
    (3) Unclear issues. The DRB may state that it cannot respond to an 
item submitted by the applicant as an issue because the meaning of the 
item is unclear. An issue is unclear if it cannot be understood by a 
reasonable person familiar with the discharge review process after a 
review of the materials considered under Sec. 865.110(d) of this 
subpart.
    (4) Nonspecific issues. The DRB may state that it cannot respond to 
an item submitted by the applicant as an issue because it is not 
specific. A submission is considered not specific if a reasonable person 
familiar with the discharge review process after a review of the 
materials considered under Sec. 865.110(d), cannot determine the 
relationship between the applicant's submission and the particular 
circumstances of the case. This response may be used only if

[[Page 167]]

the submission is expressed in such general terms that no other response 
is applicable. For example, if the DRB disagrees with the applicant as 
to the relevance of matters set forth in the submission, the DRB 
normally will set forth the nature of the disagreement under the 
guidance in Sec. 865.112 of this subpart with respect to decisional 
issues, or it will reject the applicant's position on the basis of 
Sec. 865.111(f)(1) or Sec. 865.111(f)(2). If the applicant's submission 
is so general that none of those provisions is applicable, then the DRB 
may state that it cannot respond because the item is not specific.



Sec. 865.112  Decisional issues.

    (a) The decisional document shall discuss the issues that provide a 
basis for the decision whether there should be a change in the character 
of or reason for discharge. In order to enhance clarity, the DRB should 
not address matters other than issues relied upon in the decision or 
raised by the applicant.
    (b) Partial Change. When the decision changes a discharge but does 
not provide the applicant with the full change in discharge requested, 
the decisional document shall address both the issues upon which change 
is granted and the issues upon which the DRB denies the full change 
requested.
    (c) Relationship of Issue To Character of or Reason for Discharge. 
Generally, the decisional document should specify whether a decisional 
issue applies to the character of or reason for discharge (or both), but 
it is not required to do so.
    (d) Relationship of an Issue To Propriety or Equity. (1) If an 
applicant identifies an issue as pertaining to both propriety and 
equity, the DRB will consider it under both standards.
    (2) If an applicant identifies an issue as pertaining to the 
propriety of the discharge (for example, by citing a propriety standard 
or otherwise claiming that a change in discharge is required as a matter 
of law), the DRB shall consider the issue solely as a matter of 
propriety. Except as provided in Sec. 865.112(d)(4), the DRB is not 
required to consider such an issue under the equity standards.
    (3) If the applicant's issue contends that the DRB is required as a 
matter of law to follow a prior decision by setting forth an issue of 
propriety from the prior decision and decribing its relationship to the 
applicant's case, the issue shall be considered under the propriety 
standards and addressed under Sec. 865.112(e) or Sec. 865.112(f).
    (4) If the applicant's issue sets forth principles of equity 
contained in a prior DRB decision, describes the relationship to the 
applicant's case, and contends that the DRB is required as a matter of 
law to follow the prior case, the decisional document shall note that 
the DRB is not bound by its discretionary decisions in prior cases under 
the standards in Sec. 865.120 of this subpart. However, the principles 
cited by the applicant, and the description of the relationship of the 
principles to the applicant's case, shall be considered under the equity 
standards and addressed under Sec. 865.112(h) or Sec. 865.112(i).
    (5) If the applicant's issue cannot be identified as a matter of 
propriety or equity, the DRB shall address it as an issue of equity.
    (e) Change of discharge: Issues of propriety. If a change in the 
discharge is warranted under the propriety standards the decisional 
document shall state that conclusion and list the errors or expressly 
retroactive changes in policy that provide a basis for the conclusion. 
The decisional document shall cite the facts in the record that 
demonstrate the relevance of the error or change in policy to the 
applicant's case. If the change in discharge does not constitute the 
full change requested by the applicant, the reasons for not granting the 
full change shall be addressed.
    (f) Denial of the full change requested: Issues of propriety. If the 
decision rejects the applicant's position on an issue of propriety, or 
if it is otherwise decided on the basis of an issue of propriety that 
the full change in discharge requested by the applicant is not 
warranted, the decisional document shall note that conclusion. The 
decisional document shall list reasons for its conclusion on each issue 
of propriety under the following guidance:

[[Page 168]]

    (1) If a reason is based in whole or in part upon a part, statute, 
constitutional provision, judicial determination, or other source of 
law, the DRB shall cite the pertinent source of law and the facts in the 
record that demonstrate the relevance of the source of law to the 
particular circumstances in the case.
    (2) If a reason is based in whole or in part on a determination as 
to the occurrence or nonoccurrence of an event or circumstance, 
including a factor required by applicable Air Force regulations to be 
considered for determination of the character of and reason for the 
applicant's discharge, the DRB shall make a finding of fact for each 
such event or circumstance.
    (i) For each such finding, the decisional document shall list the 
specific source of the information relied upon. This may include the 
presumption of regularity in appropriate cases. If the information is 
listed in the service record section of the decisional document, a 
citation is not required.
    (ii) If a finding of fact is made after consideration of 
contradictory evidence in the record (including information cited by the 
applicant or otherwise identified by members of the DRB), the decisional 
document shall set forth the conflicting evidence, and explain why the 
information relied upon was more persuasive than the information that 
was rejected. If the presumption of regularity is cited as the basis for 
rejecting such information, the decisional document shall explain why 
the contradictory evidence was insufficient to overcome the presumption. 
In an appropriate case, the explanation as to why the contradictory 
evidence was insufficient to overcome the presumption of regularity may 
consist of a statement that the applicant failed to provide sufficient 
corroborating evidence, or that the DRB did not find the applicant's 
testimony to be sufficiently credible to overcome the presumption.
    (3) If the DRB disagrees with the position of the applicant on an 
issue of propriety, the following guidance applies in addition to the 
guidance in Sec. 842.112(f) (1) and (2).
    (i) The DRB may reject the applicant's position by explaining why it 
disagrees with the principles set forth in the applicant's issue 
(including principles derived from cases cited by the applicant).
    (ii) The DRB may reject the applicant's position by explaining why 
the principles set forth in the applicant's issue (including principles 
derived from cases cited by the applicant) are not relevant to the 
applicant's case.
    (iii) The DRB may reject an applicant's position by stating that the 
applicant's issue of propriety is not a matter upon which the DRB grants 
a change in discharge, and by providing an explanation for this 
position. When the applicant indicates that the issue is to be 
considered in conjunction with one or more other specified issues, the 
explanation will address all such specified issues.
    (iv) The DRB may reject the applicant's position on the grounds that 
other specified factors in the case preclude granting relief, regardless 
of whether the DRB agreed with the applicant's position.
    (v) If the applicant takes the position that the discharge must be 
changed because of an alleged error in a record associated with the 
discharge, and the record has not been corrected by the organization 
with primary responsibility for corrective action, respond that it will 
presume the validity of the record in the absence of such corrective 
action. If the organization empowered to correct the record is within 
the Department of the Air Force, the DRB should provide the applicant 
with a brief description of the procedures for requesting correction of 
the record. If the DRB on its own motion cites this issue as a 
decisional issue on the basis of equity, it shall address the issue as 
such.
    (vi) When an applicant's issue contains a general allegation that a 
certain course of action violated his or her constitutional rights, 
respond in appropriate cases by noting that the action was consistent 
with statutory or regulatory authority, and by citing the presumption of 
constitutionality that attaches to statutes and regulations. If, on the 
other hand, the applicant makes a specific challenge to the 
constitutionality of the action by challenging

[[Page 169]]

the application of a statute or regulation is a particular set of 
circumstances, it is not sufficient to respond solely by citing the 
presumption of constitutionality of the statute or regulation when the 
applicant is not challenging the constitutionality of the statute or 
regulation. Instead, the response must address the specific 
circumstances of the case.
    (g) Denial of the full change in discharge requested when propriety 
is not at issue. If the applicant has not submitted an issue of 
propriety and the DRB has not otherwise relied upon an issue of 
propriety to change the discharge, the decisional document shall contain 
a statement to that effect. The DRB is not required to provide any 
further discussion as to the propriety of the discharge.
    (h) Change of discharge: Issues of equity. If the DRB concludes that 
a change in the discharge is warranted under equity standards the 
decisional document shall list each issue of equity upon which this 
conclusion is based. The DRB shall cite the facts in the record that 
demonstrate the relevance of the issue to the applicant's case. If the 
change in discharge does not constitute the full change requested by the 
applicant, the reasons for not giving the full change requested shall be 
discussed.
    (i) Denial of the full change requested: Issues of equity. If the 
DRB rejects the applicant's position on an issue of equity, or if the 
decision otherwise provides less than the full change in discharge 
requested by the applicant, the decisional document shall note that 
conclusion. The DRB shall list reasons for its conclusions on each issue 
of equity in accordance with the following:
    (1) If a reason is based in whole or in part upon a part, statute, 
constitutional provision, judicial determination, or other source of 
law, the DRB shall cite the pertinent source of law and the facts in the 
record that demonstrate the relevance of the source of law to the 
exercise of discretion on the issue of equity in the applicant's case.
    (2) If a reason is based in whole or in part on a determination as 
to the occurrence or nonoccurrence of an event or circumstance, 
including a factor required by applicable Air Force regulations to be 
considered for determination of the character of and reason for the 
applicant's discharge, the DRB shall make a finding of fact for each 
such event or circumstance.
    (i) For each such finding, the decisional document shall list the 
specific source of the information relied upon. This may include the 
presumption of regularity in appropriate cases. If the information is 
listed in the service record section of the decisional document, a 
citation is not required.
    (ii) If a finding of fact is made after consideration of 
contradictory evidence in the record (including information cited by the 
applicant or otherwise identified by members of the DRB), the decisional 
document shall set forth the conflicting evidence, and explain why the 
information relied upon was more persuasive than the information that 
was rejected. If the presumption of regularity is cited as the basis for 
rejecting such information, the decisional document shall explain why 
the contradictory evidence was insufficient to overcome the presumption. 
In an appropriate case, the explanation as to why the contradictory 
evidence was insufficient to overcome the presumption of regularity may 
consist of a statement that the applicant failed to provide sufficient 
corroborating evidence, or that the DRB did not find the applicant's 
testimony to be sufficiently credible to overcome the presumption.
    (3) If the DRB disagrees with the position of the applicant on an 
issue of equity, the following guidance applies in addition to the 
guidance in Sec. 865.112(i) (1) and (2):
    (i) The DRB may reject the applicant's position by explaining why it 
disagrees with the principles set forth in the applicant's issue 
(including principles derived from cases cited by the applicant).
    (ii) The DRB may reject the applicant's position by explaining why 
the principles set forth in the applicant's issue (including principles 
derived from cases cited by the applicant) are not relevant to the 
applicant's case.
    (iii) The DRB may reject an applicant's position by explaining why 
the applicant's issue is not a matter upon which the DRB grants a change 
in discharge as a matter of equity. When the

[[Page 170]]

applicant indicates that the issue is to be considered in conjunction 
with other specified issues, the explanation will address all such 
issues.
    (iv) The DRB may reject the applicant's position on the grounds that 
other specified factors in the case preclude granting relief, regardless 
of whether the DRB agreed with the applicant's position.
    (v) If the applicant takes the position that the discharge should be 
changed as a matter of equity because of an alleged error in a record 
associated with the discharge, and the record has not been corrected by 
the organization with primary responsibility for corrective action, the 
DRB may respond that it will presume the validity of the record in the 
absence of such corrective action. However, the DRB will consider 
whether it should exercise its equitable powers to change the discharge 
on the basis of the alleged error. If it declines to do so, the DRB 
shall explain why the applicant's position did not provide a sufficient 
basis for the change in the discharge requested by the applicant.
    (4) When the DRB concludes that aggravating factors outweigh 
mitigating factors, the DRB must set forth reasons such as the 
seriousness of the offense, specific circumstances surrounding the 
offense, number of offenses, lack of mitigating circumstances, or 
similar factors. The DRB is not required, however, to explain why it 
relied on any such factors unless the applicability or weight of such 
factors are expressly raised as an issue by the applicant.
    (5) If the applicant has not submitted any issues and the DRB has 
not otherwise relied upon an issue of equity for a change in discharge, 
the decisional document shall contain a statement to that effect, and 
shall note that the major factors upon which the discharge was based are 
set forth in the service record portion of the decisional document.



Sec. 865.113  Recommendations by the Director of the Personnel Council and Secretarial Review Authority.

    (a) The Director of the Personnel Council may forward cases for 
consideration by the Secretarial Reviewing Authority (SRA) under rules 
established by the Secretary of the Air Force.
    (b) The following categories of dicharge review requests are subject 
to the review of the Secretary of the Air Force or the Secretary's 
designee.
    (1) Cases in which a minority of the DRB panel requests their 
submitted opinions be forwarded for consideration (refer to 
Sec. 865.110(h)).
    (2) Cases when required in order to provide information to the 
Secretary on specific aspects of the discharge review function which are 
of interest to the Secretary.
    (3) Any case which the Director, Air Force Personnel Council 
believes is of significant interest to the Secretary.
    (c) The Secretarial Reviewing Authority is the Secretary of the Air 
Force or the official to whom he has delegated this authority. The SRA 
may review the types of cases described above before issuance of the 
final notification of a decision. Those cases forwarded for review by 
the SRA shall be considered under the standards set forth in 
Sec. 865.121 and DOD Directive 1332.28.
    (d) There is no requirement that the Director of the Personnel 
Council submit a recommendation when a case is forwarded to the SRA. If 
a recommendation is submitted, however, it should be in accordance with 
the guidelines described below.
    (e) Format for Recommendation. If a recommendation is provided, it 
shall contain the Director's views whether there should be a change in 
the character of or reason for discharge (or both). If the Director 
recommends such a change, the particular change to be made shall be 
specified. The recommendation shall set forth the Director's position on 
decisional issues submitted by the applicant in accordance with the 
following:
    (1) Adoption of the DRB's Decisional document. The recommendation 
may state that the Director has adopted the decisional document prepared 
by the majority. The Director shall ensure that the decisional document 
meets the requirements of this regulation.
    (2) Adoption of the Specific Statements From the Majority. If the 
Director adopts the views of the majority only in part, the 
recommendation shall

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cite the specific matter adopted from the majority. If the Director 
modifies a statement submitted by the majority, the recommendation shall 
set forth the modification.
    (3) Response To Issues Not Included in Matter Adopted From the 
Majority. The recommendation shall set forth the following if not 
adopted in whole or in part from the majority:
    (i) The issues on which the Director's recommendation is based. Each 
such decisional issue shall be addressed by the Director in accordance 
with Sec. 865.112 of this subpart.
    (ii) The Director's response to items submitted as issues by the 
applicant under Sec. 865.111 of this subpart.
    (iii) Reasons for rejecting the conclusions of the majority with 
respect to decisional issues which, if resolved in the applicant's 
favor, would have resulted in greater relief for the applicant than that 
afforded by the Director's recommendation. Each issue shall be addressed 
in accordance with Sec. 865.112 of this subpart.
    (f) Copies of the proposed decisional document on cases that have 
been forwarded to the SRA (except for cases reviewed on the DRB's own 
motion without the participation of the applicant or the applicant's 
counsel) shall be provided to the applicant and counsel or 
representative, if any. The document will include the Director's 
recommendation to the SRA, if any. Classified information shall be 
summarized.
    (g) The applicant shall be provided with a reasonable period of 
time, but not less than 25 days, to submit a rebuttal to the SRA. An 
issue in rebuttal consists of a clear and specific statement by the 
applicant in support of or in opposition to the statements of the DRB or 
Director on decisional issues and other clear and specific issues that 
were submitted by the applicant. The rebuttal shall be based solely on 
matters in the record when the DRB closed the case for deliberation or 
in the Director's recommendation.
    (h) Review of the Decisional document. If corrections in the 
decisional document are required, the decisional document shall be 
returned to the DRB for corrective action. The corrected decisional 
document shall be sent to the applicant and counsel or representative, 
if any, but a further opportunity for rebuttal is not required unless 
the correction produces a different result or includes a substantial 
change in the discussion by the DRB or Director of the issues raised by 
the majority or the applicant.
    (i) The Addendum of the SRA. The decision of the SRA shall be in 
writing and shall be appended as an addendum to the decisional document.
    (1) The SRA's Decision. The addendum shall set forth the SRA's 
decision whether there will be a change in the character of or reason 
for discharge (or both); if the SRA concludes that a change is 
warranted, the particular change to be made shall be specified. If the 
SRA adopts the decision recommended by the DRB or the Director, the 
decisional document shall contain a reference to the matter adopted.
    (2) Discussion of Issues. In support of the SRA's decision, the 
addendum shall set forth the SRA's position on decisional issues, items 
submitted by an applicant and issues raised by the DRB and the Director. 
The addendum will state that:
    (i) The SRA has adopted the Director's recommendation.
    (ii) The SRA has adopted the proposed decisional document prepared 
by the DRB.
    (iii) If the SRA adopts the views of the DRB or the Director only in 
part, the addendum shall cite the specific statements adopted. If the 
SRA modifies a statement submitted by the DRB or the Director, the 
addendum shall set forth the modification.
    (3) Response To Issues Not Included in Master Adopted From the DRB 
or the Director. The addendum shall set forth the following if not 
adopted in whole or in part from the DRB or the Director:
    (i) A list of the issues on which the SRA's decision is based. Each 
such decisional issue shall be addressed by the SRA. This includes 
reasons for rejecting the conclusion of the DRB or the Director with 
respect to decisional issues which, if resolved in the applicant's 
favor, would have resulted in change to the discharge more favorable to 
the applicant than that afforded by the SRA's decision.

[[Page 172]]

    (ii) The SRA's response to items submitted as issues by the 
applicant will be in accordance with Sec. 865.111 of this subpart.
    (4) Response to Rebuttal. (i) If the SRA grants the full change in 
discharge requested by the applicant (or a more favorable change), that 
fact shall be noted, the decisional document shall be addressed 
accordingly, and no further response to the rebuttal is required.
    (ii) If the SRA does not grant the full change in discharge 
requested by the applicant (or a more favorable change), the addendum 
shall list each issue in rebuttal submitted by an applicant and shall 
set forth the response of the SRA under the following:
    (A) If the SRA rejects an issue in rebuttal, the SRA may respond in 
accordance with the principles in Sec. 865.112 of this subpart.
    (B) If the matter adopted by the SRA provides a basis for the SRA's 
rejection of the rebuttal material, the SRA may note that fact and cite 
the specific matter adopted that responds to the issue in rebuttal.
    (C) If the matter submitted by the applicant does not meet the 
requirements for rebuttal material in paragraph (g) of this section, 
that fact shall be noted.
    (j) Index Entries. Appropriate index entries shall be prepared for 
the SRA's actions for matters that are not adopted from the DRB's 
proposed decisional document.



Sec. 865.114  Decisional document.

    (a) A decisional document shall be prepared for each review 
conducted by the DRB.
    (b) At a minimum, the decisional decument shall contain:
    (1) The date, character of, and reason for discharge or dismissal 
certificate issued to the applicant upon separation from the military 
service, including the specific regulatory authority under which the 
discharge or dismissal certificate was issued.
    (2) The circumstances and character of the applicant's service as 
extracted from military records and information provided by other 
government authority or the applicant, such as, but not limited to:
    (i) Date of enlistment (YYMMDD).
    (ii) Period of enlistment.
    (iii) Age at enlistment.
    (iv) Length of service.
    (v) Periods of unauthorized absence.
    (vi) Conduct and efficiency ratings (numerical or narrative).
    (vii) Highest rank achieved.
    (viii) Awards and decorations.
    (ix) Educational level.
    (x) Aptitude test scores.
    (xi) Incidents of punishment pursuant to Article 15, Uniform Code of 
Military Justice (including nature and date of offense or punishment).
    (xii) Conviction by court-martial.
    (xiii) Prior military service and type of discharge received.
    (3) A list of the type of documents submitted by or on behalf of the 
applicant (including a written brief, letters of recommendation, 
affidavits concerning the circumstances of the discharge, or other 
documentary evidence), if any.
    (4) A statement whether the applicant testified, and a list of the 
type of witnesses, if any, who testified on behalf of the applicant.
    (5) A notation whether the application pertained to the character of 
discharge, the reason for discharge, or both.
    (6) The DRB's conclusions on the following:
    (i) Whether the character of or the reason for discharge should be 
changed.
    (ii) The specific changes to be made, if any.
    (7) A list of the items submitted as issues on DD Form 293 or 
expressly incorporated therein and such other items submitted as issues 
by the applicant that are identified as inadvertently omitted under 
Sec. 865.106(g)(4). If the issues are listed verbatim on DD Form 293, a 
copy of the relevant portion of the form may be attached. Issues that 
have been withdrawn or modified with the consent of the applicant need 
not be listed.
    (8) The response to items submitted as issues by the applicant under 
the guidance in Sec. 865.111.
    (9) A list of decisional issues and a discussion of such issues 
under the guidance of Sec. 865.112.
    (10) Minority views, if any, when authorized under the rules of the 
Secretary of the Air Force.

[[Page 173]]

    (11) The recommendation of the Director when required by 
Sec. 865.113.
    (12) Any addendum of the SRA when required by Sec. 865.113.
    (13) Advisory opinions, including those containing factual 
information, when such opinions have been relied upon for final decision 
or have been accepted as a basis for rejecting any of the applicant's 
issues. Such advisory opinions or relevant portions thereof that are not 
fully set forth in the discussion of decisional issues or otherwise in 
response to items submitted as issues by the application shall be 
incorporated by reference. A copy of the opinions incorporated by 
reference shall be appended to the decision and included in the record 
of proceedings.
    (14) A record of the DRB member's names and votes.
    (15) Index entries for each decisional issue under appropriate 
categories listed in the Subject/Category listing.
    (16) An authentication of the document by an appropriate official.



Sec. 865.115  Issuance of decisions following discharge review.

    (a) The applicant and counsel or representative, if any, shall be 
provided with a copy of the decisional document and of any further 
action in review. The applicant (and counsel, if any) shall be notified 
of the availability of the complaint process in accordance with 
Sec. 865.121 of this subpart and of the right to appeal to the Board for 
the Correction of Military Records. Final notification of decisions 
shall be issued to the applicant with a copy to the counsel or 
representative, if any.
    (b) Notification to applicants with copies to counsel or 
representatives, shall normally be made through the U.S. Postal Service. 
Such notification shall consist of a notification of the decision, 
together with a copy of the decisional document.
    (c) Notification of HQ AFMPC/MPCDOAl shall be for the purpose of 
appropriate action and inclusion of review matter in the military 
records. Such notification shall bear appropriate certification of 
completeness and accuracy.
    (d) Actions on review by Secretarial Reviewing Authority, when 
occurring, shall be provided to the applicant and counsel or 
representative in the same manner as the notification of the review 
decision.



Sec. 865.116  Records of DRB proceeding.

    (a) When the proceedings in any review have been concluded, a record 
thereof will be prepared. Records may include written records, 
electromagnetic records, or a combination thereof.
    (b) At a minimum, the record will include the following:
    (1) The application for review (DD Form 293).
    (2) A record of the testimony in verbatim, summarized, or recorded 
form at the option of the DRB.
    (3) Documentary evidence or copies thereof considered by the DRB 
other than the military record.
    (4) Brief/arguments submitted by or on behalf of the applicant.
    (5) Advisory opinions considered by the DRB, if any.
    (6) The findings, conclusions, and reasons developed by the DRB.
    (7) Notification of the DRB's decision to the cognizant custodian of 
the applicant's records, or reference to the notification document.
    (8) Minority reports, if any.
    (9) A copy of the decisional document.



Sec. 865.117  Final disposition of the record of proceedings.

    The original record of proceedings and all appendices thereto shall 
in all cases be incorporated in the military record of the applicant and 
returned to the custody of the National Personnel Records Center (NPRC), 
St. Louis, Missouri. If a portion of the original record cannot be 
stored with the service record, the service record shall contain a 
notation as to the place where the record is stored.



Sec. 865.118  Availability of Discharge Review Board documents for public inspection and copying.

    (a) A copy of the decisional document prepared in accordance with 
Sec. 865.114 of this subpart, shall be made available for public 
inspection and copying promptly after a notice of final decision is sent 
to the applicant.

[[Page 174]]

    (b) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, identifying details of the applicant and other 
persons will be deleted from documents made available for public 
inspection and copying. Names, addresses, social security numbers, and 
military service numbers must be deleted. Written justification shall be 
made for all other deletions and shall be available for public 
inspection.
    (c) The DRB shall ensure that there is a means for relating a 
decisional document number to the name of the applicant to permit 
retrieval of the applicant's records when required in processing a 
complaint in accordance with Sec. 865.121 of this subpart.
    (d) Any other privileged or classified material contained in or 
appended to any documents required to be furnished the applicant and 
counsel/representative or made available for public inspection and 
copying may be deleted therefrom only if a written statement of the 
basis for the deletions is provided the applicant and counsel/
representative and made available for public inspection. It is not 
intended that the statement be so detailed as to reveal the nature of 
the withheld material.
    (e) DRB documents made available for public inspection and copying 
shall be located in the Armed Forces Discharge Review/Correction Boards 
Reading Room. The documents shall be indexed in usable and concise form 
so as to enable the public and those who represent applicants before the 
DRB to isolate from all these decisions that are indexed those cases 
that may be similar to an applicant's case and that indicate the 
circumstances under and/or reasons for which the DRB or the Secretary of 
the Air Force granted or denied relief.
    (1) The reading file index shall include, in addition to any other 
items determined by the DRB, the case number, the date, character of, 
reason for, and authority for the discharge. It shall further include 
the decisions of the DRB and reviewing authority, if any, and the issues 
addressed in the statement of findings, conclusions and reasons.
    (2) The index shall be maintained at selected permanent locations 
throughout the United States. This ensures reasonable availability to 
applicants at least 30 days before a regional board review. The index 
shall also be made available at sites selected for regional Boards for 
such periods as the DRB is present and in operation. An applicant who 
has requested a regional board review shall be advised in the notice of 
scheduled hearings.
    (3) The Armed Forces Discharge Review/Correction Board Reading Room 
shall publish indexes quarterly for the DRB. The DRB shall be 
responsible for timely submission to the Reading Room of individual case 
information required for update of indexes. These indexes shall be 
available for public inspection or purchase (or both) at the Reading 
Room. This information will be provided to applicants in the notice of 
acceptance of the application.
    (4) Correspondence relating to matters under the cognizance of the 
Reading Room (including request for purchase of indexes) shall be 
addressed to:

DA Military Review Board Agency, Attention: SFBA (Reading Room), Room 
1E520, The Pentagon, Washington DC 20310



Sec. 865.119  Privacy Act information.

    Information protected under the Privacy Act is involved in discharge 
review functions. The provisions of 32 CFR part 286a will be observed 
throughout the processing of a request for review of discharge or 
dismissal.



Sec. 865.120  Discharge review standards.

    (a) Objective of review. The objective of a discharge review is to 
examine the propriety and equity of the applicant's discharge and to 
effect changes, if necessary. The standards of review and the underlying 
factors which aid in determining whether the standards are met shall be 
historically consistent with criteria for determining honorable service. 
No factors shall be established which require automatic change or denial 
of a change in a discharge. Neither the DRB nor the Secretary of the Air 
Force shall be bound by any methodology of weighing of the factors in 
reaching a determination. In each case, the DRB or Secretary of the Air 
Force

[[Page 175]]

shall give full, fair, and impartial consideration to all applicable 
factors prior to reaching a decision. An applicant may not receive a 
less favorable discharge than that issued at the time of separation. 
This does not preclude correction of clerical errors.
    (b) Propriety. A discharge shall be deemed to be proper unless in 
the course of discharge review, it is determined that:
    (1) There exists an error of fact, law, procedures, or discretion 
associated with the discharge at the time of issuance; and that the 
rights of the applicant were prejudiced thereby (such error shall 
constitute prejudicial error, if there is substantial doubt that the 
discharge would have remained the same if the error had not been made); 
or
    (2) A change in policy by the Air Force made expressly retroactive 
to the type of discharge under consideration, requires a change in the 
discharge.
    (c) When a record associated with the discharge at the time of 
issuance involves a matter in which the primary responsibility for 
corrective action rests with another organization (for example, another 
Board, agency, or court), the DRB will recognize an error only to the 
extent that the error has been corrected by the organization with 
primary responsibility for correcting the record.
    (d) The primary function of the DRB is to exercise its discretion on 
issues of equity by reviewing the individual merits of each application 
on a case-by-case basis. Prior decisions in which the DRB exercised its 
discretion to change a discharge based on issues of equity (including 
the factors cited in such decisions or the weight given to factors in 
such decisions) do not blind the DRB in its review of subsequent cases 
because no two cases present the same issues of equity.
    (e) The following applies to applicants who received less than fully 
honorable administrative discharges because of their civilian misconduct 
while in an inactive reserve component and who were discharged or had 
their discharge reviewed on or after April 20, 1971: the DRB shall 
either recharacterize the discharge to honorable without any additional 
proceedings or additional proceedings shall be conducted in accordance 
with the Court's Order of December 3, 1981, in Wood v. Secretary of 
Defense to determine whether proper grounds exist for the issuance of a 
less than honorable discharge, taking into account that:
    (1) An Under Other Than Honorable (formerly Undesirable) Discharge 
for an inactive reservist can only be based upon civilian misconduct 
found to have affected directly the performance of military duties;
    (2) A General Discharge for an inactive reservist can only be based 
upon civilian misconduct found to have had an adverse impact on the 
overall effectiveness of the military, including military morale and 
efficiency.
    (f) The following applies to applicants who received less than fully 
honorable administrative discharges (between June 21, 1971 and March 2, 
1982) because evidence developed by or as a direct result of complusory 
urinalysis testing was introduced in the discharge proceedings. 
Applicants who believe they are members of the above category will so 
indicate this by writing ``CATEGORY W'' in block 7 of their DD Form 293. 
AFMPC/MPCDOA1 will expedite processing these applications to the 
designated ``CATEGORY W'' reviewer. For class members the designated 
reviewer shall either recharacterize the discharge to honorable without 
any additional proceedings or complete a review to determine whether 
proper ground exists for the issuance of a less than honorable 
discharge. If the applicant is determined not to be a class member, the 
application is returned to normal review procedure channels. If new 
administrative proceedings are initiated, the former service member must 
be notified of:
    (1) The basis of separation other than drug abuse or use or 
possession of drugs based upon compelled urinalysis that was specified 
in the commander's report and upon which the Air Force now seeks to base 
a less than honorable discharge.
    (2) The full complement of procedural protections that are required 
by current regulations.
    (3) Name, address and telephone number of an Area Defense Counsel 
with

[[Page 176]]

whom the former service member has a right to consult, and
    (4) The right to participate in the new proceedings to be conducted 
at the Air Force base nearest the former service member's current 
address, or to elect to maintain his or her present character of 
discharge.
    (g) Equity. A discharge shall be deemed to be equitable unless:
    (1) In the course of a discharge review, it is determined that the 
policies and procedures under which the applicant was discharged differ 
in material respects from policies and procedures currently applicable 
on a service-wide basis to discharges of the type under consideration 
provided that:
    (i) Current policies or procedures represent a substantial 
enhancement of the rights afforded an applicant in such proceedings; and
    (ii) There is substantial doubt that the applicant would have 
received the same discharge if relevant current policies and procedures 
had been available to the applicant at the time of the discharge 
proceedings under consideration.
    (2) At the time of issuance, the discharge was inconsistent with 
standards of discipline in the Air Force; or
    (3) In the course of a discharge review, it is determined that a 
change is warranted based upon consideration of the applicant's military 
record and other evidence presented to the DRB viewed in conjunction 
with the factors listed in this section and the regulations under which 
the applicant was discharged, even though the discharge was determined 
to have been otherwise equitable and proper at the time of issuance. 
Areas of consideration include, but are not limited to:
    (i) Quality of Service, as evidenced by factors such as:
    (A) Service History, including date of enlistment, period of 
enlistment, highest rank achieved, conduct or efficiency ratings 
(numerical or narrative).
    (B) Awards and decorations.
    (C) Letters of commendation or reprimand.
    (D) Combat service.
    (E) Wounds received in action.
    (F) Record of promotions and demotions.
    (G) Level of responsibility at which the applicant served.
    (H) Other acts of merit that may not have resulted in a formal 
recognition through an award or commendation.
    (I) Length of service during the period which is the subject of the 
discharge review.
    (J) Prior military service and type of discharge received or 
outstanding post-service conduct to the extent that such matters provide 
a basis for a more thorough understanding of the performance of the 
applicant during the period of service which is the subject of the 
discharge review.
    (K) Convictions by court-martial.
    (L) Record of non-judicial punishment.
    (M) Convictions by civil authorities while a member of the Air 
Force, reflected in the discharge proceedings or otherwise noted in 
military records.
    (N) Record of periods of unauthorized absence.
    (O) Records relating to a discharge in lieu of court-martial.
    (ii) Capability to Serve, as evidenced by factors such as:
    (A) Total Capabilities. This includes an evaluation of matters such 
as age, educational level, and aptitude scores. Consideration may also 
be given to whether the individual met normal military standards of 
acceptability for military service and similar indicators of an 
individual's ability to serve satisfactorily, as well as ability to 
adjust to the military service.
    (B) Family/Personal Problems. This includes matters in extenuation 
or mitigation of the reason for discharge that may have affected the 
applicant's ability to serve satisfactorily.
    (C) Arbitrary or Capricious Actions. This includes actions by 
individuals in authority which constitute a clear abuse of such 
authority and which, although not amounting to prejudicial error, may 
have contributed to the decision to discharge or to the characterization 
of service.
    (D) Discrimination. This includes unauthorized acts as documented by 
records or other evidence.

[[Page 177]]



Sec. 865.121  Complaints concerning decisional documents and index entries.

    Former members of the Air Force or their counsel or representative 
may submit complaints with respect to the decisional document issued in 
the former member's case.
    (a) All complaints should be processed in accordance with 32 CFR 
part 70 and should be forwarded to:

Assistant Secretary of Defense, Manpower, Reserve Affairs and Logistics, 
The Pentagon, Washington, DC 20331

    (b) The Air Force Discharge Review Board will respond to all 
complaints in accordance with 32 CFR part 70.



Sec. 865.122  Summary of statistics for Discharge Review Board.

    The Air Force Discharge Review Board shall prepare and provide to 
the Deputy Assistant Secretary of Defense (Military Personnel and Force 
Management) DASD(MP&FM), Office of the ASD(MRA&L), a semiannual report 
of discharge review actions in accordance with Sec. 865.125.



Sec. 865.123  Approval of exceptions to directive.

    Only the Secretary of the Air Force may authorize or approve a 
waiver of, or exception to, any part of this subpart.



Sec. 865.124  Procedures for regional hearings.

    Composition of the board for these hearings consists of three 
members from Washington with augmentation by two members from nearby 
local Air Force resources. The nearest Air Force installation or Air 
Force Reserve Unit is tasked to provide two officers to serve as members 
of the DRB. Active duty members will serve on the board as an additional 
duty. Reserve members will be on a temporary tour of active duty (TTAD) 
for the duration of the hearings. Detailed information must be provided 
to the individuals selected to serve before each hearing date. The 
administrative staff in Washington processes all cases for regional 
hearings, establishes hearing dates, and returns the records to the 
Manpower and Personnel Center at Randolph AFB, Texas, when the case is 
finalized.



Sec. 865.125  Report requirement.

    Semi-annual reports will be submitted by the 20th day of April and 
October for the preceding 6-month reporting period (1 October through 31 
March and 1 April through 30 September). The reporting period will be 
inclusive from the first through the last days of each reporting period. 
The report will contain four parts:
    (a) Part 1--Regular Cases are all those that are not included in 
part 2 below.
    (b) Part 2--Other cases include the following:
    (1) Reconsideration of President Ford's memorandum of 19 January 
1977.
    (2) Special Discharge Review Program cases.
    (3) Statutes of Limitation Cases--those heard under Pub. L. 95-126 
by waiver of 10 U.S.C. 1553.
    (c) Part 3--Total--combine parts 1 and 2.
    (d) Part 4--Cases outstanding include all those eligible cases in 
which a DD Form 293 has been received but has not been heard by the 
Discharge Review Board as the reporting date for this report. Reports 
will be prepared by the Air Force Discharge Review Board and submitted 
to the Army Discharge Review Board (executive agent for DRB matters).



Sec. 865.126  Sample report format.

                           Summary of Statistics for Air Force Discharge Review Board
                                               RCS: DD-M(SA) 1489
                                                   [FY ------]
                                               [----------------]
----------------------------------------------------------------------------------------------------------------
                                          Record review                Hearing                    Total
                                   -----------------------------------------------------------------------------
                                                    Number                    Number                    Number
                                      Applied      approved     Applied      approved     Applied      approved
----------------------------------------------------------------------------------------------------------------
                                    ...........  ...........  ...........  ...........  ...........  ...........

[[Page 178]]

 
                                    ...........  ...........  ...........  ...........  ...........  ...........
----------------------------------------------------------------------------------------------------------------
Part 1 Regular Cases.
Part 2 Other.
Part 3 Total.
Part 4 Cases Outstanding.
 
 Note: Identify numbers separately for regional DRB hearings. Use of additional footnotes to clarify or amplify
  the statistic being reported is encouraged.


[[Page 179]]



                         SUBCHAPTER H [RESERVED]





                    SUBCHAPTER I--MILITARY PERSONNEL





PART 881--DETERMINATION OF ACTIVE MILITARY SERVICE AND DISCHARGE FOR CIVILIAN OR CONTRACTUAL GROUPS--Table of Contents




Sec.
881.1  Applying for discharge.
881.2  Screening the application.
881.3  Individual Service Review Board.
881.4  Processing the application.
881.5  If an application is approved.
881.6  If an application is denied.
881.7  Discharge upgrade.
881.8  Disposition of documents.
881.9  Form prescribed.

Appendix A to Part 881--Glossary of Terms

    Authority: 38 U.S.C. 106.

    Source: 64 FR 33400, June 23, 1999, unless otherwise noted.



Sec. 881.1  Applying for discharge.

    (a) Who may apply.
    (1) You may apply for discharge if you were a member of a recognized 
group. A spouse, next of kin, or legal representative may apply on 
behalf of a deceased or mentally incompetent person. Proof of death or 
mental incompetency must accompany such an application.
    (b) Where to apply.
    (1) Send your application for discharge to the Directorate of 
Personnel Program Management, Separations Branch, HQ AFPC/DPPRS, 550 C 
Street West, Suite 11, Randolph AFB, TX 78150-4713.
    (c) How to apply.
    (1) Fill out DD Form 2168, Application for Discharge of Member or 
Survivor of Member of Group Certified to Have Performed Active Duty With 
the Armed Forces of the U.S., or write a letter.
    (2) Obtain DD Form 2168 from HQ AFPC/DPRS, 550 C Street West, Suite 
11, Randolph AFB, TX 78150-4713 or the National Personnel Records Center 
(NPRC), 9700 Page Boulevard, St. Louis, MO 63132.
    (3) Make your application as complete as possible; the burden of 
proof is on you. Provide all available evidence to document your 
membership in the group and what services you performed.
    (d) Documentation may include:
    (1) Flight logbooks.
    (2) Separation or discharge certificates.
    (3) Mission orders.
    (4) Identification cards.
    (5) Contracts.
    (6) Personnel action forms.
    (7) Employment records.
    (8) Education certificates and diplomas.
    (9) Pay vouchers.
    (10) Certificates of awards.
    (11) Casualty information.
    (e) The Air Force will not under any circumstances provide or pay 
for legal representation for you.



Sec. 881.2  Screening the applications.

    (a) HQ AFPC/DPPRS reviews your application and does one of the 
following:
    (1) Refers your application to another military department and sends 
you a written notice or a copy of the referral letter.
    (2) Returns your application without prejudice if the Secretary of 
the Air Force has not determined whether members of your group are 
certified for discharge. You may resubmit the application after the 
Secretary determines that your group is certified.
    (3) Refers applications made by a group (or individuals on behalf of 
a group) to the Secretary of the Air Force, Manpower, Reserve Affairs 
and installations, Personnel Council (AFPC), The Pentagon, Washington, 
DC 20330 for further review. This Part does not cover such applications.
    (4) Returns the application to you if it is complete.
    (5) Refers all complete applications to the Individual Service 
Review Board for further consideration.



Sec. 881.3  Individual Service Review Board.

    (a) The Commander, Headquarters Air Force Personnel Center (HQ AFPC/
CC) establishes the Individual Service Review Board as necessary.

[[Page 180]]

    (b) The Board consists of military members in grade Lieutenant 
Colonel or higher, and civilian members, grade GS-12 or higher, 
appointed by the HQ AFPC/CC. Three members constitute a quorum. The 
senior member acts as Board chairperson. A nonvoting member keeps a 
record of the Board's actions on an application.
    (c) The Directorate of Personnel Program Management, Separations 
Branch, HQ AFPC/DPPRS, 550 C Street West, Suite 11, Randolph AFB, TX 
78150-4713, provides administrative support to the Board.



Sec. 881.4  Processing the application.

    (a) Individual Service Review Board meets in closed session to 
consider the application, the evidence submitted, and other relevant 
information. Applicants or their representatives do not have the right 
to appear before the Board.
    (b) The Board:
    (1) Evaluates the evidence.
    (2) Decides whether the applicant was a member of a recognized group 
during dates of its qualification.
    (3) Decides whether to approve the application for discharge.
    (4) Determines the period and character of the applicant's service.



Sec. 881.5  If an application is approved.

    (a) If the Board approves an application for discharge and 
determines that it should be honorable, HQ AFPC/DPPRSO issues the 
applicant a DD Form 256AF, Honorable Discharge, and a DD Form 214, 
Certificate of Release or Discharge from Active Duty under AFI 36-3202, 
Separation Documents (formerly AFR 35-6).
    (b) Enter a military grade on the DD Form 214 only if the 
Administrator of Veterans' Affairs requests it.
    (c) Enter a pay grade on the DD Form 214 only for individuals who 
were killed or received service-related injuries or disease during the 
approved period of service. For proof of grade criteria, see DoD 
1000.20, Determinations of Active Military Service and Discharge 
Civilian or Contractual Personnel, section E, paragraph 3g.
    (d) If the Board approves an application for discharge but 
determines that it should be ``under honorable conditions'' (general 
discharge), it forwards the case to the Air Force Personnel Council 
(AFPC) for final decision. HQ AFPC/DPPRSO, 550 C Street West, Suite 20, 
Randolph AFB, TX 78150-4722, then issues the appropriate discharge 
certificate and a DD Form 214 to the applicant.
    (e) To appeal the characterization of a discharge, submit DD Form 
149, Application for Correction of Military Record Under the Provisions 
of Title 10, U.S.C., Section 1552, to the Secretary of the Air Force 
through the Air Force Review Boards Office (SAF/MIBR).
    (f) If the member dies or is declared missing during the period of 
equivalent active military duty, the Directorate of Casualty Matters (HQ 
AFPC/DPW) issues DD Form 1300, Report of Casualty, including military 
pay grade, to the next of kin or a designated representative, according 
to DODI 1300.18, Military Personnel Casualty Matters, Policies and 
Procedures, and AFI 36-3002, Casualty Services (formerly AFR 30-25).



Sec. 881.6  If an application is denied.

    (a) Once the Board has decided your case, HQ AFPC/DPPRS notifies 
you:
    (1) If the Board denied your application for discharge because there 
is insufficient evidence to show that you belonged to a qualifying 
group.
    (2) If the Board determines that your service cannot be 
characterized as ``under honorable conditions.''
    (b) You have 60 days from the date of this notice to submit 
additional evidence or information to HQ AFPC/DPPRS, 550 C Street West, 
Suite 11, Randolph AFB, TX 78150-4713.
    (c) If after 60 days you have submitted new evidence, the Board 
reviews the case again. If the Board determines that your application 
now merits approval, it proceeds according to paragraph (e).
    (d) If you do not submit additional evidence or if, after review, 
the Board determines that your application should be denied, it forwards 
the case to the AFPC for final decision.
    (e) HQ AFPC/DPPRS notifies you of the final decision.
    (f) If your application is denied, the Board returns it to you 
without prejudicing any later consideration.

[[Page 181]]



Sec. 881.7  Discharge upgrade.

    If you are approved for a General Discharge, you may apply to the 
Air Force Discharge Review Board for discharge upgrade under AFI 36-
3201, Air Force Discharge Review Board (formerly AFR 20-10) or to the 
Air Force Board for Correction of Military Records under AFI 36-2603, 
Air Force Board for Correction of Military Records (formerly AFR 31-3). 
SAF/MIBR provides copies of these instructions and application forms to 
individuals who received a General Discharge.



Sec. 881.8  Disposition of documents.

    (a) File a copy of the application, supporting evidence, and DD Form 
214 in the Master Personnel Records Groups maintained at the National 
Personnel Records Center, St. Louis, MO 63132, for approved cases. Send 
copies of DD Form 214 to:
    (1) The applicant.
    (2) The Veterans' Administration.
    (3) HQ AFPC/DPPRS, 550 C Street West, Suite 11, Randolph AFB, TX 
78150-4713.



Sec. 881.9  Form prescribed.

    The following form, DD Form 2168, Application for Discharge of 
Member or Survivor of Member of a Group Certified To Have Performed 
Active Duty With the Armed Forces of the U.S., is required for 
processing the stated claims.

                Appendix A to Part 881--Glossary of Terms

    Active Military Service--See 38 U.S.C. 106.
    Civilian or Contractual Group--An organization whose members 
rendered service to the U.S. Air Force or a predecessor organization 
during a period of armed conflict. In that capacity the members were 
considered civilian employees with the Armed Forces or contractors with 
the U.S. Government, providing direct support to the Armed Forces. An 
example of such a group is the Women's Air Force Service Pilots, who 
were Federal civilian employees attached to the U.S. Army Air Force 
during World War II.
    Discharge--Complete severance from the active military service. The 
discharge includes a reason and characterization of service.
    Recognized Group--A group whose service the Secretary of the Air 
Force has determined was ``active duty for the purposes of all laws 
administered by the Department of Veterans' Affairs,'' such as VA 
benefits under 38 U.S.C. 106.



PART 884--DELIVERY OF PERSONNEL TO UNITED STATES CIVILIAN AUTHORITIES FOR TRIAL--Table of Contents




Sec.
884.0  Purpose.
884.1  Authority.
884.2  Assigned responsibilities.
884.3  Placing member under restraint pending delivery.
884.4  Release on bail or recognizance.
884.5  Requests under the interstate agreement on Detainer's Act.
884.6  Requests by Federal authorities for military personnel stationed 
          within the United States and its possessions.
884.7  Requests by state and local authorities when the requested member 
          is located in that state.
884.8  Request for delivery by state authorities when the member is 
          located in a different state.
884.9  Requests for custody of members stationed outside the United 
          States.
884.10  Returning members, employees, and family members from overseas.
884.11  Procedures for return of an Air Force member to the United 
          States.
884.12  Delays in returning members to the United States.
884.13  Denials of a request for return of a member to the United 
          States.
884.14  Compliance with court orders by civilian employees and family 
          members.
884.15  Procedures involving a request by Federal or state authorities 
          for custody of an overseas civilian employee or a command-
          sponsored family member.
884.16  Reporting requests for assistance and action.
884.17  Commander's instruction letter to member.
884.18  Civilian authority's acknowledgment of transfer of custody and 
          agreement to notify member's commander.

    Authority: 10 U.S.C. 814; 10 U.S.C. 8013; Sec. 721(a), Pub. L. 100-
456, 102 Stat. 2001.

    Source: 65 FR 64348, Oct. 27, 2000, unless otherwise noted.



Sec. 884.0  Purpose.

    This part establishes procedures for making Air Force members, 
civilian personnel, and family members available to U.S. civilian 
authorities for trial or specified court appearances. It implements 32 
CFR part 146. This part does not confer any rights, benefits, 
privileges, or form of due process procedure upon any individuals.

[[Page 182]]



Sec. 884.1  Authority.

    A general court martial convening authority (GCMCA) may authorize 
delivery of a member of that command to Federal or state civil 
authorities. The GCMCA may delegate this authority to an installation or 
equivalent commander. See AFPD 51-10, Making Military Personnel, 
Employees, and Dependents Available to Civilian authorities,\1\ 
paragraphs 8 and 9 for sources of authority.
---------------------------------------------------------------------------

    \1\ Air Force publications may be obtained through NTIS, 5285 Port 
Royal Road, Springfield, VA 22161, if not available online at http://
afpubs.hq.af.mil.
---------------------------------------------------------------------------



Sec. 884.2  Assigned responsibilities.

    (a) The Under Secretary of Defense (USD), Personnel & Readiness 
(P&R), is the denial authority for all requests for return of members to 
the United States for delivery to civilian authorities when the request 
falls under Sec. 884.9(e).
    (b) The Air Force Judge Advocate General (TJAG) may approve requests 
that fall under Sec. 884.9(e) or recommend denial of such requests. TJAG 
or a designee may approve or deny:
    (1) Requests for return of members to the United States for delivery 
to civilian authorities when the request falls under Sec. 884.9(f).
    (2) Requests for delays of up to 90 days completing action on 
requests for return of members to the United States for delivery to 
civilian authorities.
    (c) The Air Force Legal Services Agency's Military Justice Division 
(HQ AFLSA/JAJM), 172 Luke Avenue, Suite 343, Bolling AFB, DC 20332-5113, 
processes requests for return of members to the United States for 
delivery to civilian authorities and notifies requesting authorities of 
decisions on requests. HQ AFLSA/JAJM completes action on requests within 
30 days after receipt of the request, unless a delay is granted; they 
send all reports and notifications to USD/P&R and to the DoD General 
Counsel (DoD/GC), as required by this part; and they handle all 
communications with requesters.



Sec. 884.3  Placing member under restraint pending delivery.

    Continue restraint only as long as is reasonably necessary to 
deliver the member to civilian authorities. See AFPD 51-10, paragraph 5. 
To determine whether probable cause exists and whether a reasonable 
belief exists that restraint is necessary, the commander should refer to 
the Manual for Courts-Martial (MCM), 1984, specifically, Rules for 
Courts-Martial (RCM) 305(h)(2)(B), and the discussion following it. The 
requirement for the formal review of restraint found in MCM 1984, RCM 
305, and AFI 51-201, Military Justice Guide,\2\ does not apply.
---------------------------------------------------------------------------

    \2\ See footnote in Sec. 884.1.
---------------------------------------------------------------------------



Sec. 884.4  Release on bail or recognizance.

    (a) Before delivering an Air Force member to a civilian authority, 
the commander or designee directs the member in writing to report to a 
designated Air Force unit, activity, or recruiting office for further 
instructions in the event the civilian authority releases the member 
(see Sec. 884.17). The commander designates the member's unit, if the 
civilian authority is in the immediate vicinity of the member's base. 
The commander advises the designated Air Force unit, activity, or 
recruiting office of the situation. Once the member has been released 
and has reported to the designated authority, it immediately sends the 
member's name, rank, Social Security number (SSN). organization, and 
other pertinent information to the member's commander, who then provides 
further instructions.
    (b) The member's commander notifies the military personnel flight 
(MPF) of the situation. In turn, the MPF provides an information copy to 
the Air Force Personnel Center (AFPC) assignment office responsible for 
the member's Air Force specialty code (AFSC), as listed in AFMAN 36-
2105, Officer Classification,\3\ or AFMAN 36-2108, Airman 
Classification. \3\ If contact cannot be made with the member's 
commander, the Air Force unit, activity, or recruiting office previously 
designated by the commander obtains instructions from HQ AFPC/DPMARS or 
DPMRPP2.
---------------------------------------------------------------------------

    \3\ See footnote in Sec. 884.1.

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

[[Page 183]]



Sec. 884.5  Requests under the interstate agreement on Detainer's Act.

    When either the prisoner or state authorities make a request under 
the Detainer's Act, follow the procedures in Title 18 U.S.C. App. 
Section 1, et seq. The Act applies only to a person who has entered upon 
a term of imprisonment in a penal or correctional institution and is, 
therefore inapplicable to members in pretrial confinement.



Sec. 884.6  Requests by Federal authorities for military personnel stationed within the United States and its possessions.

    (a) When Federal authorities request the delivery of service 
members, the Air Force will normally deliver service members when the 
request is accompanied by a warrant issued pursuant to the Federal Rules 
of Criminal Procedure, rule 4, or when a properly identified Federal 
officer represents that such a warrant has been issued.
    (b) A U.S. marshal, deputy marshal, or other officer authorized by 
law will call for and take into custody persons desired by Federal 
authorities for trial. The officer taking custody must execute a 
statement in substantially the form set out in Sec. 884.18.



Sec. 884.7  Requests by state and local authorities when the requested member is located in that state.

    (a) The Air Force normally will turn over to the civilian 
authorities of the state, upon their request. Air Force members charged 
with an offense against state or local law. Each request by such 
civilian authorities for the surrender of a member of the Air Force 
should normally be accompanied by a copy of an indictment, information, 
or other document used in the state to prefer charges, or a warrant that 
reflects the charges and is issued by a court of competent jurisdiction.
    (b) Before making delivery to civilian authorities of a state, the 
commander having authority to deliver will obtain a written agreement, 
substantially in the form of Sec. 884.18, from a duly authorized officer 
of the state.
    (c) Where the state authority cannot agree to one or more of the 
conditions set out in the form, the commander may authorize 
modification. The requirements of the agreement are substantially met 
when the state authority informs the accused's commander of the 
accused's prospective release for return to military authorities and 
when the state furnishes the accused transportation back to his or her 
station, together with necessary funds to cover incidental expenses en 
route. The accused's commander provides copies of the statement or 
agreement of this section and in Sec. 884.6(b) to the civilian authority 
to whom the member was delivered and to the Air Force unit, activity, or 
recruiting office nearest to the place of trial designated in the 
agreement as the point of contact in the event of release on bail or on 
recognizance (see Sec. 884.4). The accused's commander immediately 
notifies the civilian authority if the member has been discharged from 
the Air Force.



Sec. 884.8  Request for delivery by state authorities when the member is located in a different state.

    (a) This part applies to members who are located in the United 
States. With respect to the extradition process, Air Force personnel 
have the same status as persons not in the Armed Forces. Accordingly, if 
a state other than the state in which the member is located requests the 
delivery of a military member, in the absence of a waiver of extradition 
process by the member concerned, that state must use its normal 
extradition procedures to make arrangements to take the individual into 
custody in the state where he or she is located.
    (b) The Air Force will not transfer a military member from a base 
within one state to a base within another state for the purpose of 
making the member amenable to prosecution by civilian authorities.



Sec. 884.9  Requests for custody of members stationed outside the United States.

    (a) Authority. This section implements Pub. L. 100-456, section 
721(a), and DoD Directive 5525.9, December 27, 1988.
    (b) The Air Force expects members to comply with orders issued by 
Federal or state court of competent jurisdiction, unless noncompliance 
is legally

[[Page 184]]

justified. Air Force members who persist in noncompliance are subject to 
adverse administrative action, including separation for cause under AFI 
36-3206, Administrative Discharge Procedures, and AFI 36-3208, 
Administrative Separation of Airmen.
    (c) Air Force officials will ensure that members do not use 
assignments or officially sponsored residence outside the United States 
to avoid compliance with valid orders of Federal or state court of 
competent jurisdiction.
    (d) Noncompliance with a court order may be legally justified when 
the individual can adequately demonstrate that the conduct, which is the 
subject of the complaint or request, was sanctioned by supplemental 
court orders, equally valid court orders of other jurisdictions, good 
faith legal efforts to resist the request, or other reasons. HQ USAF/
JAG, HQ AFLSA/JACA, and Air Force legal offices in the jurisdiction 
concerned will provide legal support to servicing staff judge advocates 
who request assistance in reviewing these issues.
    (e) When Federal, state, or local authorities request delivery of an 
Air Force member stationed outside the United States who is convicted of 
or charged with a felony or other serious offense or who is sought by 
such authorities in connection with the unlawful or contemptuous taking 
of a child from the jurisdiction of a court or from the lawful custody 
of another person, the member's commander will normally expeditiously 
return the member to the United States for delivery to the requesting 
authorities.
    (1) A serious offense is defined as one punishable by confinement 
for more than 1 year under the laws of the requesting jurisdiction.
    (2) Delivery of the member is not required if the controversy can be 
resolved without returning the member to the United States or if the 
request for delivery of the member is denied in accordance with this 
instruction.
    (f) Ordinarily, do not return an Air Force member stationed outside 
the United States to the United States for delivery to civilian 
authorities if the offense is not specified in paragraph (e) of this 
section. TJAG may direct return when deemed appropriate under the facts 
and circumstances of the particular case.
    (g) Before taking action under this section, give the member the 
opportunity to provide evidence of legal efforts to resist the court 
order or process sought to be enforced or otherwise to show legitimate 
cause for noncompliance.\4\
---------------------------------------------------------------------------

    \4\ See footnote in Sec. 884.1
---------------------------------------------------------------------------



Sec. 884.10  Returning members, employees, and family members from overseas.

    The Air Force expects persons overseas wanted by Federal or state 
authorities to make themselves available to those authorities for 
disposition. If they do not, DoD Directive 5525.9, Compliance of DoD 
Members, Employees, and Family Members Outside the United States With 
Court Orders, 10 U.S.C. 814, and Pub. L. 100-456, section 721(a), 
authorize and require commanders to respond promptly to requests from 
civilian authorities for assistance in returning members, civilian 
employees, and family members from overseas.



Sec. 884.11  Procedures for return of an Air Force member to the United States.

    (a) Include the following information in a request for return of an 
Air Force member to the United States for delivery to civilian 
authorities.
    (1) Fully identify the member sought by providing the member's name, 
grade, SSN, and unit of assignment, to the extent the information is 
known.
    (2) Specify the offense for which the member is sought. If the 
member is charged with a crime, specify the maximum punishment under the 
laws of the requesting jurisdiction. Specify whether the member is 
sought in connection with the unlawful or contemptuous taking of a child 
from the jurisdiction of a court or the lawful custody of another.
    (3) Include copies of all relevant requests for assistance, 
indictments, information, or other instruments used to bring charges, 
all relevant court orders or decrees, and all arrest warrants, writs of 
attachment or capias (writs authorizing arrests), or other

[[Page 185]]

process directing or authorizing the requesting authorities to take the 
member into custody. Also, include reports of investigation and other 
materials concerning the background of the case if reasonably available.
    (4) Indicate whether the requesting authorities will secure the 
member's lawful delivery or extradition from the port of entry to the 
requesting jurisdiction, whether they will do so at their own expense, 
and whether they will notify HQ AFLSA/JAJM of the member's release from 
custody and of the ultimate disposition of the matter.
    (5) Any U.S. attorney or assistant U.S. attorney, governor or other 
duly authorized officer of a requesting state or local jurisdiction, or 
the judge, magistrate, or clerk of a court of competent jurisdiction 
must sign the request.
    (b) Civilian authorities making requests for return of members to 
the United States for delivery to them should direct their request to HQ 
AFLSA/JAJM. If another Air Force agency or official receives the 
request, immediately send it to HQ AFLSA/JAJM.
    (c) Upon receipt of a request, HQ AFLSA/JAJM promptly notifies the 
member's commander, who consults with the servicing staff judge 
advocate. The commander provides a report of relevant facts and 
circumstances and recommended disposition of the request through command 
channels to HQ AFLSA/JAJM. If the commander recommends denial of the 
request or a delay in processing or approving it, the commander provides 
the information specified in Sec. 884.12(a)(1) through (a)(4) or 
Sec. 884.13(a)(1) through (a)(4).
    (d) After proper authority has approved a request for return of a 
member to the United States for delivery to civilian authorities, HQ 
AFLSA/JAJM notifies AFPC of the decision to return the member to the 
United States. AFPC issues permanent change of station (PCS) orders, 
assigning the member to an installation as close to the requesting 
jurisdiction as possible, considering the needs of the Air Force for 
personnel in the member's rank and AFSC.
    (e) HQ AFLSA/JAJM notifies requesting authorities of the member's 
new assignment, port of entry into the United States and estimated time 
of arrival. Except during unusual circumstances, HQ AFLSA/JAJM notifies 
requesting authorities at least 10 days before the member's return.



Sec. 884.12  Delays in returning members to the United States.

    (a) On a request to return a member to the United States for 
delivery to civilian authorities. TJAG may grant a delay of not more 
than 90 days in completing action when one or more of the following are 
present:
    (1) Efforts are in progress to resolve the controversy to the 
satisfaction of the requesting authorities without the member's return 
to the United States.
    (2) Additional time is required to permit the member to provide 
satisfactory evidence of legal efforts to resist the request or to show 
legitimate cause for noncompliance.
    (3) Additional time is required to permit the commander to determine 
the specific effect of the loss of the member on command mission and 
readiness or to determine pertinent facts and circumstances relating to 
any international agreement, foreign judicial proceeding, DoD, Air 
Force, or other military department investigation or court-martial 
affecting the member.
    (4) Other unusual facts or circumstances warrant delay.
    (b) AFLSA/JAJM promptly reports all delays in cases falling under 
AFPD 51-10,\5\ paragraph 3, through SAF/GC and SAF/MI or USD/P&R and to 
DoD/GC.
---------------------------------------------------------------------------

    \5\ See footnote in Sec. 884.1.
---------------------------------------------------------------------------

    (c) Delays in excess of 90 days are not authorized in cases falling 
under AFPD 51-10, paragraph 3, unless approved by USD/P&R.



Sec. 884.13  Denials of a request for return of a member to the United States.

    (a) A request for return of a member to the United States for 
delivery to civilian authorities may be denied when:
    (1) The member's return would have an adverse impact on operational 
readiness or mission requirements.
    (2) An international agreement precludes the member's return.

[[Page 186]]

    (3) The member is the subject of foreign judicial proceedings, 
court-martial, or a DoD, Air Force, or other military department 
investigation.
    (4) The member showed satisfactory evidence of legal efforts to 
resist the request or other legitimate cause for noncompliance or when 
other unusual facts or circumstances warrant a denial.
    (b) Commanders promptly send to HQ AFLSA/JAJM information supporting 
a determination that denial may be appropriate. In cases warranting 
denial, TJAG promptly sends a recommendation and supporting 
documentation, through SAF/GC and SAF/MI, to USD/P&R for decision.
    (c) The fact that a recommendation for denial is pending does not by 
itself authorize noncompliance or a delay in compliance with any 
provision of this section, but TJAG may consider a pending request for 
denial in determining whether to grant a delay.



Sec. 884.14  Compliance with court orders by civilian employees and family members.

    (a) The Air Force expects civilian employees and family members to 
comply with orders issued by Federal or state court of competent 
jurisdiction, unless noncompliance is legally justified. Air Force 
civilian employees who persist in noncompliance are subject to adverse 
administrative action, including separation for cause as provided in AFI 
36-704, Discipline and Adverse Actions (PA).\6\
---------------------------------------------------------------------------

    \6\ See footnote in Sec. 884.1
---------------------------------------------------------------------------

    (b) Air Force officials ensure that civilian personnel and family 
members do not use assignments or officially sponsored residence outside 
the United States to avoid compliance with valid orders of Federal or 
state court of competent jurisdiction.



Sec. 884.15  Procedures involving a request by Federal or state authorities for custody of an overseas civilian employee or a command-sponsored family member.

    (a) The procedures of this section apply to civilian employees, 
including nonappropriated fund instrumentality (NAFI) employees, who are 
assigned outside the United States, and to command-sponsored family 
members residing outside the United States.
    (b) This section applies only when Air Force authorities receive a 
request for assistance from Federal, state, or local authorities 
involving noncompliance with a court order and when noncompliance is the 
subject of any of the following: An arrest warrant; indictment, 
information, or other document used in the jurisdiction to prefer 
charges; or a contempt citation involving the unlawful or contemptuous 
removal of a child from the jurisdiction of the court or the lawful 
custody of a parent or third party.
    (c) To the maximum extent possible, consistent with provisions of 
international agreements and foreign court orders, DoD and military 
department investigations, and judicial proceedings, commanders comply 
with requests for assistance. After exhausting all reasonable efforts to 
resolve the matter without the employee or family member returning to 
the United States, the commander shall strongly encourage the individual 
to comply. The commander shall consider imposing disciplinary action 
(including removal) against the employee or withdrawing command 
sponsorship of the family member, as appropriate, for failure to comply.



Sec. 884.16  Reporting requests for assistance and action.

    The commander or designee promptly reports each request for 
assistance and intended action by message. Send reports to HQ AFLSA/
JAJM, which submits required reports, through channels, to USD/P&R, HQ 
AFLSA/JAJM conducts all communications with requesters.



Sec. 884.17  Commander's instruction letter to member.

Subject: Instructions in Case of Release on Bail or Personal 
          Recognizance

    1. You are being delivered to the custody of civilian authorities, 
pursuant to the provisions of AFI 51-1001. This action does not 
constitute a discharge from the Air Force. In the event that you are 
released from civilian custody on bail or on your own recognizance, 
report immediately in person or by telephone to the (Air Force unit, 
activity, or recruiting office) for further instructions. Advise the 
commander of your name, rank,

[[Page 187]]

SSN, organization, the circumstances of your release from custody, and 
the contents of this letter.
    2. Certain restrictions may be placed upon you by civilian 
authorities in connection with your temporary release from custody. Be 
certain to include in your report what these limitations are.
    3. AFI 51-1001, paragraph 4 provides that the authority to whom you 
report will notify your commander. If that is not possible, request the 
nearest Air Force base military personnel flight to contact HQ AFPC/
DPMARS or DPMRPP2 by the fastest means available. Provide your name, 
rank, SSN, organization, and the circumstances of your release; further 
instruction will then be given to you.


[Signature Element]



Sec. 884.18  Civilian authority's acknowledgment of transfer of custody and agreement to notify member's commander.

    1. A warrant for the arrest of (name, rank, and SSN), hereinafter 
referred to as the ``member,'' and who is charged with (offenses) has 
been issued by (civilian authority) and in execution, thereof, I accept 
his or her custody.
    2. In consideration of the delivery of member at (location) to me 
for trial upon the above charge, pursuant to the authority vested in me 
as (position), I hereby agree to the following:
    a. The commander (name, rank, unit, telephone), will be advised of 
the disposition of the charges.
    b. The member will be immediately returned to the custody of the 
military upon completion of the trial, if acquitted; or upon satisfying 
the sentence imposed, if convicted; or upon other disposition of the 
case.
    c. The member's return will be to (location) or to such other place 
as may be designated by the Department of the Air Force.
    3. The member's return will not be required if the member's 
commander has indicated that return is not appropriate. Instead of 
actual delivery, transportation for the member may be arranged so long 
as it is without expense to the United States or to the member.
    4. Pending disposition of the charges, the member will remain in the 
custody of [name of agency and location], unless released on bail or the 
member's own recognizance, in which event [Air Force unit, activity, or 
recruiting office nearest place of trial] will be notified.


[Signature Element]



PART 887--ISSUING OF CERTIFICATES IN LIEU OF LOST OR DESTROYED CERTIFICATES OF SEPARATION--Table of Contents




Sec.
887.0  Purpose.
887.1  Explanation of terms.
887.2  Safeguarding certificates.
887.3  Persons authorized CILs.
887.4  Requesting CILs.
887.5  Issuing CILs.
887.6  Who must sign CILs.
887.7  Persons separated under other than honorable conditions 
          (undesirable or bad conduct) or dishonorable discharge.
887.8  Where to apply for certificates.
887.9  Furnishing photocopies of documents.

    Authority: 10 U.S.C. 1041.

    Source: 53 FR 876, Jan. 14, 1988, unless otherwise noted.



Sec. 887.0  Purpose.

    This part tells who may apply for a certificate in lieu of a lost or 
destroyed certificate of separation. It explains where and how to apply. 
It implements 10 U.S.C. 1041 and DOD Instruction 1332.13, December 23, 
1968. This publication applies to ANG and USAFR members. It authorizes 
collection of information protected by the Privacy Act of 1974. The 
authority to collect the information is title 10, U.S.C. 8912 and 
Executive Order 9397. Each form used to collect personal information has 
an associated Privacy Act Statement that will be given to the individual 
before information is collected. System of records notice F035 AF MP C, 
Military Personnel Records System, applies.



Sec. 887.1  Explanation of terms.

    (a) Certificate in lieu (CIL). A certificate issued in lieu of a 
lost or destroyed certificate of service, discharge, or retirement.
    (b) Service person. One who:
    (1) Is currently serving as a member of the Air Force; or
    (2) Formerly served in the active military service as a member of 
the Air Force and all military affiliation was terminated after 
September 25, 1947.
    (c) Surviving spouse. A survivor who was legally married to a member 
of the service at the time of the member's death.

[[Page 188]]

    (d) Guardian. A person or group of persons legally placed in charge 
of the affairs of a service member adjudicated mentally incompetent.



Sec. 887.2  Safeguarding certificates.

    Certificates of separation are important personal documents. 
Processing applications for CILs is costly to the Air Force. To keep 
requests for CILs at a minimum:
    (a) Personnel officers will tell members of the importance of 
safeguarding the original certificates.
    (b) Persons who issue CILs will type or stamp across the lower 
margin ``THIS IS AN IMPORTANT RECORD--SAFEGUARD IT'' (if it is not 
printed on the certificate).
    Note: Do not show this legend on DD Form 363AF, Certificate of 
Retirement.



Sec. 887.3  Persons authorized CILs.

    CILs may be issued only to:
    (a) A service member whose character of service was honorable or 
under honorable conditions.
    (b) A surviving spouse.
    (c) A guardian, when a duly certified or otherwise authenticated 
copy of the court order of appointment is sent with the application.



Sec. 887.4  Requesting CILs.

    (a) Standard Form 180 (SF 180), Request Pertaining to Military 
Records, should be used by persons who had service as shown in 
Sec. 887.3(a). However, a letter request, with sufficient identifying 
data and proof that the original certificate of separation was lost or 
destroyed, may be used. Members on active duty will forward their 
applications through their unit commander.
    (b) SF 180, or any similar form used by agencies outside the 
Department of Defense, will be used by persons shown in Sec. 887.3(b), 
(c), and Sec. 887.7.
    Note: Persons authorized CILs may be assisted in their request by 
the Customer Service Unit (DPMAC) in the consolidated base personnel 
office.



Sec. 887.5  Issuing CILs.

    The issuing authority makes sure that the proper CIL form is issued, 
particularly if the service member has had service in both the Army and 
Air Force. The assignment status as of September 26, 1947 determines if 
the person was in the Army or Air Force at the time of discharge or 
release from active duty. Separations that took place on or before 
September 25, 1947 are considered Army separations. Those that took 
place on or after September 26, 1947 are considered Air Force 
separations, unless the records clearly show the person actually served 
as a member of the Army during the period of service for which the CIL 
is requested. Individuals indicated in Sec. 887.3 may be issued CILs 
prepared on one of the following forms:
    (a) DD Form 303AF, Certificate in Lieu of Lost or Destroyed 
Discharge, is used to replace any lost or destroyed certificate of 
discharge from the Air Force.
    (b) DD Form 363AF, Certificate of Retirement, is used to replace any 
lost or destroyed certificate of retirement from the Air Force (issued 
only to service members).
    (c) AF Form 386, Certificate in Lieu of Lost or Destroyed Discharge 
(AUS), is used to replace any lost or destroyed certificate of discharge 
from the Army.
    (d) AF Form 681, Certificate in Lieu of Lost or Destroyed 
Certificate of Service (AUS), is used to replace any lost or destroyed 
certificate of service, or like form, issued on release from extended 
active duty (EAD) in the Army.
    (e) AF Form 682, Certificate in Lieu of Lost or Destroyed 
Certificate of Service (USAF), is used to replace any lost or destroyed 
certificate of service, or like form, issued on release from EAD in the 
Air Force.



Sec. 887.6  Who must sign CILs.

    (a) DD Form 363AF must be signed by a general officer or colonel.
    (b) All other CILs must be signed by a commissioned officer, NCO in 
grade of master sergeant or above, or a civilian in grade GS-7 or above.



Sec. 887.7  Persons separated under other than honorable conditions (undesirable or bad conduct) or dishonorable discharge.

    Those persons whose character of service was under other than 
honorable conditions or dishonorable are not eligible for CILs. However, 
an official photocopy of the report of separation

[[Page 189]]

or certificate of discharge (DD Form 214, Certificate of Release or 
Discharge From Active Duty, or equivalent form), if available, may be 
sent on written request of the member.
    (a) On the DD Forms 214 issued before October 1, 1979, the following 
items will be masked out before a photocopy is sent out:
    (1) Specific authority for separation.
    (2) Narrative reason for separation.
    (3) Reenlistment eligibility code.
    (4) SPD or separation designation number (SDN).
    (b) For DD Forms 214 issued after October 1, 1979, send one copy 
with the Special Additional Information Section, and one copy without 
it.
    (c) If a report of separation is not available, furnish a brief 
official statement of military service. Use the letterhead stationery of 
the issuing records custodian. File copy of the statement in the master 
personnel record (MPerR).
    (d) If (obsolete form) DD Form 258AF, Undesirable Discharge 
Certificate, has been issued, it may be replaced with DD Form 794AF, 
Discharge Under Other Than Honorable Conditions.
    (e) A $4.25 fee may be charged for issuing a document under this 
section, with the exception of paragraph (d) of this section.



Sec. 887.8  Where to apply for certificates.

    (a) For DD Form 363AF: Headquarters, Air Force Military Personnel 
Center, Officer Actions Branch (HQ AFMPC/DPMD00), Randolph AFB TX 78150-
6001, for officers; and Headquarters, Air Force Military Personnel 
Center, Analysis and Certification Section (HQ AFMPC/DPMD0A2), Randolph 
AFB TX 78150-6001, for enlisted members. Applicants must attach a copy 
of the retirement order to SF 180 or letter.
    (b) All other certificates:
    (1) HQ AFMPC/DPMD00 for officers, and HQ AFMPC/DPMD0A2, for enlisted 
members, Randolph AFB TX 78150-6001 for:
    (i) Members on EAD or on the temporary disability retired list 
(TDRL).
    (ii) General officers in retired pay status.
    (2) National Personnel Records Center, Military Personnel Records--
Air Force (NPRC/MPR-AF), 9700 Page Boulevard, St. Louis MO 63132, for 
officers and enlisted members:
    (i) Completely separated from the Air Force or Air National Guard.
    (ii) In a retired pay status, except general officers.
    (iii) In the retired Reserve who cannot become eligible for retired 
pay.
    (3) Headquarters, Air Reserve Personnel Center, Reference Services 
Branch (HQ ARPC/DSMR), Denver CO 80280-5000, for Air National Guard and 
Air Force Reserve officers and enlisted members not on EAD, including 
retired Reserve who will be eligible for retired pay at age 60.



Sec. 887.9  Furnishing photocopies of documents.

    This part does not prohibit authorities (see Sec. 887.8) from 
supplying photocopies of certificates of service, reports of separation, 
or similar documents. Agencies that provide copies of DD Form 214 (or 
their equivalent) will conspicuously affix an ``official'' seal or stamp 
on them to indicate that these documents are copies made from official 
United States Air Force military personnel records.

                        PARTS 888-888g [RESERVED]

[[Page 190]]



               SUBCHAPTER J--CIVILIAN PERSONNEL [RESERVED]





               SUBCHAPTER K--MILITARY TRAINING AND SCHOOLS





PART 901--APPOINTMENT TO THE UNITED STATES AIR FORCE ACADEMY--Table of Contents




Sec.
901.0  Purpose.

            Subpart A--Appointment Policies and Requirements

901.1  General policy.
901.2  Appointments and nominations.
901.3  Categories of nominations for appointment.
901.4  Basic eligibility requirements.
901.5  Academic examination requirements.
901.6  Candidate fitness test requirement.

            Subpart B--Nomination Procedures and Requirements

901.7  Precandidate evaluation.
901.8  Congressional and U.S. Possessions categories.
901.9  Vice-Presidential category.
901.10  Presidential category.
901.11  Children of deceased or disabled veterans and children of 
          military or civilian personnel in a missing status category.
901.12  Honor military and honor Naval schools--AFROTC and AFJROTC 
          category.
901.13  Children of Medal of Honor recipients category.
901.14  Regular airmen category.
901.15  Reserve airmen category.
901.16  Superintendent category.
901.17  Foreign students category.
901.18  Appointment vacancy selection.
901.19  Qualified alternate selection.
901.20  Notice of nomination.
901.21  Notification of selection or nonselection.
901.22  Notification of change of address or station assignment.
901.23  Filling Presidential and airmen nominating categories.
901.24  Supply of forms.
901.25  Obligation of cadet appointment.
901.26  Cadet's oath of allegiance.
901.27  Charging of appointees.
901.28  OMB approval of information collection requirements.

    Authority: 10 U.S.C., Chapter 903, and 10 U.S.C. 8012, except as 
otherwise noted.

    Source: 51 FR 23221, June 26, 1986, unless otherwise noted.
    Note: This part is derived from Air Force Regulation 53-10, October 
22, 1985.

    Part 806 of this chapter states the basic policies and instructions 
governing the disclosure of records and tells members of the public what 
they must do to inspect or obtain copies of the material referenced 
herein.



Sec. 901.0  Purpose.

    This part tells civilian and enlisted personnel (including Air Force 
Reserve and National Guard) the methods of applying and the requirements 
and procedures for appointing young men and women to the United States 
Air Force Academy.
    Note: This part is affected by the Privacy Act of 1974. The systems 
of records prescribed in this part are authorized by 10 U.S.C., chapter 
903; and 10 U.S.C. 8012. Each form that is subject to the provisions of 
part 806b.5 of this chapter, and is required by this part, contains a 
Privacy Act Statement either incorporated in the body of the document or 
in a separate statement accompanying each such document.



            Subpart A--Appointment Policies and Requirements



Sec. 901.1  General policy.

    Appointments as U.S. Air Force Academy cadets are offered to those 
candidates having the strongest potential to become successful career 
officers. Offers of appointment are made according to the law and 
guidance provided by HQ USAF to most effectively accomplish the 
Academy's mission. All candidates are appointed as cadets under the 
authority of the President; however, an appointment is conditional until 
the candidate is admitted.



Sec. 901.2  Appointments and nominations.

    Appointments and nominations are based on statutory authority 
contained in 10 U.S.C., chapter 903. Specific authorities may nominate 
eligible applicants for appointment vacancies at the Academy. Each 
applicant must obtain a nomination to receive an appointment. Applicants 
may apply for a nomination in each category in which they are eligible.

[[Page 191]]



Sec. 901.3  Categories of nominations for appointment.

    All appointees must have a nomination in at least one of the 
following categories:
    (a) Congressional and U.S. Possessions categories include the 
following nominating authorities:
    (1) U.S. Senators and Representatives.
    (2) Delegates in Congress from the District of Columbia, Guam, 
Virgin Islands, and American Samoa.
    (3) Resident Commissioner of Puerto Rico.
    (4) Governor of Puerto Rico.
    (5) Administrator of the Panama Canal Commission.
    (b) Vice-Presidential category.
    (c) Presidential competitive category.
    (d) Children of deceased or disabled veterans and children of 
military or civilian personnel in missing status competitive category.
    (e) Honor military and honor Naval schools, Air Force Reserve 
Officers' Training Corps (AFROTC), and Air Force Junior Reserve 
Officers' Training Corps (AFJROTC) competitive category.
    (f) Children of Medal of Honor recipients category.
    (g) Air Force enlisted regular competitive category.
    (h) Air Force enlisted reserve competitive category.
    (i) Superintendent competitive category.
    (j) Foreign students competitive category (40 foreign persons 
designated to receive instruction under 10 U.S.C 9344).



Sec. 901.4  Basic eligibility requirements.

    Each applicant must meet the following eligibility requirements:
    (a) Age. Applicants must be at least 17, and not have passed their 
22nd birthday on July 1 of the year of entry into the Academy.
    (b) Citizenship. Except for students sponsored by foreign 
governments under 10 U.S.C. 9344, applicants must be citizens or 
nationals of the United States. All incoming cadets must verify 
citizenship status before admission:
    (1) For American-born citizens, certified birth certificate 
presented to the Director of Admissions (USAFA/RRS), U.S. Air Force 
Academy, Colorado Springs CO 80840-5651 before administration of oath of 
appointment.
    (2) Foreign cadets must present certified copies of certificates of 
arrival and nationalization or citizenship to USAFA/RRS before 
administration of oath of appointment.
    Note: Facsimiles, copies, photographs or otherwise of birth 
certificate or certificate of citizenship will not be accepted unless 
properly certified by the raised seal of the issuing authority.
    (c) Domicile. If nominated by an authority designated in the 
Congressional and U.S. Possessions categories, the applicant must be 
domiciled within the constituency of such authority.
    (d) Exemplary standards. Applicants must be of highest moral 
character, personal conduct, and integrity. The Academy requires 
applicants to explain or clarify any of the circumstances below. For any 
military applicant or nominee whose official records indicate 
questionable background, commanders furnish the applicable information 
to USAFA/RRS.
    (1) Applicant is or has been a conscientious objector. In this case, 
an affidavit is required stating that such beliefs and principles have 
been abandoned so far as they pertain to willingness to bear arms and 
give full and unqualified military service to the United States.
    (2) Any facts that indicate the applicant's appointment may not be 
consistent with the interests of national security.
    (3) Conviction by court-martial of other than a ``minor offense'' 
(MCM, 1984, part V, paragraph 1e, page V-1) or conviction of a felony in 
a civilian court.
    (4) Elimination from any officer training program or any preparatory 
school of the Army, Navy, or Air Force Academies for military 
inaptitude, indifference, or undesirable traits of character. This 
includes any person who resigned in lieu of impending charges or who was 
eliminated by official action.
    (5) Habitual alcohol misuse or drug abuse which exceeds the 
standards of AFR 30-2 is disqualifying.

[[Page 192]]

    (6) Any behavior, activity, or association showing the applicant's 
conduct is incompatible with exemplary standards of personal conduct, 
moral character, and integrity.
    (e) Marital status. Applicant must be unmarried. (Any cadet who 
marries is disenrolled from the Academy.)
    (f) Dependents. Applicant must not have a legal obligation to 
support a child, children, or any other person.
    Note: For the purpose of this regulation, children are defined as 
the natural children of a parent and adopted children whose adoption 
proceedings were initiated before their 15th birthday.
    (g) Medical requirements for admission. Before being admitted to the 
academy, candidates must take a medical examination and meet the medical 
standards outlined in AFRs 160-13 and 160-43. All candidates must meet 
the medical standards specified by the Secretary of the Air Force. 
Waivers may be granted by the Air Force Academy Command Surgeon. As 
specified by HQ USAF, most of the candidates admitted to the Academy 
must meet the eligibility standards for flying training.



Sec. 901.5  Academic examination requirements.

    Before being offered an appointment, candidates must take either the 
College Board Admission Testing Program (ATP) or the American College 
Testing Program (ACT) test.
    (a) ATP. A candidate who elects to use the ATP tests must take the 
Scholastic Aptitude Tests (SAT). The candidate is encouraged but not 
required to take achievement tests of English Composition and Level 1 
(Standard) Mathematics or Level II (Intensive) Mathematics. (Level 1 
recommended for candidates without advanced high school mathematics.)
    (b) ACT. Candidates who elect to use the ACT tests must take the 
complete battery of tests: English, mathematics, social studies, and 
natural sciences.



Sec. 901.6  Candidate fitness test requirement.

    Before being offered an appointment, candidates must take a 
Candidate Fitness Test (CFT) which consists of exercises designed to 
measure muscular strength, coordination, and aerobic power. Waivers to 
the CFT requirement may be granted by the Air Force Academy Director of 
Athletics if a candidate's participation in high school athletics 
conflicts with test administration dates and the candidate clearly 
demonstrates an acceptable level of physical fitness.



            Subpart B--Nomination Procedures and Requirements



Sec. 901.7  Precandidate evaluation.

    The Air Force Academy conducts a precandidate evaluation program as 
an initial step in the admissions process and as an aid to Members of 
Congress in screening their applicants for nomination.
    (a) Applicants normally are sent a precandidate packet, including 
USAFA Form 149, Precandidate Questionnaire, with a request for the 
applicant to provide academic, athletic, leadership, and medical 
information.
    (b) The Academy evaluates the precandidate information and provides 
an analysis to appropriate congressional offices. Such information gives 
the nominating authorities an indication of the applicant's potential to 
qualify for admission and the applicant's self-reported medical status; 
it does not, however, reflect the applicant's final admission status. It 
is intended only to aid in selecting the best-qualified applicants for 
nomination.
    (c) Applicants whose evaluation indicates they are fully qualified 
will be notified and advised to seek a nomination. Individuals whose 
evaluations reflect areas needing improvement are informed and 
encouraged to submit additional test scores or information in an effort 
to meet the qualifying levels.



Sec. 901.8  Congressional and U.S. Possessions categories.

    Individuals who meet the basic eligibility requirements of 
Sec. 901.4 may apply for a nomination according to their domicile 
(permanent legal residence).
    (a) U.S. Senators, U.S. Representatives, the District of Columbia 
Delegate to the House of Representatives, and the Resident Commissioner 
of Puerto Rico are each authorized a quota of five cadets attending the 
Academy at any one time. If a vacancy

[[Page 193]]

occurs in their quota, each may nominate ten candidates to fill each 
vacancy.
    (b) Delegates in Congress from Guam and from the Virgin Islands are 
each authorized a quota of two cadets attending the Academy at any one 
time. If a vacancy occurs in their quota, each may make ten nominations. 
Eligible residents may apply for a nomination directly to their 
Delegate.
    (c) The Governor of Puerto Rico, the Delegate from American Samoa, 
and the Panama Canal Commission Administrator may each have one cadet 
attending the Academy and each may nominate ten candidates to fill their 
vacancy.
    (1) Applicants domiciled in and natives of Puerto Rico may apply to 
the Governor of Puero Rico in addition to the Resident Commissioner.
    (2) Applicants domiciled in American Samoa may apply to their 
Delegate.
    (3) Children of civilian personnel of the U.S. Government residing 
in the Republic of Panama who are citizens of the United States may 
apply to the Panama Canal Commission Administrator.
    (d) Nominating authorities in these categories normally submit their 
nominations by January 31 for the class entering the following summer.
    (1) These nominating authorities may nominate only if a vacancy 
occurs from their authorized quota of cadets attending the Academy. 
Vacancies normally occur from graduation or separation of cadets from 
the Academy. Failure of a member of a graduating class to complete the 
Academy program with his class does not delay the admission of his or 
her successor. HQ USAF/DPPA maintains the master records of cadets 
nominated and appointed, determines vacancies in each nominating 
authority's quota, and validates nominations submitted by each 
nominating authority.
    (2) These nominating authorities forward their nominations on DD 
Form 1870, Nomination for Appointment to the U.S. Military Academy, 
Naval Academy, or Air Force Academy, for each Air Force Academy nominee 
through HQ USAF/DPPA, Washington, DC 20330-5060, to USAFA/RRS, USAF 
Academy, Colorado Springs, CO 80840-5651.



Sec. 901.9  Vice-Presidential category.

    The Vice President of the United States nominates from the United 
States at large, and is authorized a quota of five cadets attending the 
Academy at any one time. For each vacancy occurring in the quota, ten 
individuals may be nominated to fill the vacancy. Requests for a 
nomination are submitted directly to the Vice President no later than 
October 31. Any individual who meets the basic eligibility requirements 
of Sec. 901.4 may apply to the Vice President for a nomination. The Vice 
President forwards nominations on DD Form 1870 for each Air Force 
Academy nominee through HQ USAF/DPPA, Washington, DC 20330-5060, to 
USAFA/RRS, USAF Academy, Colorado Springs, CO 80840-5651.



Sec. 901.10  Presidential category.

    Appointments to fill vacancies from this category are made from 
candidates in order of merit. One hundred appointments are authorized 
each year.
    (a) The child of a Regular or Reserve member of the Armed Forces of 
the United States is eligible for nomination if:
    (1) The parent is on active duty and has completed 8 years of 
continuous active duty service (other than for training) by July 1 of 
the year that the candidate would enter the U.S. Air Force Academy; or
    (2) The parent was retired with pay or was granted retired or 
retainer pay (children of reservists retired and receiving pay pursuant 
to 10 U.S.C., chapter 67, are ineligible); or
    (3) The parent died after retiring with pay or died after being 
granted retired or retainer pay (children of such reservists who were 
retired and receiving pay pursuant to 10 U.S.C., chapter 67, are 
ineligible); and
    (4) The applicant does not meet the eligibility requirements for the 
Children of Deceased or Disabled Veterans (CODDV) nomination category. 
(By law, a person eligible for appointment consideration under the DOCCV 
category is not a candidate in the Presidential category.)

[[Page 194]]

    (b) An eligible individual applies to USAFA/RRS, U.S. Air Force 
Academy, Colorado Springs, CO 80840-5651. A suggested letter format is 
included in the precandidate packet. The nominating period opens on May 
1 and closes January 31. Applicants do not write directly to the 
President of the United States, since the applications are processed by 
the Air Force Academy.
    Note: For the purpose of this category, children are defined as the 
natural children of a parent and adopted children whose adoption 
proceedings were initiated before their 15th birthday.



Sec. 901.11  Children of deceased or disabled veterans and children of military or civilian personnel in a missing status category.

    Appointments to fill vacancies from this competitive category are 
made from candidates in order of merit. Appointments authorized in this 
category are limited to 65 cadets at the Academy at any one time.
    (a) The child of a deceased or disabled member of the Armed Forces 
of the United States is eligible for nomination if:
    (1) The parent was killed in action or died of wounds or injuries 
received or diseases contracted while in active service or of 
preexisting injury or disease aggravated by active service; or
    (2) The parent has a permanent service-connected disability rated at 
not less than 100 percent resulting from wounds or injuries received or 
diseases contracted while in active service, or of preexisting injury or 
disease aggravated by active service.
    (b) The child of a parent who is in ``missing status'' is eligible 
if the parent is a member of the Armed Services or a civilian employee 
in active government service who is officially carried or determined to 
be absent in a status of missing; missing in action; interned in a 
foreign country; captured, beleaguered, or beseiged by a hostile force; 
or detained in a foreign country against the person's will.
    (c) To request a nomination in this category, an individual submits 
an application to USAFA/RRS between May 1 and January 31. A suggested 
letter format is included in the precandidate packet.
    Note: For the purpose of this category, children are defined as the 
natural children of a parent and adopted children whose adoption 
proceedings were initiated before the 15th birthday.



Sec. 901.12  Honor military and honor Naval schools--AFROTC and AFJROTC category.

    Appointments to fill vacancies from this competitive category are 
made from candidates in order of merit. Twenty appointments are 
authorized each year.
    (a) Honor military and honor Naval schools:
    (1) Five honor graduates, or prospective honor graduates, from each 
designated honor military and honor naval school may be nominated to 
fill the vacancies allocated to this category. School authorities must 
certify that each nominee is a prospective honor graduate or an honor 
graduate, and meets the basic eligibility requirements.
    (2) School authorities submit nominees directly to the Academy 
(USAFA/RRS) using specific nomination forms. Such nominations are 
submitted no later than January 31 of the entry year. Nominations are 
not limited to honor graduates of the current year. An individual 
eligible for nomination in this category applies to the administrative 
authority of the school involved.
    (b) AFROTC and AFJROTC:
    (1) Five students from each college or university AFROTC detachment 
may be nominated to compete for the vacancies allocated in this 
category.
    (i) Students must apply for nomination to the Professor of Aerospace 
Studies (PAS) who must certify that the applicants meet the basic 
eligibility requirements and have or will have satisfactorily completed 
at least 1 year of scholastic work at the time the class for which they 
are applying enters the Academy.
    (ii) The PAS uses the forms provided by the Academy to recommend for 
nomination the five best-qualified applicants to the president of the 
educational institution in which the AFROTC detachment is established.

[[Page 195]]

    (iii) Nominations from the president of the institution are 
submitted directly to the Academy (USAFA/RRS) by January 31 of the entry 
year.
    (2) Five students from each high school AFJROTC detachment may be 
nominated to compete for the vacancies allocated to this category.
    (i) Students must apply for nomination to the Aerospace Science 
Instructor, who must certify that the applicants meet the basic 
eligibility requirements and have or will have successfully completed 
the prescribed AFJROTC program by the end of the school year.
    (ii) The Aerospace Science Instructor uses the nomination forms 
provided by the Academy to recommend for nomination the five best-
qualified applicants to the principal of the high school in which the 
AFJROTC detachment is established.
    (iii) Nominations from the principal of the high school are 
submitted directly to the Academy by January 31 of the entry year.



Sec. 901.13  Children of Medal of Honor recipients category.

    (a) The child of any Medal of Honor recipient who served in any 
branch of the Armed Forces may apply for nomination. If applicants meet 
the eligibility criteria and qualify on the entrance examinations, they 
are admitted to the Academy. Appointments from this category are not 
limited.
    (b) The applicant applies directly to the Academy requesting a 
nomination in this category. The nominating period opens on May 1 and 
closes January 31. A suggested letter format is included in the 
precandidate packet.
    Note: For the purpose of this category, children are defined as the 
natural children of a parent and adopted children whose adoption 
proceedings were initiated before their 15th birthday.



Sec. 901.14  Regular airmen category.

    Appointments to fill vacancies from this competitive category are 
made from candidates in order of merit. A total of 85 appointments are 
authorized from this category each year. Applications must be submitted 
no later than January 31 of the entry year.
    (a) Any enlisted member of the Regular component of the Air Force 
may apply for nomination. Selectees must be in active duty enlisted 
status when appointed as cadets.
    (b) Regular category applicants must arrange to have their high 
school transcripts submitted to USAFA/RRS. They must also complete AF 
Form 1786, ``Application for Appointment to the United States Air Force 
Academy Under Quota Allotted to Enlisted Members of the Regular and 
Reserve Components of the Air Force,'' and submit it to their 
organization commander who:
    (1) Determines if the applicant meets the basic eligibility 
requirements shown in Sec. 901.4 of this part. If disqualified, the 
application is returned and the applicant is informed of the reason.
    (2) Advises the Consolidated Base Personnel Office (CBPO) to hold 
any reassignment action of the airman pending selection for an 
appointment. The CBPO places the airman in assignment availability code 
(AAC) 05 and coordinates on AF Form 1786. Applicants not selected are 
reassigned on Academy notification to the CBPO. Applicants to technical 
school follow-on training (if there is any) or PCS to their end 
assignment also are reassigned. The initial application package from the 
technical training center CBPO to USAFA/RRS includes the following 
information on all pipe-line students: name, SSN, AFSC, course 
graduation date, follow-on training, and end assignment.
    (3) Completes an indorsement and forwards AF Form 1786 through the 
CBPO to USAFA/RRS, USAF Academy, Colorado Springs CO 80840-5651. The 
commander's indorsement must include a comprehensive statement of the 
applicant's character, ability, and motivation to become a career 
officer. Statements in the application regarding component, length of 
service, and date of birth must be verified from official records.



Sec. 901.15  Reserve airmen category.

    Appointments to fill vacancies from this competitive category are 
made from candidates in order of merit. A total of 85 appointments are 
authorized from this category each year. Applications must be submitted 
no later than January 31 of the entry year.

[[Page 196]]

    (a) Any enlisted member of the Air Force Reserve or the Air National 
Guard of the United States (ANGUS) may apply for nomination.
    (b) A Reserve commissioned officer who satisfactorily completes 1 
year of service in an active Reserve assignment by July 1 of the year in 
which admission is sought may apply for vacancies in this category. 
(Reserve commissioned officer on extended active duty (EAD) may apply 
for vacancies in the Regular competitive category.) If selected, such 
candidates must have commissioned officer status terminated and be in 
the enlisted Air Force Reserve before appointment as Air Force Academy 
cadets. Cadets in this category who are separated from the Air Force 
Academy without prejudice and under honorable conditions may apply for 
reappointment as Reserve commissioned officers.
    (c) Reserve category applicants must arrange to have their high 
school transcripts submitted to USAFA/RRS, complete AF Form 1786, and 
submit it to their organization commander. The organization commander 
processes the application as outlined in Sec. 901.14(b). A Reserve 
applicant is not placed on active duty to be processed for nomination or 
appointment to the Air Force Academy.
    (d) Reserve airmen on EAD as a result of an honor suspension from 
the Air Force Academy Cadet Wing must reapply for admission under the 
procedures specified in Sec. 901.14(b). Additionally, the AF Form 1786 
which they submit must be endorsed by their wing commander, as well as 
their squadron commander, and must make specific recommendations about 
their potential to conform to Cadet Honor Code standards.



Sec. 901.16  Superintendent category.

    Fifty eligible applicants who have not secured a nomination to the 
Academy from any other nominating authority may be nominated by the 
Superintendent. Highly qualified applicants are selected for nomination 
from the nationwide precandidate program by the Academy. Appointments 
from this category are made in order of merit from the nationwide pool 
of qualified alternates to fill the class.



Sec. 901.17  Foreign students category.

    (a) The Academy is authorized to provide instruction to as many as 
40 foreign persons at any one time. Foreign citizens must apply to the 
government of their own country. Coordination with the U.S. Embassy is 
necessary to ensure all admission and appointment requirements are met. 
HQ USAF/DPPA effects necessary consultation before nomination 
invitations are forwarded to each country.
    (b) The application must contain complete particulars about the 
applicant's background and must be submitted as early as possible. 
Nominations from this category must be received by the Academy by 
December 31 before their desired summer admission. Applicants in these 
categories must meet the eligibility and admissions requirements 
established for all Academy candidates, except the requirement to be a 
U.S. citizen, and they must be able to read, write, and speak English 
proficiently.



Sec. 901.18  Appointment vacancy selection.

    To fill a vacancy in the Vice-Presidential quota or in the quota of 
a nominating authority in the congressional and U.S. Possessions 
categories, selections for appointment offers are made according to the 
following nomination methods.
    (a) The principal numbered-alternate method. The nominating 
authority indicates his or her personal preference by designating a 
principal nominee and listing nine numbered alternate nominees in order 
of preference, and the appointment is offered to the first fully 
qualified nominee.
    (b) The principal competitive-alternate method. The nominating 
authority designates his or her principal nominee and names up to nine 
other nominees who are evaluated by the Academy and ranked behind the 
principal nominee in order of merit. If the principal nominee is fully 
qualified, that individual is offered the appointment; otherwise, the 
fully qualified nominee ranked the highest by the Academy is offered the 
appointment.
    (c) The competitive method. At the request of the nominating 
authority, the Academy evaluates the records of all

[[Page 197]]

the nominees and ranks them in order of merit. The fully qualified 
nominee ranked the highest by the Academy is offered the appointment.



Sec. 901.19  Qualified alternate selection.

    Fully qualified candidates not offered appointments in their 
nominating category are placed in a nationwide pool of qualified 
alternates. To bring the Cadet Wing up to full strength, additional 
appointments are selected from this pool in order of merit. The first 
150 additional appointments are of individuals having nominations from 
Members of Congress. Thereafter, three of every four additional 
appointments are of individuals having nominations from the Vice 
President, Members of Congress, Delegates to Congress (from the District 
of Columbia, Virgin Islands, and Guam), Governor of Puerto Rico, 
Resident Commissioner of Puerto Rico, or Administrator of Panama Canal 
Commission.



Sec. 901.20  Notice of nomination.

    The Director of Admissions (USAFA/RRS) acknowledges receipt of all 
applicants' nominations. If not previously received, USAFA/RRS forwards 
a precandidate questionnaire for completion. If the precandidate 
questionnaire indicates the potential to qualify for admission to the 
Academy or the Preparatory School, USAFA/RRS sends the individual a 
candidate kit which includes: USAFA Form 146, AFA Candidate Personal 
Data Record; USAFA Form 147, AFA Candidate Activities Record; and USAFA 
Form 148, AFA Request for Secondary School Transcript; AF Form 2030, 
Drug Abuse Certificate; and complete processing instructions.



Sec. 901.21  Notification of selection or nonselection.

    (a) Notification of candidates selected for appointment are 
furnished by USAFA/RRS to HQ USAF/DPPA. HQ USAF/DPPA notifies Members of 
Congress and the Vice President of offers of appointment. After HQ USAF/
DPPA notifies the nominating sources and advises USAFA/RRS that 
notification has been completed, USAFA/RRS notifies each appointee 
(civilian, Regular or Reserve service member) by letter, enclosing an 
acceptance or declination statement form. On receipt of an acceptance 
statement for each unconditional offer of appointment, USAFA/RRS 
forwards the completed candidate file to Cadet Examinations and Records 
(USAFA/RR). Conditional offers of appointment that have been accepted 
are held by USAFA/RRS until the conditional factor is resolved--medical 
status cleared, satisfactory preparatory school or college transcript 
received, proof of citizenship provided, etc. HQ USAF/DPPA is notified 
of removal of conditional status from offer of appointment in order to 
notify nominating sources as stated above. USAFA/RR completes admissions 
in-processing by:
    (1) Forwarding an appointment kit which includes detailed reporting 
instructions to each appointee.
    (2) Issuing invitation to travel orders.
    (3) Notifying the Directorate of Cadet Personnel (USAFA/DPYC) of 
Regular airmen appointees. Regular airmen in technical school completes 
all phases of training, if time permits, before reporting to the 
Academy. On graduation, the airmen remain at the technical school in 
casual status (unless otherwise directed by HQ AFMPC/MPCRAC1) until 
earliest reporting date for the Academy.
    (b) The Department of Defense Medical Examination Review Board 
(DODMERB) notifies applicants of their medical status. USAFA/RRS informs 
HQ USAF/DPPA of changes in medical status of candidates offered 
conditional appointments.
    (c) USAFA/RRS notifies each unsuccessful candidate by May 1. For 
active duty Air Force personnel, the servicing CBPO also is notified and 
cancels the airman's Assignment Availability Code 05.



Sec. 901.22  Notification of change of address or station assignment.

    The applicant or nominee is personally responsible for notifying 
USAFA/RRS, USAF Academy, Colorado Springs, CO 80840-5651, of every 
change of address or station assignment. Notifications from military 
personnel must include complete name, grade, SSN, and new organization 
or unit to which assigned.

[[Page 198]]



Sec. 901.23  Filling Presidential and airmen nominating categories.

    If any of the annual quotas of cadets authorized in the Regular 
airman, Reserve airman, or Presidential nomination categories are not 
filled, then candidates from the other two categories may fill the 
vacancies on a best-qualified basis.



Sec. 901.24  Supply of forms.

    USAFA Forms 146, 147, 148 and 149 are stocked and issued by USAFA/
RRS, USAF Academy, Colorado Springs, CO 80840-5651. DD Form 1870 is 
stocked and issued by the Air Force Academy Activities Group, HQ USAF/
DPPA, Washington, DC 20330-5060.



Sec. 901.25  Obligation of cadet appointment.

    (a) A cadet who enters the Air Force Academy directly from civilian 
status and takes an oath of allegiance as a cadet normally assumes a 
military service obligation of not less than 6 years nor more than 8 
years under 10 U.S.C. 651.
    (b) A cadet who enters the Air Force Academy from the Regular or 
Reserve component of the Air Force and fails to complete the Academy 
course of instruction reverts to enlisted status to complete any prior 
service obligation under 10 U.S.C. 516.
    (c) If they are minors, cadets are required to sign an agreement 
with the parent's or guardian's consent that they will fulfill the 
following obligations:
    (1) Complete the Academy course of instruction unless disenrolled 
from the Academy by competent authority.
    (2) Accept an appointment and on graduation serve as a commissioned 
officer in a Regular component of one of the armed services for 5 years.
    (3) Serve as a commissioned officer in the Reserve component until 
the 8th anniversary if authorized to resign from the Regular component 
before the 8th anniversary of their graduation.
    (4) Be subject to the separation policies in AFR 53-3 and, perhaps, 
be required to serve on active duty in enlisted status if disenrolled 
from the Academy before graduation.
    (5) Reimburse the U.S. Air Force under regulations prescribed by the 
Secretary of the Air Force for the costs of Academy education if the 
recipient, voluntarily or because of misconduct, fails to complete the 
period of active duty incurred.



Sec. 901.26  Cadet's oath of allegiance.

    On admission, each appointee (except foreign cadets) will be 
required to take the following oath of allegiance:

    I (name), having been appointed an Air Force cadet in the United 
States Air Force, do solemnly swear (or affirm) that I will support and 
defend the Constitution of the United States against all enemies, 
foreign and domestic; that I will bear true faith and allegiance to the 
same; that I take this obligation freely, without any mental reservation 
or purpose of evasion; and that I will well and faithfully discharge the 
duties of the office of which I am about to enter. So Help Me God.


If an appointee refuses to take and subscribe to the oath, the 
appointment is terminated.



Sec. 901.27  Charging of appointees.

    Appointment of candidates is according to Sec. 901.18. Selecting of 
the charged cadets from the nominees for each vacancy is accomplished as 
follows:
    (a) Principal nominee, numbered-alternate method. Principal, if 
meeting the admission criteria, is appointed and charged. Otherwise the 
1st alternate, if meeting the admission criteria, is appointed and 
charged or the next succeeding numbered alternate who meets the 
admission criteria is appointed and charged. In instances where a 
candidate received two principal nominations from two Congressional 
sources, the principal normally is charged to the Member of Congress 
submitting the principal nomination first.
    (b) Principal nominee, competitive-alternate method. Principal, if 
meeting the admission criteria, is appointed and charged. All alternates 
are ranked according to merit. If the principal does not meet admission 
criteria, the highest ranking alternate is appointed and charged.
    (c) Competitive nominee method. The group of competitive nominees 
are evaluated, ranked according to merit, and the highest-ranked 
nominee, if meeting the admission criteria, is appointed and charged.

[[Page 199]]

    (d) Multiple Congressional nominations. For candidates receiving 
numerous nominations, normally the candidate is charged to the 
congressional source. If the candidate is nominated by several 
congressional sources, the candidate normally is charged to the slate of 
the congressional member where the candidate ranks the highest, unless 
the candidate is the principal nominee or a numbered alternate.
    (e) Other sources of nomination. All other candidates not nominated 
by congressional, Vice-Presidential, or U.S. Possessions who are 
appointed are charged to that nominating source (Presidential, AFJROTC, 
AFROTC, CODDV, Medal of Honor, etc.).
    (f) Qualified alternates. To bring the Cadet Wing up to strength, 
the qualified alternate appointed according to Sec. 901.19 is charged to 
the Secretary of the Air Force as a qualified alternate. Those 
candidates having congressional, Vice-Presidential, or U.S. Possessions 
nominations appear as a qualified alternate for that nominating source.
    (g) Multiple congressional and other sources of nominations. For 
appointees who have multiple nominations, USAFA/RRS determines the 
appointment category to which they are assigned. Normally a cadet with 
both congressional and non-congressional nominations is assigned to a 
congressional authority. Designation of ``charged'' cadets (those 
filling a Vice-Presidential, congressional, or U.S. Possessions quota) 
also is accomplished by USAFA/RRS according to Sec. 901.18. USAFA/RRS 
notifies HQ USAF/DPPA of these assignments which are audited and 
verified by HQ USAF/DPPA. The Vice Presidential and nominating 
authorities in Congress and U.S. Possessions are notified of their 
charged appointees and other nominees who win appointments by HQ USAF/
DPPA.



Sec. 901.28  OMB approval of information collection requirements.

    The information collection requirements in this part 901 have been 
approved by the Office of Management and Budget under control numbers 
0701-0026, 0701-0063, 0701-0064, 0701-0066 and 0701-0087.



PART 903--AIR FORCE ACADEMY PREPARATORY SCHOOL--Table of Contents




Sec.
903.1  Purpose.
903.2  Preparatory school.
903.3  Yearly schedule.
903.4  School location.
903.5  Who is eligible.
903.6  When to apply.
903.7  Application procedures.
903.8  Selection procedures.
903.9  Notification of selection or nonselection.
903.10  Disenrollment.
903.11  Reassignment of students who are disenrolled or not offered an 
          appointment to a service academy.
903.12  Reassignment of regular and reserve members of the Air Force and 
          regular members of the Army, Navy, and Marine Corps who accept 
          an appointment to a service academy.
903.13  Reserve enlistment procedures.
903.14  Sample letter.
903.15  Statement.

    Authority: 10 U.S.C. 8012, except as otherwise noted.

    Source: 44 FR 47929, Aug. 16, 1979, unless otherwise noted.
    Note: This part is derived from Air Force Regulation 53-14, May 22, 
1979.
    Part 806 of this chapter states the basic policies and instructions 
governing the disclosure of records and tells members of the public what 
they must do to inspect or obtain copies of the material referenced 
herein.



Sec. 903.1  Purpose.

    This part tells how to apply for the Air Force Academy Preparatory 
School Program. It also explains the procedures for selection, 
disenrollment, and assignment.
    Note: This part is affected by the Privacy Act of 1974. The systems 
of records prescribed here are authorized by Headquarters USAF (AFOMO 
126) letter, April 11, 1969; and 10 U.S.C. 8012. Each form that is 
subject to AFR 12-35, paragraph 30, and is required by this part has a 
Privacy Act Statement, either incorporated in the body of the document 
or in a separate statement accompanying the document.



Sec. 903.2  Preparatory school.

    The mission of the United States Air Force Academy Preparatory 
School (USAFAPS) is to prepare and evaluate selected personnel for 
entrance into the Cadet Wing of the United States Air Force Academy. It 
provides indepth instruction in mathematics, English,

[[Page 200]]

and the basic sciences, to enable students to qualify for entering into 
the Cadet Wing.



Sec. 903.3  Yearly schedule.

    Classes are conducted each year from July to early May. A limited 
number of Regular and Reserve airmen may be enrolled at appropriate 
times after the July starting date.



Sec. 903.4  School location.

    The USAFAPS is located at the United States Air Force Academy near 
Colorado Springs, Colorado.



Sec. 903.5  Who is eligible.

    To be eligible, USAFAPS candidates must:
    (a) Be at least 17 years old and not have passed their 21st birthday 
by July 1 of the year to be admitted.
    (b) Be a citizen of the United States.
    (c) Be unmarried and have no dependent children.
    (d) Be on extended active duty. Air Force Reserve or Air National 
Guard members may apply while not on extended active duty but must agree 
to a call to active duty if selected to attend. Air National Guard 
members selected to attend will be transferred to the Air Force Reserve 
prior to being called to active duty.
    (e) Agree, if a Regular member of the Armed Forces, to extend his or 
her current enlistment, if the obligated tour of duty or enlistment 
contract expires prior to the date of preparatory school graduation.
    (f) Be medically qualified for an appointment to the Air Force 
Academy.
    (g) Achieve a satisfactory score on the Scholastic Aptitude Test 
(SAT) offered by the Educational Testing Service, or on the American 
College Testing (ACT) program tests, or on the Air Force Academy 
Selection Test.
    (h) Have an acceptable academic record as determined by the Air 
Force Academy Director of Cadet Admissions.
    (i) Not have previously attended a service academy preparatory 
school.
    (j) Have received a nomination to the Air Force Academy, if a 
Regular member of the Army, Navy, or Marine Corps.
    (k) Have completed Basic Training, if a Reserve airman entering 
after normal July entry date.



Sec. 903.6  When to apply.

    (a) Regular and Reserve members of the Air Force must send a 
complete application to the Air Force Academy Director of Cadet 
Admissions not later than May 1.
    (b) Regular members of the Army, Navy, or Marine Corps who are 
nominated for an appointment to the Air Force Academy must establish 
their eligibility for nomination by May 1.



Sec. 903.7  Application procedures.

    (a) Regular and Reserve members of the Air Force must send the 
following through their organization commander and servicing CBPO 
(active duty only) to the Air Force Academy Director of Cadet 
Admissions.
    (1) AF Form 1786, Application for Appointment to the United States 
Air Force Academy Under Quota Allotted to Enlisted Members of the 
Regular and Reserve Components of the Air Force.
    (2) A certified transcript from each high school, civilian 
preparatory school, or college that the applicant attended.
    (b) Regular members of the Army, Navy or Marine Corps must request 
enrollment by sending a letter as shown in Sec. 903.14 to the Air Force 
Academy Director of Cadet Admissions through their organization 
commander.
    (c) The organization commander is responsible for:
    (1) Sending the following to the Air Force Academy Director of Cadet 
Admissions (for active duty Air Force personnel, the commander will send 
the completed application to the servicing CBPO):
    (i) An AF Form 1786 for a Regular or Reserve member of the Air 
Force, or a letter requesting enrollment by a Regular member of the 
Army, Navy, or Marine Corps.
    (ii) Certified transcripts from each high school, civilian 
preparatory school, or college attended by the applicant.
    (iii) One copy of the applicant's most recent Airman Performance 
Report (AF Form 909 or 910, as applicable).

[[Page 201]]

    (iv) One copy of the applicant's Report of Individual Report (RIP).
    (v) A recommendation for selection or nonselection which gives a 
full description of the applicant's character and suitability for the 
Preparatory School program and includes the following statement:

    Information regarding component, length of service, and date of 
birth have been verified from official records.

    (d) The servicing CBPO (for active duty personnel) is responsible 
for:
    (1) Making sure that the applicant is assigned an Assignment 
Availability Code ``05'' IAW table 3-3, AFR 39-11.
    (2) Sending the application to the Air Force Academy Director of 
Cadet Admissions.



Sec. 903.8  Selection procedures.

    Applicants are selected for enrollment by the Air Force Academy on 
the basis of test scores, medical examination, prior academic record, 
recommendation of the organization commander, and other reports and 
records which indicate the applicant's aptitude, achievement, or ability 
to complete the program successfully.



Sec. 903.9  Notification of selection or nonselection.

    (a) When applicable, the Air Force Academy Director of Cadet 
Admissions will send a notice of nonselection for Air Force personnel, 
to the applicant and the servicing CBPO.
    (b) Upon receipt of a notice of nonselection, the servicing CBPO for 
Regular members of the Air Force will cancel the applicant's Assignment 
Availability Code 05.
    (c) Upon selection of Air Force personnel to attend the USAFAPS, the 
Air Force Academy Director of Cadet Admissions will notify the Air Force 
Academy CBPO/DPMUM of the selectee's name, grade, SSAN, AFSC, and unit 
of assignment. The Air Force Academy CBPO will insure that the selectee 
is assigned to the USAFAPS, USAF Academy CO 80840.
    (d) The Department of Defense Medical Examination Review Board 
(DODMERB) will notify applicants of their medical status.
    (e) Air Force personnel entering the USAF Academy Preparatory School 
will enter in the highest active duty grade they held as of the date of 
entrance without change to DOR or effective date. Future promotions will 
be in accordance with AFR 39-29.



Sec. 903.10  Disenrollment.

    Students may be disenrolled when the Commander of the Prep School 
determines that one or more of the following conditions exist:
    (a) The student has failed to meet and maintain academic standards.
    (b) The student has failed to demonstrate adaptability and 
suitability for the Air Force Academy academic, military, or physical 
training programs.
    (c) The student's conduct is unsatisfactory.
    (d) The student's retention in the program is not in the best 
interests of the government.
    (e) The student marries.
    (f) The student becomes medically disqualified for an appointment to 
the Air Force Academy.
    (g) The student request disenrollment.



Sec. 903.11  Reassignment of students who are disenrolled or not offered an appointment to a service academy.

    These students will be reported by USAFA/PL to USAFA/DPMU.
    (a) Regular Air Force members will be reported by USAFA/DPMU to 
AFMPC/MPCRAC 3 for reassignment as follows:
    (1) Name, grade, and SSAN.
    (2) CAFSC, PAFSC, and any additional AFSCs.
    (3) Former unit, base, and command of assignment.
    (4) DOS.
    (5) ODSD/STRD and last area of oversea assignment.
    (6) Oversea volunteer status.
    (7) Assignment preferences.
    (8) Assignment deferment status.
    (9) Reason for reassignment action.
    (10) Statement as to the airman's possible appointment to another 
service academy.
    (b) Air Force reservists are reassigned as follows:

[[Page 202]]

    (1) Reserve Air Force members called to active duty solely to attend 
the school will be discharged from the United States Air Force under the 
authority of this part and AFR 39-10.
    (2) Reserve Air Force members previously assigned to a Reserve Unit 
will be released from active duty and reassigned to the Air Reserve 
Personnel Center under the authority of this part and AFR 39-10.
    (3) Air National Guard members previously assigned to an ANG unit 
will be released from active duty and reassigned to the appropriate 
State Adjutant General under the authority of this part and AFR 39-10.
    (c) Regular members of the other services will be reported as 
follows:
    (1) Members of the Navy will be reported to the Officer-in-Charge, 
NAVUN Lowry, Colorado Springs Detachment, 801 Prospect Lake Drive, 
Colorado Springs CO 80901.
    (2) Members of the Army will be reported as currently specified in 
AR 600-635.
    (3) Members of the Marine Corps will be reported to MARTU, MARTC, 
Denver CO 80240.



Sec. 903.12  Reassignment of regular and reserve members of the Air Force and regular members of the Army, Navy, and Marine Corps who accept an appointment to a 
          service academy.

    (a) Regular and Reserve Airmen will be released from enlisted active 
duty and will be reassigned as active duty Air Force Academy cadets, to 
be effective on the date of entry into the Academy in accordance with:
    (1) DAF Letter, ``Members of the Armed Forces Appointed to a Service 
Academy,'' July 8, 1957.
    (2) 10 U.S.C. 516, 8201, 8203, 8205, and 8214.
    (3) AFR 39-10.
    (b) Records for Regular and Reserve members of the Air Force who 
enter the Air Force Academy will be retained by the Academy until the 
airman is commissioned or disenrolled. These members will not be issued 
DD Form 214, Report of Separation from Active Duty.
    (c) Records for Regular Airmen who enter one of the other academies 
will be forwarded to AFMPC/MPCDOB for processing.
    (d) Regular airmen who enter any of the three service academies will 
be required to sign the statement shown at Sec. 903.15.
    (e) Regular members of the Army, Navy, or Marine Corps who enter the 
Air Force Academy will be reported to the appropriate service as shown 
in Sec. 903.11(c).
    (f) HQ USAFA/DPMQS will publish relieved from active duty orders for 
USAF Academy Preparatory School students who are regular and reserve 
airmen and who, upon completion of the USAF Academy Preparatory School, 
accept appointments to a service academy.



Sec. 903.13  Reserve enlistment procedures.

    The enlistment into the Air Force Reserve of civilian selectees for 
the USAF Academy Preparatory School will be accomplished as follows:
    (a) The Office of Cadet Admissions and Registrar (RRS), USAF 
Academy, CO, will send to each selectee a DD Form 1966, Application for 
Enlistment-Armed Forces of the United States, with instructions for its 
completion. The selectee will be instructed to send the completed DD 
form 1966 to HQ ARPC/DPRPP, Denver CO 80280. A preaddressed envelope 
will be provided for this purpose.
    (b) Upon receipt of the completed DD Form 1966, HQ ARPC/DPRPP will 
review the form for completion and acceptance of the applicant for 
enlistment.
    (c) If the applicant is acceptable for enlistment, HQ ARPC/DPRPP 
will complete a DD Form 4, Enlistment or Reenlistment Agreement--Armed 
Forces of the United States, for each applicant.
    (d) HQ ARPC/DPRPP and the USAF Academy Preparatory School will be 
responsible for administering the oath of enlistment for each applicant. 
This oath is administered on the date of inprocessing at the USAF 
Academy Preparatory School, and the effective date of enlistment is the 
date the applicant took the oath.
    (e) HQ ARPC/DPRPP will publish Reserve Orders placing the applicant 
on

[[Page 203]]

active duty for the purpose of attending the USAF Academy Preparatory 
School. The school will determine the date of call to active dute 
(usually, this is the date the applicant was administered the oath of 
enlistment). HQ ARPC/DPRPP will give copies of the orders to the CBPO/
DPMA, USAF Academy CO 80840 on the date of inprocessing.



Sec. 903.14  Sample letter.


Subject: Application To Attend Air Force Academy Preparatory School.

Thru: Organization Commander.

To: USAFA/RRS USAF Academy CO 80840.

    1. I hereby apply under the provision of AFR 53-14 to attend the Air 
    Force Academy Preparatory School for Air Force Academy candidates.
    1. (Use appropriate sentence(s) listed below):

    a. I have been nominated by (indicate name of Senator/
Representative) for appointment to the Air Force Academy.
    b. I have applied for candidacy to the Air Force Academy under the 
following competition(s) (list those that apply)

    Presidential.
    Sons or Daughters of Deceased or Disabled Veterans.
    Sons or Daughters of Medal of Honor Recipients.

    3. (Use appropriate sentence(s) listed below):
    a. My academic transcripts are attached.
    b. My academic transcripts are being requested from the appropriate 
school officials. They will mail them to the Director of Cadet 
Admissions, USAFA/RRS. I last attended (name of high school, college, or 
preparatory school), (address of school).
    4. I was born on (day) (month) (year). My present enlistment expires 
(day) (month) (year).
    NAME, Grade, Branch of Service.
    SSAN.
    Organization.
    Location.
    Telephone No.

    Note: To be used only by military nominee--see Sec. 903.7(b) (Army, 
Navy, and Marine Corps only) (Regular and Reserve Air Force applicants 
must use AF Form 1786).



Sec. 903.15  Statement.

    Upon acceptance as a Cadet in the -------- Academy, effective ------
-- I understand that in accordance with the provisions of Pub. L. 614, 
84th Congress, should my appointment be terminated for reasons other 
than acceptance of a commission in a Regular or Reserve component of the 
Armed Forces, or for physical Disability, I will revert to my former 
enlisted or inducted status in effect immediately prior to acceptance of 
appointment as a cadet in the -------- for the purpose of completing any 
remaining active and inactive service required under my enlistment 
contract or my service obligation under the Universal Military Training 
and Service Act, or both, as appropriate. I further understand that any 
time served as a Cadet shall be counted as time served under my 
enlistment contract or period of obligated service, or both, as 
appropriate.

[[Page 204]]



                       SUBCHAPTERS L-M [RESERVED]





            SUBCHAPTER N--TERRITORIAL AND INSULAR REGULATIONS





PART 935--WAKE ISLAND CODE--Table of Contents




                           Subpart A--General

Sec.
935.1  Applicability.
935.2  Purpose.
935.3  Definitions.
935.4  Effective date.

                Subpart B--Civil Administration Authority

935.10  Designation and delegation of authority.
935.11  Permits.
935.12  Functions, powers, and duties.
935.13  Revocation or suspension of permits and registrations.
935.14  Autopsies.
935.15  Notaries public.
935.16  Emergency authority.

                          Subpart C--Civil Law

935.20  Applicable law.
935.21  Civil rights, powers, and duties.

                         Subpart D--Criminal Law

935.30  General.

                        Subpart E--Petty Offenses

935.40  Criminal offenses.

                          Subpart F--Penalties

935.50  Petty offenses.
935.51  Motor vehicle violations.
935.52  Violations of Subpart O or P of this part.
935.53  Contempt.

                          Subpart G--Judiciary

935.60  Wake Island Judicial Authority
935.61  Wake Island Court.
935.62  Island Attorney.
935.63  Public Defender.
935.64  Clerk of the Court.
935.65  Jurisdiction.
935.66  Court of Appeals.
935.67  Clerk of the Court of Appeals.
935.68  Jurisdiction of the Court of Appeals.
935.69  Qualifications and admission to practice.

                    Subpart H--Statute of Limitations

935.70  Limitation of actions.

                 Subpart I--Subpoenas, Wake Island Court

935.80  Subpoenas.

                        Subpart J--Civil Actions

935.90  General.
935.91  Summons.
935.92  Service of complaint.
935.93  Delivery of summons to plaintiff.
935.94  Answer.
935.95  Proceedings; record; judgment.
935.96  Execution of judgment.
935.97  Garnishment.

                       Subpart K--Criminal Actions

935.100  Bail.
935.101  Seizure of property.
935.102  Information.
935.103  Motions and pleas.
935.104  Sentence after a plea of guilty.
935.105  Trial.

                    Subpart L--Appeals and New Trials

935.110  Appeals.
935.111  New trial.

                        Subpart M--Peace Officers

935.120  Authority.
935.121  Qualifications of peace officers.
935.122  Arrests.
935.123  Warrants.
935.124  Release from custody.
935.125  Citation in place of arrest.

                      Subpart N--Motor Vehicle Code

935.130  Applicability.
935.131  Right-hand side of the road.
935.132  Speed limits.
935.133  Right-of-way.
935.134  Arm signals.
935.135  Turns.
935.136  General operating rules.
935.137  Operating requirements.
935.138  Motor bus operation.
935.139  Motor vehicle operator qualifications.
935.140  Motor vehicle maintenance and equipment.

               Subpart O--Registration and Island Permits

935.150  Registration.
935.151  Island permit for boat or vehicle.
935.152  Activities for which permit is required.

[[Page 205]]

                        Subpart P--Public Safety

935.160  Emergency requirements and restrictions.
935.161  Fire hazards.
935.162  Use of special areas.
935.163  Unexploded ordnance material.
935.164  Boat operations.
935.165  Floating objects.

    Authority: Sec. 48, Pub. L. 86-624, 74 Stat. 424; E.O. 11048, Sept. 
1, 1962, 27 FR 8851, 3 CFR, 1959-1963 Comp., p. 632; agreement between 
the Department of Interior and Department of the Air Force, dated 19 
June 1972, 37 FR 12255; and Secretary of the Air Force Order 111.1, 
dated 26 April 1999.

    Source: 67 FR 16999, Apr. 9, 2002, unless otherwise noted.



                           Subpart A--General



Sec. 935.1  Applicability.

    (a) The local civil and criminal laws of Wake Island consist of this 
part and applicable provisions of the laws of the United States.
    (b) For the purposes of this part, Wake Island includes Wake, Peale, 
and Wilkes Islands, and the appurtenant reefs, shoals, shores, bays, 
lagoons, keys, territorial waters, and superadjacent airspace of them.



Sec. 935.2  Purpose.

    The purpose of this part is to provide--
    (a) For the civil administration of Wake Island;
    (b) Civil laws for Wake Island not otherwise provided for;
    (c) Criminal laws for Wake Island not otherwise provided for; and
    (d) A judicial system for Wake Island not otherwise provided for.



Sec. 935.3  Definitions.

    In this part--
    (a) General Counsel means the General Counsel of the Air Force or 
his successor in office.
    (b) Commander means the Commander, Wake Island.
    (c) Commander, Wake Island means the Commander of Pacific Air Forces 
or such subordinate commissioned officer of the Air Force to whom he may 
delegate his authority under this part.
    (d) He or his includes both the masculine and feminine genders, 
unless the context implies otherwise.
    (e) Judge includes Judges of the Wake Island Court and Court of 
Appeals.



Sec. 935.4  Effective date.

    This part was originally applicable at 0000 June 25, 1972. 
Amendments to this part apply April 10, 2002.



                Subpart B--Civil Administration Authority



Sec. 935.10  Designation and delegation of authority.

    (a) The civil administration authority at Wake Island is vested in 
the Secretary of the Air Force. That authority has been delegated to the 
General Counsel of the Air Force with authority to redelegate all or any 
part of his functions, powers, and duties under this part to such 
officers and employees of the Air Force as he may designate, but 
excluding redelegation of the power to promulgate, amend, or repeal this 
part, or any part thereof. Such redelegation must be in writing and must 
be in accordance with any applicable Secretary of the Air Force Orders. 
Such redelegation may be further redelegated subject to such 
restrictions as the delegating authority may impose. A redelegation may 
also be made to a commissioned officer serving in another United States 
military service who exercises military command, but such redelegation 
must explicitly and specifically list the powers redelegated and shall 
not include the power or authority to issue permits, licenses, or other 
outgrants unless individually approved by the Air Force official who 
made the redelegation. The Commander is the agent of the Secretary, his 
delegate and designee when carrying out any function, power, or duty 
assigned under this part.
    (b) The authority of the General Counsel to appoint Judges shall not 
be delegated.
    (c) Judges and officers of the court may not redelegate their powers 
or authorities except as specifically noted in this part.



Sec. 935.11  Permits.

    (a) Permits in effect on the dates specified in Sec. 935.4 continue 
in effect

[[Page 206]]

until revoked or rescinded by the Commander. Permits issued by the 
Commander shall conform to the requirements of Air Force Instruction 32-
9003 (Available from the National Technical Information Service, 5285 
Port Royal Road, Springfield, VA 22161.). No permit or registration 
shall be issued under other authority that is inconsistent with this 
part. The Commander may issue island permits or registration for--
    (1) Businesses, including any trade, profession, calling, or 
occupation, and any establishment where food or beverages are prepared, 
offered, or sold for human consumption.
    (2) Self-propelled motor vehicles, except aircraft, including 
attached trailers.
    (3) Vehicle operators.
    (4) Boats.
    (5) Food handlers.
    (6) Drugs, narcotics, and poisons.
    (7) Construction.
    (8) Burials.
    (b) To the extent it is not inconsistent with this part, any permit 
or registration issued pursuant to Air Force directives or instructions 
as applicable to Wake Island shall constitute a permit or registration 
under this section, and no other permit or registration shall be 
required.



Sec. 935.12  Functions, powers, and duties.

    The Commander may--
    (a) Appoint Peace Officers;
    (b) Direct the abatement of any public nuisance upon failure of any 
person to comply with a notice of removal;
    (c) Direct sanitation and fire prevention inspections;
    (d) Establish records of vital statistics;
    (e) Direct the registration and inspections of motor vehicles, 
boats, and aircraft;
    (f) Impose quarantines;
    (g) Direct the impoundment and destruction of unsanitary food, fish, 
or beverages;
    (h) Direct the evacuation of any person from a hazardous area;
    (i) Commission notaries public;
    (j) Establish and maintain a facility for the restraint or 
confinement of persons and provide for their care;
    (k) Direct the removal of any person from Wake Island and prohibit 
his future presence on the island;
    (l) Issue traffic regulations that are not inconsistent with this 
part, and post traffic signs;
    (m) Prohibit the posting, distribution, or public display of 
advertisements, signs, circulars, petitions, or similar materials, 
soliciting, picketing, or parading in any public place or area if he 
determines it would interfere with public business or endanger the 
health and safety of persons and property on Wake Island;
    (n) Perform or direct any other acts, not inconsistent with this 
part or applicable laws and regulations, if he considers it necessary 
for protection of the health or safety of persons and property on Wake 
Island; and
    (o) Issue any order or notice necessary to implement this section. 
Any order or notice issued pursuant to Air Force directives and 
instructions as applicable to Wake Island shall constitute an order or 
notice issued pursuant to this section.



Sec. 935.13  Revocation or suspension of permits and registrations.

    (a) The Commander may revoke or suspend any island permit or 
registration for cause, with or without notice.
    (b) The holder of any revoked or suspended permit or registration 
may demand a personal hearing before the Commander within 30 days after 
the effective date of the revocation or suspension.
    (c) If a hearing is demanded, it shall be granted by the Commander 
within 30 days of the date of demand. The applicant may appear in person 
and present such documentary evidence as is pertinent. The Commander 
shall render a decision, in writing, setting forth his reasons, within 
30 days thereafter.
    (d) If a hearing is not granted within 30 days, a written decision 
is not rendered within 30 days after a hearing, or the applicant desires 
to appeal a decision, he may, within 30 days after the latest of any of 
the foregoing dates appeal in writing to the General Counsel, whose 
decision shall be final.

[[Page 207]]



Sec. 935.14  Autopsies.

    The medical officer on Wake Island, or any other qualified person 
under his supervision, may perform autopsies upon authorization of the 
Commander or a Judge of the Wake Island Court.



Sec. 935.15  Notaries public.

    (a) To the extent he considers there to be a need for such services, 
the Commander may commission one or more residents of Wake Island as 
notaries public. The Commander of Pacific Air Forces may not redelegate 
this authority.
    (b) A person applying for commission as a notary public must be a 
citizen of the United States and shall file an application, together 
with evidence of good character and a proposed seal in such form as the 
Commander requires, with a fee of $50 which shall be deposited in the 
Treasury as a miscellaneous receipt.
    (c) Upon determining there to be a need for such a service and after 
such investigation as he considers necessary, the Commander may 
commission an applicant as a notary public. Commissions shall expire 3 
years after the date thereof, and may be renewed upon application upon 
payment of a fee of $25.
    (d) Judges and the Clerk of the Wake Island Court and the Island 
Attorney shall have the general powers of a notary public.



Sec. 935.16  Emergency authority.

    During the imminence and duration of any emergency declared by him, 
the Commander may perform or direct any acts necessary to protect life 
and property.



                          Subpart C--Civil Law



Sec. 935.20  Applicable law.

    Civil acts and deeds taking place on Wake Island shall be determined 
and adjudicated as provided in this part; and otherwise, as provided in 
the Act of June 15, 1950 (64 Stat. 217) (48 U.S.C. 644a), according to 
the laws of the United States relating to such an act or deed taking 
place on the high seas on board a merchant vessel or other vessel 
belonging to the United States.



Sec. 935.21  Civil rights, powers, and duties.

    In any case in which the civil rights, powers, and duties of any 
person on Wake Island are not otherwise prescribed by the laws of the 
United States or this part, the civil rights, powers, and duties as they 
obtain under the laws of the State of Hawaii will apply to persons on 
Wake Island.



                         Subpart D--Criminal Law



Sec. 935.30  General.

    In addition to any act made criminal in this part, any act committed 
on Wake Island that would be criminal if committed on board a merchant 
vessel or other vessel belonging to the United States is a criminal 
offense and shall be adjudged and punished according to the laws 
applicable on board those vessels on the high seas.



                        Subpart E--Petty Offenses



Sec. 935.40  Criminal offenses.

    No person may on Wake Island--
    (a) Sell or give an alcoholic beverage manufactured for consumption 
(including beer, ale, or wine) to any person who is not at least 21 
years of age;
    (b) Procure for, engage in, aid or abet in, or solicit for 
prostitution;
    (c) Use any building, structure, vehicle, or public lands for the 
purpose of lewdness, assignation, or prostitution;
    (d) Possess or display (publicly or privately) any pornographic 
literature, film, device, or any matter containing obscene language, 
that tends to corrupt morals;
    (e) Make any obscene or indecent exposure of his person;
    (f) Commit any disorderly, obscene, or indecent act;
    (g) Commit any act of voyeurism (Peeping Tom);
    (h) Enter upon any assigned residential quarters or areas 
immediately adjacent thereto, without permission of the assigned 
occupant;
    (i) Discard or place any paper, debris, refuse, garbage, litter, 
bottle, can, human or animal waste, trash, or junk in any public place, 
except into a receptacle or place designated or used for that purpose;

[[Page 208]]

    (j) Commit any act of nuisance;
    (k) With intent to provoke a breach of the peace or under such 
circumstances that a breach of the peace may be occasioned thereby, act 
in such a manner as to annoy, disturb, interfere with, obstruct, or be 
offensive to any other person;
    (l) Be drunk in any public place;
    (m) Use any profane or vulgar language in a public place;
    (n) Loiter or roam about Wake Island, without any lawful purpose, at 
late and unusual hours of the night;
    (o) Lodge or sleep in any place without the consent of the person in 
legal possession of that place;
    (p) Grossly waste any potable water;
    (q) Being a male, knowingly enter any area, building, or quarters 
reserved for women, except in accordance with established visiting 
procedures;
    (r) Smoke or ignite any fire in any designated and posted ``No 
Smoking'' area, or in the immediate proximity of any aircraft or fueling 
pit;
    (s) Enter any airplane parking area or ramp, unless he is on duty 
therein, is a passenger under appropriate supervision, or is authorized 
by the Commander to enter that place;
    (t) Interfere or tamper with any aircraft or servicing equipment or 
facility, or put in motion the engine of any aircraft without the 
permission of its operator;
    (u) Post, distribute, or publicly display advertisements, signs, 
circulars, petitions, or similar materials, or solicit, picket, or 
parade in any public place or area where prohibited by the Commander 
pursuant to Sec. 935.12;
    (v) Import onto or keep on Wake Island any plant or animal not 
indigenous to the island, other than military working dogs or a guide 
dog for the blind or visually-impaired accompanying its owner; or
    (w) Import or bring onto or possess while on Wake Island any 
firearm, whether operated by air, gas, spring, or otherwise, or 
explosive device, including fireworks, unless owned by the United 
States.



                          Subpart F--Penalties



Sec. 935.50  Petty offenses.

    Whoever is found guilty of a violation of any provision of subpart E 
of this part is subject to a fine of not more than $500 or imprisonment 
of not more than 6 months, or both.



Sec. 935.51  Motor vehicle violations.

    Whoever is found guilty of a violation of subpart N of this part is 
subject to a fine of not more than $100, imprisonment of not more than 
30 days, or suspension or revocation of his motor vehicle operator's 
permit, or any combination or all of these punishments.



Sec. 935.52  Violations of Subpart O or P of this part.

    (a) Whoever is found guilty of a violation of subpart O or P of this 
part is subject to a fine of not more than $100, or imprisonment of not 
more than 30 days, or both.
    (b) The penalties prescribed in paragraph (a) of this section are in 
addition to and do not take the place of any criminal penalty otherwise 
applicable and currently provided by the laws of the United States.



Sec. 935.53  Contempt.

    A Judge may, in any civil or criminal case or proceeding, punish any 
person for disobedience of any order of the Court, or for any contempt 
committed in the presence of the Court, by a fine of not more than $100, 
or imprisonment of not more than 30 days, or both.



                          Subpart G--Judiciary



Sec. 935.60  Wake Island Judicial Authority.

    (a) The judicial authority under this part is vested in the Wake 
Island Court and the Wake Island Court of Appeals.
    (b) The Wake Island Court and the Wake Island Court of Appeals shall 
each have a seal approved by the General Counsel.
    (c) Judges and Clerks of the Courts may administer oaths.

[[Page 209]]



Sec. 935.61  Wake Island Court.

    (a) The trial judicial authority for Wake Island is vested in the 
Wake Island Court.
    (b) The Wake Island Court consists of one or more Judges, appointed 
by the General Counsel as needed. The term of a Judge shall be for one 
year, but he may be re-appointed. When the Wake Island Court consists of 
more than one Judge, the General Counsel shall designate one of the 
Judges as the Chief Judge who will assign matters to Judges, determine 
when the Court will sit individually or en banc, and prescribe rules of 
the Court not otherwise provided for in this Code. If there is only one 
Judge appointed, that Judge shall be the Chief Judge.
    (c) Sessions of the Court are held on Wake Island or Hawaii at times 
and places designated by the Chief Judge.



Sec. 935.62  Island Attorney.

    There is an Island Attorney, appointed by the General Counsel as 
needed. The Island Attorney shall serve at the pleasure of the General 
Counsel. The Island Attorney represents the United States in the Wake 
Island Court and in the Wake Island Court of Appeals.



Sec. 935.63  Public Defender.

    There is a Public Defender, appointed by the General Counsel as 
needed. The Public Defender shall serve at the pleasure of the General 
Counsel. The Public Defender represents any person charged with an 
offense under this part who requests representation and who is not able 
to afford his own legal representation.



Sec. 935.64  Clerk of the Court.

    There is a Clerk of the Court, who is appointed by the Chief Judge. 
The Clerk shall serve at the pleasure of the Chief Judge. The Clerk 
maintains a public docket containing such information as the Chief Judge 
may prescribe, administers oaths, and performs such other duties as the 
Court may direct. The Clerk is an officer of the Court.



Sec. 935.65  Jurisdiction.

    (a) The Wake Island Court has jurisdiction over all offenses under 
this part and all actions of a civil nature, cognizable at law or in 
equity, where the amount in issue is not more than $1,000, exclusive of 
interests and costs, but not including changes of name or domestic 
relations matters.
    (b) The United States is not subject to suit in the Court.
    (c) The United States may intervene in any matter in which the 
Island Attorney determines it has an interest.



Sec. 935.66  Court of Appeals.

    (a) The appellate judicial authority for Wake Island is vested in 
the Wake Island Court of Appeals.
    (b) The Wake Island Court of Appeals consists of a Chief Judge and 
two Associate Judges, appointed by the General Counsel as needed. The 
term of a judge shall be for one year, but he may be reappointed. The 
Chief Judge assigns matters to Judges, determines whether the Court sits 
individually or en banc, and prescribes rules of the Court not otherwise 
provided for in this part.
    (c) Sessions of the Court of Appeals are held in the National 
Capital Region at times and places designated by the Chief Judge. The 
Court may also hold sessions at Wake Island or in Hawaii.
    (d) A quorum of the Court of Appeals will consist of one Judge when 
sitting individually and three Judges when sitting en banc.
    (e) The address of the Court of Appeals is--Wake Island Court of 
Appeals, SAF/GC, Room 4E856, 1740 Air Force Pentagon, Washington, DC 
20330-1740.



Sec. 935.67  Clerk of the Court of Appeals.

    There is a Clerk of the Court of Appeals, who is appointed by the 
Chief Judge. The Clerk serves at the pleasure of the Chief Judge. The 
Clerk maintains a public docket containing such information as the Chief 
Judge may prescribe, administers oaths, and performs such other duties 
as the Court directs. The Clerk is an officer of the Court.



Sec. 935.68  Jurisdiction of the Court of Appeals.

    The Court of Appeals has jurisdiction over all appeals from the Wake 
Island Court.

[[Page 210]]



Sec. 935.69  Qualifications and admission to practice.

    (a) No person may be appointed a Judge, Island Attorney, or Public 
Defender under this part who is not a member of the bar of a State, 
Commonwealth, or Territory of the United States or of the District of 
Columbia.
    (b) Any person, other than an officer or employee of the Department 
of the Air Force, appointed as a Judge, Island Attorney, Public 
Defender, or to any other office under this part shall, prior to 
entering upon the duties of that office, take an oath, prescribed by the 
General Counsel, to preserve, protect, and defend the Constitution of 
the United States. Such oath may be administered by any officer or 
employee of the Department of the Air Force.
    (c) Civilian officers and employees of the Department of the Air 
Force may be appointed as a Judge, Island Attorney, Public Defender, or 
Clerk, as an additional duty and to serve without additional 
compensation. Officers and employees of the Department of the Air Force, 
both civilian and military, who serve in positions designated as 
providing legal services to the Department and who are admitted to 
practice law in an active status before the highest court of a State, 
Commonwealth, or territory of the United States, or of the District of 
Columbia, and are in good standing therewith, are admitted to the Bar of 
the Wake Island Court and the Wake Island Court of Appeals.
    (d) No person may practice law before the Wake Island Court or the 
Wake Island Court of Appeals who is not admitted to Bar of those courts. 
Any person admitted to practice law in an active status before the 
highest court of a State, Commonwealth, or territory of the United 
States, or of the District of Columbia, and in good standing therewith, 
may be admitted to the Bar of the Wake Island Court and the Wake Island 
Court of Appeals. Upon request of the applicant, the Court, on its own 
motion, may grant admission. A grant of admission by either court 
constitutes admission to practice before both courts.



                    Subpart H--Statute of Limitations



Sec. 935.70  Limitation of actions.

    (a) No civil action may be filed more than 1 year after the cause of 
action arose.
    (b) No person is liable to be tried under this part for any offense 
if the offense was committed more than 1 year before the date the 
information or citation is filed with the Clerk of the Wake Island 
Court.



                 Subpart I--Subpoenas, Wake Island Court



Sec. 935.80  Subpoenas.

    (a) A Judge or the Clerk of the Court shall issue subpoenas for the 
attendance of witnesses. The subpoena must include the name of the Court 
and the title, if any, of the proceeding; and shall command each person 
to whom it is directed to attend and give testimony at the time and 
place specified therein. The Clerk may issue a subpoena for a party 
requesting it, setting forth the name of the witness subpoenaed.
    (b) A Judge or the Clerk may also issue a subpoena commanding the 
person to whom it is directed to produce the books, papers, documents, 
or other objects designated therein. The Court may direct that books, 
papers, documents, or other objects designated in the subpoena be 
produced before the Court at a time before the trial or before the time 
when they are to be offered into evidence. It may, upon their 
production, allow the books, papers, documents, or objects or portions 
thereof to be inspected by the parties and their representatives.
    (c) Any peace officer or any other person who is not a party and who 
is at least 18 years of age may serve a subpoena. Service of a subpoena 
shall be made by delivering a copy thereof to the person named.
    (d) The Clerk of the Court shall assess and collect a witness fee of 
$40 for each subpoena requested by any party other than the United 
States, which shall be tendered to the witness as his witness fee 
together with service of the subpoena. Witnesses subpoenaed by the 
Island Attorney shall be entitled to a

[[Page 211]]

fee of $40 upon presentment of a proper claim therefor on the United 
States. No duly summoned witness may refuse, decline, or fail to appear 
or disobey a subpoena on the ground that the witness fee was not 
tendered or received.
    (e) Upon a showing that the evidence is necessary to meet the ends 
of justice and that the defendant is indigent, the Public Defender may 
request the Court to direct the Island Attorney to obtain the issuance 
of a subpoena on behalf of a defendant in a criminal case. Witnesses so 
called on behalf of the defendant shall be entitled to the same witness 
fees as witnesses requested by the Island Attorney.
    (f) Subpoenas may be credited only to persons or things on Wake 
Island.
    (g) No person who is being held on Wake Island because of 
immigration status shall be entitled to a witness fee, but shall 
nevertheless be subject to subpoena like any other person.



                        Subpart J--Civil Actions



Sec. 935.90  General.

    (a) The Federal Rules of Civil Procedure (28 U.S.C.) apply to civil 
actions in the Court to the extent the presiding Judge considers them 
applicable under the circumstances.
    (b) There is one form of action called the ``Civil Action.''
    (c) Except as otherwise provided for in this part, there is no trial 
by jury.
    (d) A civil action begins with the filing of a complaint with the 
Court. The form of the complaint is as follows except as it may be 
modified to conform as appropriate to the particular action:

                        In the Wake Island Court

[Civil Action No. ------]
------------ (Plaintiff) vs. --------------, (Defendant)

                                Complaint

------------ plaintiff alleges that the defendant is indebted to 
plaintiff in the sum of $------; that plaintiff has demanded payment of 
said sum; that defendant has refused to pay; that defendant resides at 
---------- on Wake Island; that plaintiff resides at ------------.



Sec. 935.91  Summons.

    Upon the filing of a complaint, a Judge or Clerk of the Court shall 
issue a summons in the following form and deliver it for service to a 
peace officer or other person specifically designated by the Court to 
serve it:

                        In the Wake Island Court

[Civil Action No. ------]
----------------(Plaintiff), vs. ---------------- (Defendant)

                                 Summons

    To the above-named defendant:
    You are hereby directed to appear and answer the attached cause at 
------------ on ------------ day of ------ 20--, at ------------ -.M. 
and to have with you all books, papers, and witnesses needed by you to 
establish any defense you have to said claim.
    You are further notified that in case you do not appear, judgment 
will be given against you, for the amount of said claim, together with 
cost of this suit and the service of this order.

    Dated: ------------, 20 ------------. (Clerk, Wake Island Court) --
--------------



Sec. 935.92  Service of complaint.

    (a) A peace officer or other person designated by the Court to make 
service shall serve the summons and a copy of the complaint at Wake 
Island upon the defendant personally, or by leaving them at his usual 
place of abode with any adult residing or employed there.
    (b) In the case of a corporation, partnership, joint stock company, 
trading association, or other unincorporated association, service may be 
made at Wake Island by delivering a copy of the summons and complaint to 
any of its officers, a managing or general agent, or any other agent 
authorized by appointment or by law to receive service.



Sec. 935.93  Delivery of summons to plaintiff.

    The Clerk of the Court shall promptly provide a copy of the summons 
to the plaintiff, together with notice that if the plaintiff fails to 
appear at the Court at the time set for the trial, the case will be 
dismissed. The trial shall be set at a date that will allow each party 
at least 7 days, after the pleadings are closed, to prepare.

[[Page 212]]



Sec. 935.94  Answer.

    (a) The defendant may, at his election, file an answer to the 
complaint.
    (b) The defendant may file a counterclaim, setoff, or any reasonable 
affirmative defense.
    (c) If the defendant elects to file a counterclaim, setoff, or 
affirmative defense, the Court shall promptly send a copy of it to the 
plaintiff.



Sec. 935.95  Proceedings; record; judgment.

    (a) The presiding Judge is responsible for the making of an 
appropriate record of each civil action.
    (b) All persons shall give their testimony under oath or 
affirmation. The Chief Judge shall prescribe the oath and affirmation 
that may be administered by any Judge or the Clerk of the Court.
    (c) Each party may present witnesses and other forms of evidence. In 
addition, the presiding Judge may informally investigate any 
controversy, in or out of the Court, if the evidence obtained as a 
result is adequately disclosed to all parties. Witnesses, books, papers, 
documents, or other objects may be subpoenaed as provided for in 
Sec. 935.80 for criminal cases.
    (d) The Court may issue its judgment in writing or orally from the 
bench. However, if an appeal is taken from the judgment, the presiding 
Judge shall, within 10 days after it is filed, file a memorandum of 
decision as a part of the record. The Judge shall place in the 
memorandum findings of fact, conclusions of law, and any comments that 
he considers will be helpful to a thorough understanding and just 
determination of the case on appeal.



Sec. 935.96  Execution of judgment.

    (a) If, after 60 days after the date of entry of judgment (or such 
other period as the Court may prescribe), the judgment debtor has not 
satisfied the judgment, the judgment creditor may apply to the Court for 
grant of execution on the property of the judgment debtor.
    (b) Upon a writ issued by the Court, any peace officer may levy 
execution on any property of the judgment debtor except--
    (1) His wearing apparel up to a total of $300 in value;
    (2) His beds, bedding, household furniture and furnishings, stove, 
and cooking utensils, up to a total of $300 in value; and
    (3) Mechanics tools and implements of the debtor's trade up to a 
total of $200 in value.
    (c) Within 60 days after levy of execution, a peace officer shall 
sell the seized property at public sale and shall pay the proceeds to 
the Clerk of the Court. The Clerk shall apply the proceeds as follows:
    (1) First, to the reasonable costs of execution and sale and court 
costs.
    (2) Second, to the judgment.
    (3) Third, the residue (if any) to the debtor.
    (d) In any case in which property has been seized under a writ of 
execution, but not yet sold, the property seized shall be released upon 
payment of the judgment, court costs, and the costs of execution.



Sec. 935.97  Garnishment.

    (a) If a judgment debtor fails to satisfy a judgment in full within 
60 days after the entry of judgment (or such other period as the Court 
may prescribe), the Court may, upon the application of the judgment 
creditor issue a writ of garnishment directed to any person having money 
or property in his possession belonging to the judgment debtor or owing 
money to the judgment debtor. The following are exempt from judgment:
    (1) Ninety percent of so much of the gross wages as does not exceed 
$200 due to the judgment debtor from his employer.
    (2) Eighty percent of so much of the gross wages as exceeds $200 but 
does not exceed $500 due to the judgment debtor from his employer.
    (3) Fifty percent of so much of the gross wages as exceeds $500 due 
to the judgment debtor from his employer.
    (b) The writ of garnishment shall be served on the judgment debtor 
and the garnishee and shall direct the garnishee to pay or deliver from 
the money or property owing to the judgment debtor such money or 
property as the Court may prescribe.
    (c) The garnished amount shall be paid to the Clerk of the Court, 
who shall apply it as follows:

[[Page 213]]

    (1) First, to satisfy the costs of garnishment and court costs.
    (2) Second, to satisfy the judgment.
    (3) Third, the residue (if any) to the judgment debtor.
    (d) Funds of the debtor held by the United States are not subject to 
garnishment.



                       Subpart K--Criminal Actions



Sec. 935.100  Bail.

    (a) A person who is arrested on Wake Island for any violation of 
this part is entitled to be released on bail in an amount set by a Judge 
or Clerk of the Court, which may not exceed the maximum fine for the 
offense charged. If the defendant fails to appear for arraignment, trial 
or sentence, or otherwise breaches any condition of bail, the Court may 
direct a forfeiture of the whole or part of the bail and may on motion 
after notice to the surety or sureties, if any, enter a judgment for the 
amount of the forfeiture.
    (b) The Chief Judge of the Wake Island Court may prescribe a 
schedule of bail for any offense under this part which the defendant may 
elect to post and forfeit without trial, in which case the Court shall 
enter a verdict of guilty and direct forfeiture of the bail.
    (c) Bail will be deposited in cash with the Clerk of the Court.



Sec. 935.101  Seizure of property.

    Any property seized in connection with an alleged offense (unless 
the property is perishable) is retained pending trial in accordance with 
the orders of the Court. The property must be produced in Court, if 
practicable. At the termination of the trial, the Court shall restore 
the property or the funds resulting from the sale of the property to the 
owner, or make such other proper order as may be required and 
incorporate its order in the record of the case. Any item used in the 
commission of the offense, may, upon order of the Court, be forfeited to 
the United States. All contraband, which includes any item that is 
illegal for the owner to possess, shall be forfeited to the United 
States; such forfeiture shall not relieve the owner from whom the item 
was taken from any costs or liability for the proper disposal of such 
item.



Sec. 935.102  Information.

    (a) Any offense may be prosecuted by a written information signed by 
the Island Attorney. However, if the offense is one for which issue of a 
citation is authorized by this part and a citation for the offense has 
been issued, the citation serves as an information.
    (b) A copy of the information shall be delivered to the accused, or 
his counsel, as soon as practicable after it is filed.
    (c) Each count of an information may charge one offense only and 
must be particularized sufficiently to identify the place, the time, and 
the subject matter of the alleged offense. It shall refer to the 
provision of law under which the offense is charged, but any error in 
this reference or its omission may be corrected by leave of Court at any 
time before sentence and is not grounds for reversal of a conviction if 
the error or omission did not mislead the accused to his prejudice.



Sec. 935.103  Motions and pleas.

    (a) Upon motion of the accused at any time after filing of the 
information or copy of citation, the Court may order the prosecutor to 
allow the accused to inspect and copy or photograph designated books, 
papers, documents, or tangible objects obtained from or belonging to the 
accused, or obtained from others by seizure or process, upon a showing 
that the items sought may be material to the preparation of his defense 
and that the request is reasonable.
    (b) When the Court is satisfied that it has jurisdiction to try the 
accused as charged, it shall require the accused to identify himself and 
state whether or not he has counsel. If he has no counsel, but desires 
counsel, the Court shall give him a reasonable opportunity to procure 
counsel.
    (c) When both sides are ready for arraignment, or when the Court 
determines that both sides have had adequate opportunities to prepare 
for arraignment, the Court shall read the charges to the accused, 
explain them (if necessary), and, after the reading or stating of each 
charge in Court, ask the accused whether he pleads ``guilty'' or ``not 
guilty''. The Court shall enter

[[Page 214]]

in the record of the case the plea made to each charge.
    (d) The accused may plead ``guilty'' to any or all of the charges 
against him, except that the Court may in its discretion refuse to 
accept a plea of guilty, and may not accept a plea without first 
determining that the plea is made voluntarily with understanding of the 
nature of the charge.
    (e) The accused may plead ``not guilty'' to any or all of the 
charges against him. The Court shall enter a plea of not guilty if the 
answer of the accused to any charge is such that it does not clearly 
amount to a plea of guilty or not guilty.
    (f) The accused may, at any stage of the trial, with the consent of 
the Court, change a plea of not guilty to one of guilty. The Court shall 
then proceed as if the accused had originally pleaded guilty.



Sec. 935.104  Sentence after a plea of guilty.

    If the Court accepts a plea of guilty to any charge or charges, it 
shall make a finding of guilty on that charge. Before imposing sentence, 
the Court shall hear such statements for the prosecution and defense, if 
any, as it requires to enable it to determine the sentence to be 
imposed. The accused or his counsel may make any reasonable statement he 
wishes in mitigation or of previous good character. The prosecution may 
introduce evidence in aggravation, or of bad character if the accused 
has introduced evidence of good character. The Court shall then impose 
any lawful sentence that it considers proper.



Sec. 935.105  Trial.

    (a) If the accused pleads not guilty, he is entitled to a trial on 
the charges in accordance with procedures prescribed in the Rules of 
Criminal Procedure for the U.S. District Courts (18 U.S.C.), except as 
otherwise provided for in this part, to the extent the Court considers 
practicable and necessary to the ends of justice. There is no trial by 
jury.
    (b) All persons shall give their testimony under oath or 
affirmation. The Chief Judge shall prescribe the oath and affirmation 
that may be administered by any Judge or the Clerk of the Court.
    (c) Upon completion of the trial, the Court shall enter a judgment 
consisting of a finding or findings and sentence or sentences, or 
discharge of the accused.
    (d) The Court may suspend any sentence imposed, may order the 
revocation of any Island automobile permit in motor vehicle cases, and 
may place the accused on probation. It may delay sentencing pending the 
receipt of any presentencing report ordered by it.



                    Subpart L--Appeals and New Trials



Sec. 935.110  Appeals.

    (a) Any party to an action may, within 15 days after judgment, 
appeal an interlocutory order, issue of law, or judgment, except that an 
acquittal may not be appealed, by filing a notice of appeal with the 
Clerk of the Wake Island Court and serving a copy on the opposing party. 
Judgment is stayed while the appeal is pending.
    (b) Upon receiving a notice of appeal with proof of service on the 
opposing party, the Clerk shall forward the record of the action to the 
Wake Island Court of Appeals.
    (c) The appellant shall serve on the opposing party and file a 
memorandum setting forth his grounds of appeal with the Wake Island 
Court of Appeals within 15 days after the date of the judgment. The 
appellee may serve and file a reply memorandum within 15 days 
thereafter. An appeal and the reply shall be deemed to be filed when 
deposited in the U.S. mail with proper postage affixed, addressed to the 
Clerk, Wake Island Court of Appeals, at his address in Washington, DC. 
The period for filing an appeal may be waived by the Court of Appeals 
when the interests of justice so require.
    (d) The Court of Appeals may proceed to judgment on the record, or, 
if the Court considers that the interests of justice so require, grant a 
hearing.
    (e) The decision of the Court of Appeals shall be in writing and 
based on the record prepared by the Wake Island Court, on the 
proceedings before the Court of Appeals, if any be had, and on any 
memoranda that are filed. If the

[[Page 215]]

Court of Appeals considers the record incomplete, the case may be 
remanded to the Wake Island Court for further proceedings.
    (f) The decision of the Court of Appeals is final.



Sec. 935.111  New trial.

    A Judge of the Wake Island Court may order a new trial as required 
in the interest of justice, or vacate any judgment and enter a new one, 
on motion made within a reasonable time after discovery by the moving 
party of matters constituting the grounds upon which the motion for new 
trial or vacation of judgment is made.



                        Subpart M--Peace Officers



Sec. 935.120  Authority.

    Peace officers--
    (a) Have the authority of a sheriff at common law;
    (b) May serve any process on Wake Island that is allowed to be 
served under a Federal or State law; the officer serving the process 
shall execute any required affidavit of service;
    (c) May conduct sanitation or fire prevention inspections;
    (d) May inspect motor vehicles, boats, and aircraft;
    (e) May confiscate property used in the commission of a crime;
    (f) May deputize any member of the Air Force serving on active duty 
or civilian employee of the Department of the Air Force to serve as a 
peace officer;
    (g) May investigate accidents and suspected crimes;
    (h) May direct vehicular or pedestrian traffic;
    (i) May remove and impound abandoned or unlawfully parked vehicles, 
boats, or aircraft, or vehicles, boats, or aircraft interfering with 
fire control apparatus or ambulances;
    (j) May take possession of property lost, abandoned, or of unknown 
ownership;
    (k) May enforce quarantines;
    (l) May impound and destroy food, fish, or beverages found 
unsanitary;
    (m) May be armed;
    (n) May exercise custody over persons in arrest or confinement;
    (o) May issue citations for violations of this part; and
    (p) May make arrests, as provided for in Sec. 935.122.



Sec. 935.121  Qualifications of peace officers.

    Any person appointed as a peace officer must be a citizen of the 
United States and have attained the age of 18 years. The following 
persons, while on Wake Island on official business, shall be deemed 
peace officers: special agents of the Air Force Office of Special 
Investigations, members of the Air Force Security Forces, agents of the 
Federal Bureau of Investigation, United States marshals and their 
deputies, officers and agents of the United States Secret Service, 
agents of the United States Bureau of Alcohol, Tobacco, and Firearms, 
agents of the United States Customs Service, and agents of the United 
States Immigration and Naturalization Service.



Sec. 935.122  Arrests.

    (a) Any person may make an arrest on Wake Island, without a warrant, 
for any crime (including a petty offense) that is committed in his 
presence.
    (b) Any peace officer may, without a warrant, arrest any person on 
Wake Island who violates any provision of this part or commits a crime 
that is not a violation of this part, in his presence, or that he 
reasonably believes that person to have committed.
    (c) In making an arrest, a peace officer must display a warrant, if 
he has one, or otherwise clearly advise the person arrested of the 
violation alleged, and thereafter require him to submit and be taken 
before the appropriate official on Wake Island.
    (d) In making an arrest, a peace officer may use only the degree of 
force needed to effect submission, and may remove any weapon in the 
possession of the person arrested.
    (e) A peace officer may, whenever necessary to enter any building, 
vehicle, or aircraft to execute a warrant of arrest, force an entry 
after verbal warning.
    (f) A peace officer may force an entry into any building, vehicle, 
or aircraft whenever--

[[Page 216]]

    (1) It appears necessary to prevent serious injury to persons or 
damage to property and time does not permit the obtaining of a warrant;
    (2) To effect an arrest when in hot pursuit; or
    (3) To prevent the commission of a crime which he reasonably 
believes is being committed or is about to be committed.



Sec. 935.123  Warrants.

    Any Judge may issue or direct the Clerk to issue a warrant for 
arrest if, upon complaint, it appears that there is probable cause to 
believe an offense has been committed and that the person named in the 
warrant has committed it. If a Judge is not available, the warrant may 
be issued by the Clerk and executed, but any such warrant shall be 
thereafter approved or quashed by the first available Judge. The issuing 
officer shall--
    (a) Place the name of the person charged with the offense in the 
warrant, or if his name is not known, any name or description by which 
he can be identified with reasonable certainty;
    (b) Describe in the warrant the offense charged;
    (c) Place in the warrant a command that the person charged with the 
offense be arrested and brought before the Wake Island Court;
    (d) Sign the warrant; and
    (e) Issue the warrant to a peace officer for execution.



Sec. 935.124  Release from custody.

    The Chief Judge may authorize the Clerk to issue pro forma orders of 
the Court discharging any person from custody, with or without bail, 
pending trial, whenever further restraint is not required for protection 
of persons or property on Wake Island. Persons not so discharged shall 
be brought before a Judge or U.S. Magistrate as soon as a Judge or 
Magistrate is available. Judges may discharge defendants from custody, 
with or without bail or upon recognizance, or continue custody pending 
trial as the interests of justice and public safety require.



Sec. 935.125  Citation in place of arrest.

    In any case in which a peace officer may make an arrest without a 
warrant, he may issue and serve a citation if he considers that the 
public interest does not require an arrest. The citation must briefly 
describe the offense charged and direct the accused to appear before the 
Wake Island Court at a designated time and place.



                      Subpart N--Motor Vehicle Code



Sec. 935.130  Applicability.

    This subpart applies to self-propelled motor vehicles (except 
aircraft), including attached trailers.



Sec. 935.131  Right-hand side of the road.

    Each person driving a motor vehicle on Wake Island shall drive on 
the right-hand side of the road, except where necessary to pass or on 
streets where a sign declaring one-way traffic is posted.



Sec. 935.132  Speed limits.

    Each person operating a motor vehicle on Wake Island shall operate 
it at a speed--
    (a) That is reasonable, safe, and proper, considering time of day, 
road and weather conditions, the kind of motor vehicle, and the 
proximity to persons or buildings, or both; and
    (b) That does not exceed 40 miles an hour or such lesser speed limit 
as may be posted.



Sec. 935.133  Right-of-way.

    (a) A pedestrian has the right-of-way over vehicular traffic when in 
the vicinity of a building, school, or residential area.
    (b) In any case in which two motor vehicles have arrived at an 
uncontrolled intersection at the same time, the vehicle on the right has 
the right-of-way.
    (c) If the driver of a motor vehicle enters an intersection with the 
intent of making a left turn, he shall yield the right-of-way to any 
other motor vehicle that has previously entered the intersection or is 
within hazardous proximity.
    (d) When being overtaken by another motor vehicle, the driver of the 
slower vehicle shall move it to the right to allow safe passing.

[[Page 217]]

    (e) The driver of a motor vehicle shall yield the right-of-way to 
emergency vehicles on an emergency run.



Sec. 935.134  Arm signals.

    (a) Any person operating a motor vehicle and making a turn or coming 
to a stop shall signal the turn or stop in accordance with this section.
    (b) A signal for a turn or stop is made by fully extending the left 
arm as follows:
    (1) Left turn--extend left arm horizontally.
    (2) Right turn--extend left arm upward.
    (3) Stop or decrease speed--extend left arm downward.
    (c) A signal light or other device may be used in place of an arm 
signal prescribed in paragraph (b) of this section if it is visible and 
intelligible.



Sec. 935.135  Turns.

    (a) Each person making a right turn in a motor vehicle shall make 
the approach and turn as close as practicable to the right-hand curb or 
road edge.
    (b) Each person making a left turn in a motor vehicle shall make the 
approach and turn immediately to the right of the center of the road, 
except that on multi-lane roads of one-way traffic flow he may make the 
turn only from the left lane.
    (c) No person may make a U-turn in a motor vehicle if he cannot be 
seen by the driver of any approaching vehicle within a distance of 500 
feet.
    (d) No person may place a vehicle in motion from a stopped position, 
or change from or merge into a lane of traffic, until he can safely make 
that movement.



Sec. 935.136  General operating rules.

    No person may, while on Wake Island--
    (a) Operate a motor vehicle in a careless or reckless manner;
    (b) Operate or occupy a motor vehicle while he is under the 
influence of a drug or intoxicant;
    (c) Consume an alcoholic beverage (including beer, ale, or wine) 
while he is in a motor vehicle;
    (d) Operate a motor vehicle that is overloaded or is carrying more 
passengers than it was designed to carry;
    (e) Ride on the running board, step, or outside of the body of a 
moving motor vehicle;
    (f) Ride a moving motor vehicle with his arm or leg protruding, 
except when using the left arm to signal a turn;
    (g) Operate a motor vehicle in a speed contest or drag race;
    (h) Park a motor vehicle for a period longer than the posted time 
limit;
    (i) Stop, park, or operate a motor vehicle in a manner that impedes 
or blocks traffic;
    (j) Park a motor vehicle in an unposted area, except adjacent to the 
right-hand curb or edge of the road;
    (k) Park a motor vehicle in a reserved or restricted parking area 
that is not assigned to him;
    (l) Sound the horn of a motor vehicle, except as a warning signal;
    (m) Operate a tracked or cleated vehicle in a manner that damages a 
paved or compacted surface;
    (n) Operate any motor vehicle contrary to a posted traffic sign;
    (o) Operate a motor vehicle as to follow any other vehicle closer 
than is safe under the circumstances;
    (p) Operate a motor vehicle off of established roads, or in a cross-
country manner, except when necessary in conducting business;
    (q) Operate a motor vehicle at night or when raining on the traveled 
part of a street or road, without using operating headlights; or
    (r) Operate a motor vehicle without each passenger wearing a safety 
belt; this shall not apply to military combat vehicles designed and 
fabricated without safety belts.



Sec. 935.137  Operating requirements.

    Each person operating a motor vehicle on Wake Island shall--
    (a) Turn off the highbeam headlights of his vehicle when approaching 
an oncoming vehicle at night; and
    (b) Comply with any special traffic instructions given by an 
authorized person.



Sec. 935.138  Motor bus operation.

    Each person operating a motor bus on Wake Island shall--
    (a) Keep its doors closed while the bus is moving with passengers on 
board; and

[[Page 218]]

    (b) Refuse to allow any person to board or alight the bus while it 
is moving.



Sec. 935.139  Motor vehicle operator qualifications.

    (a) No person may operate a privately owned motor vehicle on Wake 
Island unless he has an island operator's permit.
    (b) The Commander may issue an operator's permit to any person who 
is at least 18 years of age and satisfactorily demonstrates safe-driving 
knowledge, ability, and physical fitness.
    (c) No person may operate, on Wake Island, a motor vehicle owned by 
the United States unless he holds a current operator's permit issued by 
the United States.
    (d) Each person operating a motor vehicle on Wake Island shall 
present his operator's permit to any peace officer, for inspection, upon 
request.



Sec. 935.140  Motor vehicle maintenance and equipment.

    (a) Each person who has custody of a motor vehicle on Wake Island 
shall present that vehicle for periodic safety inspection, as required 
by the Commander.
    (b) No person may operate a motor vehicle on Wake Island unless it 
is in a condition that the Commander considers to be safe and operable.
    (c) No person may operate a motor vehicle on Wake Island unless it 
is equipped with an adequate and properly functioning--
    (1) Horn;
    (2) Wiper, for any windshield;
    (3) Rear vision mirror;
    (4) Headlights and taillights;
    (5) Brakes;
    (6) Muffler;
    (7) Spark or ignition noise suppressors; and
    (8) Safety belts.
    (d) No person may operate a motor vehicle on Wake Island if that 
vehicle is equipped with a straight exhaust or muffler cutoff.



               Subpart O--Registration and Island Permits



Sec. 935.150  Registration.

    (a) Each person who has custody of any of the following on Wake 
Island shall register it with the Commander.
    (1) A privately owned motor vehicle.
    (2) A privately owned boat.
    (3) An indigenous animal, military working dog, or guide dog for the 
blind or visually-impaired accompanying its owner.
    (4) A narcotic or dangerous drug or any poison.
    (b) Each person who obtains custody of an article described in 
paragraph (a) (4) of this section shall register it immediately upon 
obtaining custody. Each person who obtains custody of any other article 
described in paragraph (a) of this section shall register it within 10 
days after obtaining custody.



Sec. 935.151  Island permit for boat and vehicle.

    (a) No person may use a privately owned motor vehicle or boat on 
Wake Island unless he has an island permit for it.
    (b) The operator of a motor vehicle shall display its registration 
number on the vehicle in a place and manner prescribed by the Commander.



Sec. 935.152  Activities for which permit is required.

    No person may engage in any of the following on Wake Island unless 
he has an island permit:
    (a) Any business, commercial, or recreational activity conducted for 
profit, including a trade, profession, calling, or occupation, or an 
establishment where food or beverage is prepared, offered, or sold for 
human consumption (except for personal or family use).
    (b) The practice of any medical profession, including dentistry, 
surgery, osteopathy, and chiropractic.
    (c) The erection of any structure or sign, including a major 
alteration or enlargement of an existing structure.
    (d) The burial of any human or animal remains, except that fish and 
bait

[[Page 219]]

scrap may be buried at beaches where fishing is permitted, without 
obtaining a permit.
    (e) Keeping or maintaining an indigenous animal.
    (f) Importing, storing, generating, or disposing of hazardous 
materials.
    (g) Importing of solid wastes and importing, storing, generating, 
treating, or disposing of hazardous wastes, as they are defined in the 
Solid Waste Disposal Act, as amended, 42 U.S.C. 6901 et seq., and its 
implementing regulations (40 CFR chapter I).



                        Subpart P--Public Safety



Sec. 935.160  Emergency requirements and restrictions.

    In the event of any fire, crash, search and rescue, natural 
disaster, national peril, radiological hazard, or other calamitous 
emergency--
    (a) No person may impede or hamper any officer or employee of the 
United States or any other person who has emergency authority;
    (b) No unauthorized persons may congregate at the scene of the 
emergency; and
    (c) Each person present shall promptly obey the instructions, 
signals, or alarms of any peace officer, fire or crash crew, or other 
authorized person, and any orders of the Commander.



Sec. 935.161  Fire hazards.

    (a) Each person engaged in a business or other activity on Wake 
Island shall, at his expense, provide and maintain (in an accessible 
location) fire extinguishers of the type, capacity, and quantity 
satisfactory for protecting life and property in the areas under that 
person's control.
    (b) To minimize fire hazards, no person may store any waste or 
flammable fluids or materials except in a manner and at a place 
prescribed by the Commander.



Sec. 935.162  Use of special areas.

    The Commander may regulate the use of designated or posted areas on 
Wake Island, as follows:
    (a) Restricted areas--which no person may enter without permission.
    (b) Prohibited activities areas--in which no person may engage in 
any activity that is specifically prohibited.
    (c) Special purpose areas-in which no person may engage in any 
activity other than that for which the area is reserved.



Sec. 935.163  Unexploded ordnance material.

    Any person who discovers any unexploded ordnance material on Wake 
Island shall refrain from tampering with it and shall immediately report 
its site to the Commander.



Sec. 935.164  Boat operations.

    The operator of each boat used at Wake Island shall conform to the 
limitations on its operations as the Commander may prescribe in the 
public interest.



Sec. 935.165  Floating objects.

    No person may anchor, moor, or beach any boat, barge, or other 
floating object on Wake Island in any location or manner other than as 
prescribed by the Commander.

[[Page 220]]



             SUBCHAPTER O--SPECIAL INVESTIGATION [RESERVED]





                       SUBCHAPTERS P-S [RESERVED]





                 SUBCHAPTER T--ENVIRONMENTAL PROTECTION





PART 989--ENVIRONMENTAL IMPACT ANALYSIS PROCESS (EIAP)--Table of Contents




Sec.
989.1  Purpose.
989.2  Concept.
989.3  Responsibilities.
989.4  Initial considerations.
989.5  Organizational relationships.
989.6  Budgeting and funding.
989.7  Requests from Non-Air Force agencies or entities.
989.8  Analysis of alternatives.
989.9  Cooperation and adoption.
989.10  Tiering.
989.11  Combining EIAP with other documentation.
989.12  AF Form 813, Request for Environmental Impact Analysis.
989.13  Categorical exclusion.
989.14  Environmental assessment.
989.15  Finding of no significant impact.
989.16  Environmental impact statement.
989.17  Notice of intent.
989.18  Scoping.
989.19  Draft EIS.
989.20  Final EIS.
989.21  Record of decision (ROD).
989.22  Mitigation.
989.23  Contractor prepared documents.
989.24  Public notification.
989.25  Base closure and realignment.
989.26  Classified actions (40 CFR 1507.3(c)).
989.27  Occupational safety and health.
989.28  Airspace and range proposals.
989.29  Force structure and unit move proposals.
989.30  Air quality.
989.31  Pollution prevention.
989.32  Noise.
989.33  Environmental justice.
989.34  Special and emergency procedures.
989.35  Reporting requirements.
989.36  Waivers.
989.37  Procedures for analysis abroad.
989.38  Requirements for analysis abroad.

Appendix A to Part 989--Glossary of References, Abbreviations, Acronyms, 
          and Terms.
Appendix B to Part 989--Categorical Exclusions.
Appendix C to Part 989--Procedures for Holding Public Hearings on Draft 
          Environmental Impact Statements (EIS).

    Authority: 10 U.S.C. 8013.

    Source: 64 FR 38129, July 15, 1999, unless otherwise noted.



Sec. 989.1  Purpose.

    (a) This part implements the Air Force Environmental Impact Analysis 
Process (EIAP) and provides procedures for environmental impact analysis 
both within the United States and abroad. Because the authority for, and 
rules governing, each aspect of the EIAP differ depending on whether the 
action takes place in the United States or outside the United States, 
this part provides largely separate procedures for each type of action. 
Consequently, the main body of this part deals primarily with 
environmental impact analysis under the authority of the National 
Environmental Policy Act of 1969 (NEPA) (Public Law 91-190, 42 United 
States Code (U.S.C.) Sections 4321 through 4347), while the primary 
procedures for environmental impact analysis of actions outside the 
United States in accordance with Executive Order (E.O.) 12114, 
Environmental Effects Abroad of Major Federal Actions, are contained in 
Secs. 989.37 and 989.38.
    (b) The procedures in this part are essential to achieve and 
maintain compliance with NEPA and the Council on Environmental Quality 
(CEQ) Regulations for Implementing the Procedural Provisions of the NEPA 
(40 CFR Parts 1500 through 1508, referred to as the ``CEQ 
Regulations''). Further requirements are contained in Department of 
Defense Directive (DoDD) 4715.1, Environmental Security, Department of 
Defense Instruction (DoDI) 4715.9, Environmental Planning and Analysis, 
DoDD 5000.1, Defense Acquisition, and Department of Defense Regulation 
5000.2-R, Mandatory Procedures for Major Defense Acquisition Programs 
and Major Automated Information System Acquisition Programs.\1\ To 
comply with NEPA and complete the EIAP, the

[[Page 221]]

CEQ Regulations and this part must be used together.
---------------------------------------------------------------------------

    \1\ Copies of the publications are available, at cost, from the 
National Technical Information Service, U.S. Department of Commerce, 
5285 Port Royal Road, Springfield, VA 22161.
---------------------------------------------------------------------------

    (c) Air Force activities abroad will comply with this part, E. O. 
12114, and 32 CFR Part 187 (DoDD 6050.7, Environmental Effects Abroad of 
Major Department of Defense Actions, March 31, 1979). To comply with 
E.O. 12114 and complete the EIAP, the Executive Order, 32 CFR Part 187, 
and this part must be used together.
    (d) Appendix A is a glossary of references, abbreviations, acronyms, 
and terms. Refer to 40 CFR 1508 for definitions of other terminology 
used in this part.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.2  Concept.

    (a) This part provides a framework on how to comply with NEPA and 
E.O. 12114 according to Air Force Policy Directive (AFPD) 32-70 \2\. The 
Air Force specific procedures and requirements in this part are intended 
to be used by Air Force decision-makers to fully comply with NEPA and 
the EIAP.
---------------------------------------------------------------------------

    \2\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (b) Major commands (MAJCOM) provide additional implementing guidance 
in their supplemental publications to this part. MAJCOM supplements must 
identify the specific offices that have implementation responsibility 
and include any guidance needed to comply with this part. All references 
to MAJCOMs in this part include the Air National Guard Readiness Center 
(ANGRC) and other agencies designated as ``MAJCOM equivalent'' by HQ 
USAF.



Sec. 989.3  Responsibilities.

    (a) Office of the Secretary of the Air Force:
    (1) The Deputy Assistant Secretary of the Air Force for Environment, 
Safety and Occupational Health (SAF/MIQ):
    (i) Develops environmental planning policy and provides oversight of 
the EIAP program.
    (ii) Determines the level of environmental analysis required for 
especially important, visible, or controversial Air Force proposals and 
approves selected Environmental Assessments (EAs) and all Environmental 
Impact Statements (EISs) prepared for Air Force actions, whether 
classified or unclassified, except as specified in paragraph (c)(3) of 
this section.
    (iii) Is the liaison on environmental matters with Federal agencies 
and national level public interest organizations.
    (iv) Ensures appropriate offices in the Office of the Secretary of 
Defense are kept informed on EIAP matters of Defense-wide interest.
    (2) The General Counsel (SAF/GC). Provides final legal advice to 
SAF/MI, HQ USAF, and HQ USAF Environment, Safety and Occupational Health 
Committee (ESOHC) on EIAP issues.
    (3) Office of Legislative Liaison (SAF/LL):
    (i) Assists with narrowing and defining key issues by arranging 
consultations with congressional delegations on potentially sensitive 
actions.
    (ii) Distributes draft and final EISs to congressional delegations.
    (iii) Reviews and provides the Office of the Secretary of Defense 
(OSD) with analyses of the Air Force position on proposed and enrolled 
legislation and executive department testimony dealing with EIAP issues.
    (4) Office of Public Affairs (SAF/PA):
    (i) Reviews and clears environmental documents in accordance with 
Air Force Instruction (AFI) 35-101, Public Affairs Policies and 
Procedures \3\ prior to public release.
---------------------------------------------------------------------------

    \3\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (ii) Assists the environmental planning function and the Air Force 
Legal Services Agency, Trial Judiciary Division (AFLSA/JAJT), in 
planning and conducting public scoping meetings and hearings.
    (iii) Ensures that public affairs aspects of all EIAP actions are 
conducted in accordance with this part and AFI 35-101.\4\
---------------------------------------------------------------------------

    \4\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (iv) The National Guard Bureau, Office of Public Affairs (NGB-PA), 
will assume the responsibilities of SAF/PA for the EIAP involving the 
National Guard Bureau, Air Directorate.
    (b) Headquarters U.S. Air Force (HQ USAF). The Civil Engineer (HQ 
USAF/ILE) is responsible for execution of the EIAP program. The National 
Guard

[[Page 222]]

Bureau Air Directorate (NGB-CF) oversees the EIAP for Air National Guard 
actions.
    (c) MAJCOMs, the Air National Guard, Field Operating Agencies 
(FOAs), and Single Manager Programs. These organizations establish 
procedures that comply with this part wherever they are the host unit 
for preparing and using required environmental documentation in making 
decisions about proposed actions and programs within their commands or 
areas of responsibility.
    (1) Air Force Center for Environmental Excellence (AFCEE). The AFCEE 
Environmental Conservation and Planning Directorate (AFCEE/EC) is 
available to provide technical assistance and has the capability to 
provide contract support to the proponent, EPF, and MAJCOMs in 
developing EIAP documents.
    (2) Air Force Regional Environmental Offices (REOs). REOs review 
non-Air Force environmental documents that may have an impact on the Air 
Force. Requests for review of such documents should be directed to the 
proper REO (Atlanta, Dallas, or San Francisco) along with any relevant 
comments. The REO:
    (i) Notifies the proponent, after receipt, that the REO is the 
single point of contact for the Air Force review of the document.
    (ii) Requests comments from potentially affected installations, 
MAJCOMs, the ANG, and HQ USAF, as appropriate.
    (iii) Consolidates comments into the Air Force official response and 
submits the final response to the proponent.
    (iv) Provides to HQ USAF/ILEB and the appropriate MAJCOMs and 
installations a copy of the final response and a complete set of all 
review comments.
    (3) Single Manager Acquisition Programs (system-related NEPA). The 
proponent Single Manager (i.e., System Program Director, Materiel Group 
Managers, and Product Group Managers) for all programs, regardless of 
acquisition category, shall comply with DoD Regulation 5000.2-R. SAF/
AQR, as the Air Force Acquisition Executive Office, is the final 
approval authority for all system-related NEPA documents. SAF/AQR is 
responsible for accomplishing appropriate Headquarters EPC/ESOHC review. 
The Single Manager will obtain appropriate Product Center EPC approval 
prior to forwarding necessary EIAP documents (i.e., Notices of Intent 
(NOIs) and preliminary draft and final EAs and EISs) to SAF/AQR. The 
Single Manager will allow for concurrent review of EIAP documents by HQ 
AFMC/CEV and the Operational Command (HQ ACC, HQ AMC, HQ AFSPC, etc.) 
The Single Manager is responsible for budgeting and funding EIAP 
efforts, including EIAP for research, development, testing, and 
evaluation activities.
    (4) Key Air Force environmental participants. The EIAP must be 
approached as an integrated team effort including key participants 
within the Air Force and also involving outside federal agencies, state, 
Tribal, and local governments, interested outside parties, citizens 
groups, and the general public. Key Air Force participants may include 
the following functional areas, as well as others:

Proponent
Civil Engineers/Environmental Planning Function
Staff Judge Advocate
Public Affairs
Medical Service (Bioenvironmental Engineer)
Safety Office
Range and Airspace Managers
Bases and Units
Plans and Programs
Logistics
Personnel
Legislative Liaison

    (d) Proponent. Each office, unit, single manager, or activity at any 
level that initiates Air Force actions is responsible for:
    (1) Complying with the EIAP and shall ensure integration of the EIAP 
during the initial planning stages of proposed actions so that planning 
and decisions reflect environmental values, delays are avoided later in 
the process, and potential conflicts are precluded.
    (2) Notifying the EPF of a pending action and completing Section I 
of AF Form 813, Request for Environmental Impact Analysis. Prepare the 
Description of Proposed Action and Alternatives (DOPAA) through an 
interdisciplinary team approach including

[[Page 223]]

the EPF and other key Air Force participants.
    (3) Identifying key decision points and coordinating with the EPF on 
EIAP phasing to ensure that environmental documents are available to the 
decision-maker before the final decision is made and ensuring that, 
until the EIAP is complete, resources are not committed prejudicing the 
selection of alternatives nor actions taken having an adverse 
environmental impact or limiting the choice of reasonable alternatives.
    (4) Determining, with the EPF, as early as possible whether to 
prepare an EIS. The proponent and the EPF will conduct an early internal 
scoping process as part of the EIAP process. The internal scoping 
process should involve key Air Force environmental participants (see 
Sec. 989.3(c)(4)) and other Air Force offices as needed and conclude 
with preparation of a DOPAA. For complex or detailed EAs or EISs, an 
outside facilitator trained in EIAP may be used to focus and guide the 
discussion. Department of the Air Force personnel, rather than 
contractors, should generally be used to prepare the DOPAA.
    (5) Presenting the DOPAA to the EPC for review and comment.
    (6) Coordinating with the EPF, Public Affairs, and Staff Judge 
Advocate prior to organizing public or interagency meetings which deal 
with EIAP elements of a proposed action and involving persons or 
agencies outside the Air Force.
    (7) Subsequent to the decision to prepare an EIS, assisting the EPF 
and Public Affairs Office in preparing a draft NOI to prepare an EIS. 
All NOIs must be forwarded through the MAJCOM EPF to HQ USAF/ILEB for 
review and publication in the Federal Register. Publication in the 
Federal Register is accomplished in accordance with AFI 37-120, Federal 
Register.\5\ (See Sec. 989.17.)
---------------------------------------------------------------------------

    \5\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (8) Ensuring that proposed actions are implemented as described in 
the final EIAP decision documents.
    (e) Environmental Planning Function (EPF). At every level of 
command, the EPF is one of the key Air Force participants responsible 
for the EIAP. The EPF can be the environmental flight within a civil 
engineer squadron, a separate environmental management office at an 
installation, the CEV at MAJCOMs, or an equivalent environmental 
function located with a program office. The EPF:
    (1) Supports the EIAP by bringing key participants in at the 
beginning of a proposed action and involving them throughout the EIAP. 
Key participants play an important role in defining and focusing key 
issues at the initial stage.
    (2) At the request of the proponent, prepares environmental 
documents using an interdisciplinary approach, or obtains technical 
assistance through Air Force channels or contract support. Assists the 
proponent in obtaining review of environmental documents.
    (3) Assists the proponent in preparing a DOPAA and actively supports 
the proponent during all phases of the EIAP.
    (4) Evaluates proposed actions and completes Sections II and III of 
AF Form 813, subsequent to submission by the proponent and determines 
whether a Categorical Exclusion (CATEX) applies. The responsible EPF 
member signs the AF Form 813 certification.
    (5) Identifies and documents, with technical advice from the 
Bioenvironmental Engineer and other staff members, environmental quality 
standards that relate to the action under evaluation.
    (6) Supports the proponent in preparing environmental documents, or 
obtains technical assistance through Air Force channels or contract 
support and adopts the documents as official Air Force papers when 
completed and approved.
    (7) Ensures the EIAP is conducted on base-level and MAJCOM-level 
plans, including contingency plans for the training, movement, and 
operations of Air Force personnel and equipment.
    (8) Prepares the NOI to prepare an EIS with assistance from the 
proponent and the Public Affairs Office.
    (9) Prepares applicable portions of the Certificate of Compliance 
for each

[[Page 224]]

military construction project according to AFI 32-1021, Planning and 
Programming of Facility Construction Projects.\6\
---------------------------------------------------------------------------

    \6\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (10) Submits one hard copy and one electronic copy of the final EA/
Finding of No Significant Impact (FONSI) and EIS/Record of Decision 
(ROD) to the Defense Technical Information Center.
    (f) Environmental Protection Committee (EPC). The EPC helps 
commanders assess, review, and approve EIAP documents in accordance with 
AFI 32-7005, Environmental Protection Committees.\7\
---------------------------------------------------------------------------

    \7\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (g) Staff Judge Advocate (SJA). The Staff Judge Advocate:
    (1) Advises the proponent, EPF, and EPC on CATEX determinations and 
the legal sufficiency of environmental documents.
    (2) Advises the EPF during the scoping process of issues that should 
be addressed in EISs and on procedures for the conduct of public 
hearings.
    (3) Coordinates the appointment of the independent hearing officer 
with AFLSA/JAJT and provides support for the hearing officer in cases of 
public hearings on the draft EIS. The proponent pays administrative and 
Temporary Duty (TDY) costs. The hearing officer presides at hearings and 
makes final decisions regarding hearing procedures.
    (4) Promptly refers all matters causing or likely to cause 
substantial public controversy or litigation through channels to AFLSA/
JACE (or NGB-JA).
    (h) Public Affairs Officer. This officer:
    (1) Advises the EPF, the EPC, and the proponent on public affairs 
activities on proposed actions and reviews environmental documents for 
public involvement issues.
    (2) Advises the EPF of issues and competing interests that should be 
addressed in the EIS or EA.
    (3) Assists in preparation of and attends public meetings or media 
sessions on environmental issues.
    (4) Prepares, coordinates, and distributes news releases and other 
public information materials related to the proposal and associated EIAP 
documents.
    (5) Notifies the media (television, radio, newspaper) and purchases 
advertisements when newspapers will not run notices free of charge. The 
EPF will fund the required advertisements.
    (6) Determines and ensures Security Review requirements are met for 
all information proposed for public release.
    (7) For more comprehensive instructions about public affairs 
activities in environmental matters, see AFI 35-101.\8\
---------------------------------------------------------------------------

    \8\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------

    (i) Medical Service. The Medical Service, represented by the 
Bioenvironmental Engineer, provides technical assistance to EPFs in the 
areas of environmental health standards, environmental effects, and 
environmental monitoring capabilities. The Air Force Armstrong 
Laboratory, Occupational and Environmental Health Directorate, provides 
additional technical support.
    (j) Safety Office. The Safety Office provides technical review and 
assistance to EPFs to ensure consideration of safety standards and 
requirements.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.4  Initial considerations.

    Air Force personnel will:
    (a) Consider and document environmental effects of proposed Air 
Force actions through AF Forms 813, EAs, FONSIs, EISs, RODs, and 
documents prepared according to E.O. 12114.
    (b) Evaluate proposed actions for possible CATEX from environmental 
impact analysis (appendix B).
    (c) Make environmental documents, comments, and responses, including 
those of other federal agencies, state, Tribal, and local governments, 
and the public, part of the record available for review and use at all 
levels of decisionmaking.
    (d) Review the specific alternatives analyzed in the EIAP when 
evaluating the proposal prior to decisionmaking.
    (e) Ensure that alternatives to be considered by the decisionmaker 
are both reasonable and within the range of alternatives analyzed in the 
environmental documents.

[[Page 225]]

    (f) Pursue the objective of furthering foreign policy and national 
security interests while at the same time considering important 
environmental factors.
    (g) Consider the environmental effects of actions that affect the 
global commons.
    (h) Determine whether any foreign government should be informed of 
the availability of environmental documents. Formal arrangements with 
foreign governments concerning environmental matters and communications 
with foreign governments concerning environmental agreements will be 
coordinated with the Department of State by the Deputy Assistant 
Secretary of the Air Force for Environment, Safety, and Occupational 
Health (SAF/MIQ) through the Deputy Under Secretary of Defense 
(Environmental Security). This coordination requirement does not apply 
to informal working-level communications and arrangements.



Sec. 989.5  Organizational relationships.

    (a) The host EPF manages the EIAP using an interdisciplinary team 
approach. This is especially important for tenant-proposed actions, 
because the host command is responsible for the EIAP for actions related 
to the host command's installations.
    (b) The host command prepares environmental documents internally or 
directs the host base to prepare the environmental documents. 
Environmental document preparation may be by contract (requiring the 
tenant to fund the EIAP), by the tenant unit, or by the host. Regardless 
of the preparation method, the host command will ensure the required 
environmental analysis is accomplished before a decision is made on the 
proposal and an action is undertaken. Support agreements should provide 
specific procedures to ensure host oversight of tenant compliance, 
tenant funding or reimbursement of host EIAP costs, and tenant 
compliance with the EIAP regardless of the tenant not being an Air Force 
organization.
    (c) For aircraft beddown and unit realignment actions, program 
elements are identified in the Program Objective Memorandum. Subsequent 
Program Change Requests must include AF Form 813.
    (d) To ensure timely initiation of the EIAP, SAF/AQ forwards 
information copies of all Mission Need Statements and System Operational 
Requirements Documents to SAF/MIQ, HQ USAF/ILEB (or ANGRC/CEV), the Air 
Force Medical Operations Agency, Aerospace Medicine Office (AFMOA/SG), 
and the affected MAJCOM EPFs.
    (e) The MAJCOM of the scheduling unit managing affected airspace is 
responsible for preparing and approving environmental analyses.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.6  Budgeting and funding.

    Contract EIAP efforts are proponent MAJCOM responsibilities. Each 
year, the EPF programs for anticipated out-year EIAP workloads based on 
inputs from command proponents. If proponent offices exceed the budget 
in a given year or identify unforeseen requirements, the proponent 
offices must provide the remaining funding.



Sec. 989.7  Requests from Non-Air Force agencies or entities.

    (a) Non-Air Force agencies or entities may request the Air Force to 
undertake an action, such as issuing a permit or outleasing Air Force 
property, that may primarily benefit the requester or an agency other 
than the Air Force. The EPF and other Air Force staff elements must 
identify such requests and coordinate with the proponent of the non-Air 
Force proposal, as well as with concerned state, Tribal, and local 
governments.
    (b) Air Force decisions on such proposals must take into 
consideration the potential environmental impacts of the applicant's 
proposed activity (as described in an Air Force environmental document), 
insofar as the proposed action involves Air Force property or programs, 
or requires Air Force approval.
    (c) The Air Force may require the requester to prepare, at the 
requester's expense, an analysis of environmental impacts (40 CFR 
1506.5), or the requester may be required to pay for an EA or EIS to be 
prepared by a contractor selected and supervised by the Air Force. The 
EPF may permit requesters to submit draft EAs for their

[[Page 226]]

proposed actions, except for actions described in Sec. 989.16(a) and 
(b), or for actions the EPF has reason to believe will ultimately 
require an EIS. For EISs, the EPF has the responsibility to prepare the 
environmental document, although responsibility for funding remains with 
the requester. The fact that the requester has prepared environmental 
documents at its own expense does not commit the Air Force to allow or 
undertake the proposed action or its alternatives. The requester is not 
entitled to any preference over other potential parties with whom the 
Air Force might contract or make similar arrangements.
    (d) In no event is the requester who prepares or funds an 
environmental analysis entitled to reimbursement from the Air Force. 
When requesters prepare environmental documents outside the Air Force, 
the Air Force must independently evaluate and approve the scope and 
content of the environmental analyses before using the analyses to 
fulfill EIAP requirements. Any outside environmental analysis must 
evaluate reasonable alternatives as defined in Sec. 989.8.



Sec. 989.8  Analysis of alternatives.

    (a) The Air Force must analyze reasonable alternatives to the 
proposed action and the ``no action'' alternative in all EAs and EISs, 
as fully as the proposed action alternative.
    (b) ``Reasonable'' alternatives are those that meet the underlying 
purpose and need for the proposed action and that would cause a 
reasonable person to inquire further before choosing a particular course 
of action. Reasonable alternatives are not limited to those directly 
within the power of the Air Force to implement. They may involve another 
government agency or military service to assist in the project or even 
to become the lead agency. The Air Force must also consider reasonable 
alternatives raised during the scoping process (see Sec. 989.18) or 
suggested by others, as well as combinations of alternatives. The Air 
Force need not analyze highly speculative alternatives, such as those 
requiring a major, unlikely change in law or governmental policy. If the 
Air Force identifies a large number of reasonable alternatives, it may 
limit alternatives selected for detailed environmental analysis to a 
reasonable range or to a reasonable number of examples covering the full 
spectrum of alternatives.
    (c) The Air Force may expressly eliminate alternatives from detailed 
analysis, based on reasonable selection standards (for example, 
operational, technical, or environmental standards suitable to a 
particular project). In consultation with the EPF, the appropriate Air 
Force organization may develop written selection standards to firmly 
establish what is a ``reasonable'' alternative for a particular project, 
but they must not so narrowly define these standards that they 
unnecessarily limit consideration to the proposal initially favored by 
proponents. This discussion of reasonable alternatives applies equally 
to EAs and EISs.
    (d) Except in those rare instances where excused by law, the Air 
Force must always consider and assess the environmental impacts of the 
``no action'' alternative. ``No action'' may mean either that current 
management practice will not change or that the proposed action will not 
take place. If no action would result in other predictable actions, 
those actions should be discussed within the no action alternative 
section. The discussion of the no action alternative and the other 
alternatives should be comparable in detail to that of the proposed 
action.



Sec. 989.9  Cooperation and adoption.

    (a) Lead and cooperating agency (40 CFR 1501.5 and 1501.6). When the 
Air Force is a cooperating agency in the preparation of an EIS, the Air 
Force reviews and approves principal environmental documents within the 
EIAP as if they were prepared by the Air Force. The Air Force executes a 
ROD for its program decisions that are based on an EIS for which the Air 
Force is a cooperating agency. The Air Force may also be a lead or 
cooperating agency on an EA using similar procedures, but the MAJCOM EPC 
retains approval authority unless otherwise directed by HQ USAF. Before 
invoking provisions of 40 CFR 1501.5(e), the lowest authority level 
possible resolves disputes concerning which agency is the lead agency.

[[Page 227]]

    (b) Adoption of EA or EIS. The Air Force, even though not a 
cooperating agency, may adopt an EA or EIS prepared by another entity 
where the proposed action is substantially the same as the action 
described in the EA or EIS. In this case, the EA or EIS must be 
recirculated as a final EA or EIS but the Air Force must independently 
review the EA or EIS and determine that it is current and that it 
satisfies the requirements of this part. The Air Force then prepares its 
own FONSI or ROD, as the case may be. In the situation where the 
proposed action is not substantially the same as that described in the 
EA or the EIS, the Air Force may adopt the EA or EIS, or a portion 
thereof, by circulating the EA or EIS as a draft and then preparing the 
final EA or EIS.



Sec. 989.10  Tiering.

    The Air Force should use tiered (40 CFR 1502.20) environmental 
documents, and environmental documents prepared by other agencies, to 
eliminate repetitive discussions of the same issues and to focus on the 
issues relating to specific actions. If the Air Force adopts another 
Federal agency's environmental document, subsequent Air Force 
environmental documents may also be tiered.



Sec. 989.11  Combining EIAP with other documentation.

    (a) The EPF combines environmental analysis with other related 
documentation when practicable (40 CFR 1506.4) following the procedures 
prescribed by the CEQ regulations and this part.
    (b) The EPF must integrate comprehensive planning (AFI 32-7062, Air 
Force Comprehensive Planning \9\) with the requirements of the EIAP. 
Prior to making a decision to proceed, the EPF must analyze the 
environmental impacts that could result from implementation of a 
proposal identified in the comprehensive plan.
---------------------------------------------------------------------------

    \9\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------



Sec. 989.12  AF Form 813, Request for Environmental Impact Analysis.

    The Air Force uses AF Form 813 to document the need for 
environmental analysis or for certain CATEX determinations for proposed 
actions. The form helps narrow and focus the issues to potential 
environmental impacts. AF Form 813 must be retained with the EA or EIS 
to record the focusing of environmental issues.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.13  Categorical exclusion.

    (a) CATEXs define those categories of actions that do not 
individually or cumulatively have potential for significant effect on 
the environment and do not, therefore, require further environmental 
analysis in an EA or an EIS. The list of Air Force-approved CATEXs is in 
Appendix B. Supplements to this part may not add CATEXs or expand the 
scope of the CATEXs in Appendix B.
    (b) Characteristics of categories of actions that usually do not 
require either an EIS or an EA (in the absence of extraordinary 
circumstances) include:
    (1) Minimal adverse effect on environmental quality.
    (2) No significant change to existing environmental conditions.
    (3) No significant cumulative environmental impact.
    (4) Socioeconomic effects only.
    (5) Similarity to actions previously assessed and found to have no 
significant environmental impacts.
    (c) CATEXs apply to actions in the United States and abroad. General 
exemptions specific to actions abroad are in 32 CFR part 187. The EPF or 
other decision-maker forwards requests for additional exemption 
determinations for actions abroad to HQ USAF/ILEB with a justification 
letter.
    (d) Normally, any decision-making level may determine the 
applicability of a CATEX and need not formally record the determination 
on AF Form 813 or elsewhere, except as noted in the CATEX list.
    (e) Application of a CATEX to an action does not eliminate the need 
to meet air conformity requirements (see Sec. 989.30).

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]

[[Page 228]]



Sec. 989.14  Environmental assessment.

    (a) When a proposed action is one not usually requiring an EIS but 
is not categorically excluded, the EPF supports the proponent in 
preparing an EA (40 CFR 1508.9). Every EA must lead to either a FONSI, a 
decision to prepare an EIS, or no action on the proposal.
    (b) Whenever a proposed action usually requires an EIS, the EPF 
responsible for the EIAP may prepare an EA to definitively determine if 
an EIS is required based on the analysis of environmental impacts. 
Alternatively, the EPF may choose to bypass the EA and proceed with 
preparation of an EIS.
    (c) An EA is a written analysis that:
    (1) Provides analysis sufficient to determine whether to prepare an 
EIS or a FONSI.
    (2) Aids the Air Force in complying with the NEPA when no EIS is 
required.
    (d) The length of an EA should be as short and concise as possible, 
while matching the magnitude of the proposal. An EA briefly discusses 
the need for the proposed action, reasonable alternatives to the 
proposed action, the affected environment, the environmental impacts of 
the proposed action and alternatives (including the ``no action'' 
alternative), and a listing of agencies and persons consulted during 
preparation. The EA should not contain long descriptions or lengthy, 
detailed data. Rather, incorporate by reference background data to 
support the concise discussion of the proposal and relevant issues.
    (e) The format for the EA may be the same as the EIS. The 
alternatives section of an EA and an EIS are similar and should follow 
the alternatives analysis guidance outlined in Sec. 989.8.
    (f) The EPF should design the EA to facilitate rapidly transforming 
the document into an EIS if the environmental analysis reveals a 
significant impact.
    (g) As a finding contained in the draft FONSI, a Finding of No 
Practicable Alternative (FONPA) must be submitted (five hard copies and 
an electronic version) to the MAJCOM EPF when the alternative selected 
could be located in wetlands or floodplains, and must discuss why no 
other practicable alternative exists to avoid impacts. See AFI 32-7064, 
Integrated Natural Resources Management.
    (h) EAs and accompanying FONSIs that require the Air Force to make 
Clean Air Act General Conformity Determinations shall be submitted (five 
hard copies and an electronic version) through the MAJCOM EPF to HQ 
USAF/ILEB for SAF/MIQ approval. SAF/MIQ signs all General Conformity 
Determinations and will also sign the companion FONSIs, when requested 
by the MAJCOM (see Sec. 989.30).
    (i) In cases potentially involving a high degree of controversy or 
Air Force-wide concern, the MAJCOM, after consultation with HQ USAF/
ILEB, may request HQ USAF ESOHC review and approval of an EA, or HQ USAF 
may direct the MAJCOM to forward an EA (five hard copies and an 
electronic version) for HQ USAF ESOHC review and approval.
    (j) As a minimum, the following EAs require MAJCOM approval because 
they involve topics of special importance or interest. Unless directed 
otherwise by HQ USAF/ILEB, the installation EPF must forward the 
following types of EAs to the MAJCOM EPF, along with an unsigned draft 
FONSI: (MAJCOMs can require other EAs to receive MAJCOM approval in 
addition to those types specified here.)
    (1) All EAs on non-Air Force proposals that require an Air Force 
decision, such as use of Air Force property for highways, space ports, 
and joint-use proposals.
    (2) EAs where mitigation to insignificance is accomplished in lieu 
of initiating an EIS (Sec. 989.22(c)).
    (k) A few examples of actions that normally require preparation of 
an EA (except as indicated in the CATEX list) include:
    (1) Public land withdrawals of less than 5,000 acres.
    (2) Minor mission realignments and aircraft beddowns.
    (3) New building construction on base within developed areas.
    (4) Minor modifications to Military Operating Areas (MOAs), air-to-
ground weapons ranges, and military training routes.
    (l) The Air Force will involve other federal agencies, state, 
Tribal, and local governments, and the public in

[[Page 229]]

the preparation of EAs (40 CFR 1501.4(b) and 1506.6). The extent of 
involvement usually coincides with the magnitude and complexity of the 
proposed action and its potential environmental effect on the area. For 
proposed actions described in Sec. 989.15(e)(2), use either the scoping 
process described in Sec. 989.18 or the public notice process in 
Sec. 989.24.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.15  Finding of no significant impact.

    (a) The FONSI (40 CFR 1508.13) briefly describes why an action would 
not have a significant effect on the environment and thus will not be 
the subject of an EIS. The FONSI must summarize the EA or, preferably, 
have it attached and incorporated by reference, and must note any other 
environmental documents related to the action.
    (b) If the EA is not incorporated by reference, the FONSI must 
include:
    (1) Name of the action.
    (2) Brief description of the action (including alternatives 
considered and the chosen alternative).
    (3) Brief discussion of anticipated environmental effects.
    (4) Conclusions leading to the FONSI.
    (5) All mitigation actions that will be adopted with implementation 
of the proposal (see Sec. 989.22).
    (c) Keep FONSIs as brief as possible. Only rarely should FONSIs 
exceed two typewritten pages. Stand-alone FONSIs without an attached EA 
may be longer.
    (d) For actions of regional or local interest, disseminate the FONSI 
according to Sec. 989.24. The MAJCOM and NGB are responsible for release 
of FONSIs to regional offices of Federal agencies, the state single 
point of contact (SPOC), and state agencies concurrent with local 
release by the installations.
    (e) The EPF must make the EA and unsigned FONSI available to the 
affected public and provide the EA and unsigned FONSI to organizations 
and individuals requesting them and to whomever the proponent or the EPF 
has reason to believe is interested in the action, unless disclosure is 
precluded for security classification reasons. Draft EAs and unsigned 
draft FONSIs will be clearly identified as drafts and distributed via 
cover letter which will explain their purpose and need. The EPF provides 
a copy of the documents without cost to organizations and individuals 
requesting them. The FONSI transmittal date (date of letter of 
transmittal) to the state SPOC or other equivalent agency is the 
official notification date.
    (1) Before the FONSI is signed and the action is implemented, the 
EPF should allow sufficient time to receive comments from the public. 
The time period will reflect the magnitude of the proposed action and 
its potential for controversy. The greater the magnitude of the proposed 
action or its potential for controversy, the longer the time that must 
be allowed for public review. Mandatory review periods for certain 
defined actions are contained in Sec. 989.15(e)(2). These are not all 
inclusive but merely specific examples. In every case where an EA and 
FONSI are prepared, the proponent and EPF must determine how much time 
will be allowed for public review. In all cases, other than classified 
actions, a public review period should be the norm unless clearly 
unnecessary due to the lack of potential controversy.
    (2) In the following circumstances, the EA and unsigned FONSI are 
made available for public review for at least 30 days before FONSI 
approval and implementing the action (40 CFR 1501.4(e)(2)):
    (i) When the proposed action is, or is closely similar to, one that 
usually requires preparation of an EIS (see Sec. 989.16).
    (ii) If it is an unusual case, a new kind of action, or a precedent-
setting case in terms of its potential environmental impacts.
    (iii) If the proposed action would be located in a floodplain or 
wetland.
    (iv) If the action is mitigated to insignificance in the FONSI, in 
lieu of an EIS (Sec. 989.22(c)).
    (v) If the proposed action is a change to airspace use or 
designation.
    (vi) If the proposed action would have a disproportionately high and 
adverse environmental effect on minority populations and low-income 
populations.
    (f) As a general rule, the same organizational level that prepares 
the EA also reviews and recommends the

[[Page 230]]

FONSI for approval by the EPC. MAJCOMs may decide the level of EA 
approval and FONSI signature, except as provided in Sec. 989.14(g), (h), 
(i), and (j).



Sec. 989.16  Environmental impact statement.

    (a) Certain classes of environmental impacts normally require 
preparation of an EIS (40 CFR 1501.4). These include, but are not 
limited to:
    (1) Potential for significant degradation of the environment.
    (2) Potential for significant threat or hazard to public health or 
safety.
    (3) Substantial environmental controversy concerning the 
significance or nature of the environmental impact of a proposed action.
    (b) Certain other actions normally, but not always, require an EIS. 
These include, but are not limited to:
    (1) Public land withdrawals of over 5,000 acres (Engle Act, 43 
U.S.C. 155 through 158).
    (2) Establishment of new air-to-ground weapons ranges.
    (3) Site selection of new airfields.
    (4) Site selection of major installations.
    (5) Development of major new weapons systems (at decision points 
that involve demonstration, validation, production, deployment, and area 
or site selection for deployment).
    (6) Establishing or expanding supersonic training areas over land 
below 30,000 feet MSL (mean sea level).
    (7) Disposal and reuse of closing installations.



Sec. 989.17  Notice of intent.

    The EPF must furnish, through the MAJCOM, to HQ USAF/ILEB the NOI 
(40 CFR 1508.22) describing the proposed action for congressional 
notification and publication in the Federal Register. The EPF, through 
the host base public affairs office, will also provide the approved NOI 
to newspapers and other media in the area potentially affected by the 
proposed action. The EPF must provide copies of the notice to the SPOC 
and must also distribute it to requesting agencies, organizations, and 
individuals. Along with the draft NOI, the EPF must also forward the 
completed DOPAA, through the MAJCOM, to HQ USAF for information.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.18  Scoping.

    (a) After publication of the NOI for an EIS, the EPF must initiate 
the public scoping process (40 CFR 1501.7) to determine the scope of 
issues to be addressed and to help identify significant environmental 
issues to be analyzed in depth. Methods of scoping range from soliciting 
written comments to conducting public scoping meetings (see 40 CFR 
1501.7 and 1506.6(e)). The scoping process is an iterative, pro-active 
process of communicating with individual citizens, neighborhood, 
community, and local leaders, public interest groups, congressional 
delegations, state, Tribal, and local governments, and federal agencies. 
The scoping process must start prior to official public scoping meetings 
and continue through to preparation of the draft EIS. The purpose of 
this process is to de-emphasize insignificant issues and focus the scope 
of the environmental analysis on significant issues (40 CFR 1500.4(g)). 
Additionally, scoping allows early and more meaningful participation by 
the public. The result of scoping is that the proponent and EPF 
determine the range of actions, alternatives, and impacts to be 
considered in the EIS (40 CFR 1508.25). The EPF must send scripts for 
scoping meetings to USAF/ILEV (or ANGRC/CEV) no later than 30 days 
before the first scoping meeting. Scoping meeting plans are similar in 
content to public hearing plans (see Appendix C). Public scoping 
meetings should generally be held at locations not on the installation.
    (b) Where it is anticipated the proposed action and its alternatives 
will have disproportionately high and adverse human health or 
environmental effects on minority populations or low-income populations, 
special efforts shall be made to reach these populations. This might 
include special informational meetings or notices in minority and low-
income areas concerning the regular scoping process.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001; 66 FR 26793, 
May 15, 2001]

[[Page 231]]



Sec. 989.19  Draft EIS.

    (a) Preliminary draft. The EPF supports the proponent in preparation 
of a preliminary draft EIS (PDEIS) (40 CFR 1502.9) based on the scope of 
issues decided on during the scoping process. The format of the EIS must 
be in accordance with the format recommended in the CEQ regulations (40 
CFR 1502.10 and 1502.11). The CEQ regulations indicate that EISs 
normally contain fewer than 150 pages (300 pages for proposals of 
unusual complexity). The EPF provides a sufficient number of copies of 
the PDEIS to HQ USAF/ILEB for HQ USAF ESOHC security and policy review 
in each member's area of responsibility and to AFCEE/EC for technical 
review.
    (b) Review of draft EIS. After the HQ USAF ESOHC review, the EPF 
assists the appropriate Air Force organization in making any necessary 
revisions to the PDEIS and forwards it to HQ USAF/ILEB as a draft EIS to 
ensure completion of all security and policy reviews and to certify 
releasability. Once the draft EIS is approved, HQ USAF/ILEB notifies the 
EPF to print sufficient copies of the draft EIS for distribution to 
congressional delegations and interested agencies at least 7 calendar 
days prior to publication of the Notice of Availability (NOA) in the 
Federal Register. After congressional distribution, the EPF sends the 
draft EIS to all others on the distribution list. HQ USAF/ILEB then 
files the document with the U.S. Environmental Protection Agency (USEPA) 
and provides a copy to the Deputy Under Secretary of Defense for 
Environmental Security.
    (c) Public review of draft EIS (40 CFR 1502.19 and 1506.6): (1) The 
public comment period for the draft EIS is at least 45 days starting 
from the publication date of the NOA of the draft EIS in the Federal 
Register. USEPA publishes in the Federal Register NOAs of EISs filed 
during the preceding week. This public comment period may be extended by 
the EPF. If the draft EIS is unusually long, the EPF may distribute a 
summary to the public with an attached list of locations (such as public 
libraries) where the entire draft EIS may be reviewed. The EPF must 
distribute the full draft EIS to certain entities, for example, agencies 
with jurisdiction by law or agencies with special expertise in 
evaluating the environmental impacts, and anyone else requesting the 
entire draft EIS (40 CFR 1502.19 and 1506.6).
    (2) The EPF sponsors public hearings on the draft EIS according to 
the procedures in Appendix C to this part. Hearings take place no sooner 
than 15 days after the Federal Register publication of the NOA and at 
least 15 days before the end of the comment period. Scheduling hearings 
toward the end of the comment period is encouraged to allow the public 
to obtain and more thoroughly review the draft EIS. The EPF must provide 
hearing scripts to HQ USAF/ILEB (or ANGRC/CEV) no later than 30 days 
prior to the first public hearing. Public hearings should generally be 
held at off-base locations. Submit requests to deviate from procedures 
in Appendix C to this part to HQ USAF/ILEB for SAF/MIQ approval.
    (3) Where analyses indicate that a proposed action will potentially 
have disproportionately high and adverse human health or environmental 
effects on minority populations or low-income populations, the EPF 
should make special efforts to ensure that these potentially impacted 
populations are brought into the review process.
    (d) Response to comments (40 CFR 1503.4). The EPF must incorporate 
in the Final EIS its responses to comments on the Draft EIS by modifying 
the text and referring in the appendix to where the comment is addressed 
or providing a written explanation in the comments section, or both. The 
EPF may group comments of a similar nature together to allow a common 
response and may also respond to individuals separately.
    (e) Seeking additional comments. The EPF may, at any time during the 
EIS process, seek additional public comments, such as when there has 
been a significant change in circumstances, development of significant 
new information of a relevant nature, or where there is substantial 
environmental controversy concerning the proposed action. Significant 
new information leading to public controversy regarding the scope after 
the scoping process is such a changed circumstance. An additional

[[Page 232]]

public comment period may also be necessary after the publication of the 
draft EIS due to public controversy or changes made as the result of 
previous public comments. Such periods when additional public comments 
are sought shall last for at least 30 days.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.20  Final EIS.

    (a) If changes in the draft EIS are minor or limited to factual 
corrections and responses to comments, the proponent and EPF may, with 
the prior approval of HQ USAF/ILEB and SAF/MIQ, prepare a document 
containing only comments on the Draft EIS, Air Force responses, and 
errata sheets of changes staffed to the HQ USAF ESOHC for coordination. 
However, the EPF must submit the Draft EIS and all of the above 
documents, with a new cover sheet indicating that it is a final EIS (40 
CFR 1503.4(c)), to HQ USAF/ILEB for filing with the EPA (40 CFR 1506.9). 
If more extensive modifications are required, the EPF must prepare a 
preliminary final EIS incorporating these modifications for coordination 
within the Air Force. Regardless of which procedure is followed, the 
final EIS must be processed in the same way as the draft EIS, including 
receipt of copies of the EIS by SAF/LLP, except that the public need not 
be invited to comment during the 30-day post-filing waiting period. The 
Final EIS should be furnished to every person, organization, or agency 
that made substantive comments on the Draft EIS or requested a copy. 
Although the EPF is not required to respond to public comments received 
during this period, comments received must be considered in determining 
final decisions such as identifying the preferred alternative, 
appropriate mitigations, or if a supplemental analysis is required.
    (b) The EPF processes all necessary supplements to EISs (40 CFR 
1502.9) in the same way as the original Draft and Final EIS, except that 
a new scoping process is not required.
    (c) If major steps to advance the proposal have not occurred within 
5 years from the date of the Final EIS approval, reevaluation of the 
documentation should be accomplished to ensure its continued validity.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.21  Record of decision (ROD).

    (a) The proponent and the EPF prepare a draft ROD, formally staff it 
through the MAJCOM EPC, to HQ USAF/ILEB for verification of adequacy, 
and forwards it to either SAF/MIQ or SAF/AQR, as the case may be, for 
approval and designation of the signator. A ROD (40 CFR 1505.2) is a 
concise public document stating what an agency's decision is on a 
specific action. The ROD may be integrated into any other document 
required to implement the agency's decision. A decision on a course of 
action may not be made until the later of the following dates:
    (1) 90 days after publication of the DEIS; or
    (2) 30 days after publication of the NOA of the Final EIS in the 
Federal Register.
    (b) The Air Force must announce the ROD to the affected public as 
specified in Sec. 989.24, except for classified portions. The ROD should 
be concise and should explain the conclusion, the reason for the 
selection, and the alternatives considered. The ROD must identify the 
course of action, whether it is the proposed action or an alternative, 
that is considered environmentally preferable regardless of whether it 
is the alternative selected for implementation. The ROD should summarize 
all the major factors the agency weighed in making its decision, 
including essential considerations of national policy.
    (c) The ROD must state whether the selected alternative employs all 
practicable means to avoid, minimize, or mitigate environmental impacts 
and, if not, explain why.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.22  Mitigation.

    (a) When preparing EIAP documents, indicate clearly whether 
mitigation measures (40 CFR 1508.20) must be implemented for the 
alternative selected. If using Best Management Practices (BMPs), 
identify the specific BMPs

[[Page 233]]

being used and include those BMPs in the mitigation plan. Discuss 
mitigation measures in terms of ``will'' and ``would'' when such 
measures have already been incorporated into the proposal. Use terms 
like ``may'' and ``could'' when proposing or suggesting mitigation 
measures. Both the public and the Air Force community need to know what 
commitments are being considered and selected, and who will be 
responsible for implementing, funding, and monitoring the mitigation 
measures.
    (b) The proponent funds and implements mitigation measures in the 
mitigation plan that is approved by the decision-maker. Where possible 
and appropriate because of amount, the proponent should include the cost 
of mitigation as a line item in the budget for a proposed project. The 
proponent must ensure compliance with mitigation requirements, 
monitoring their effectiveness, and must keep the EPF informed of the 
mitigation status. The EPF reports its status, through the MAJCOM, to HQ 
USAF/ILEB when requested. Upon request, the EPF must also provide the 
results of relevant mitigation monitoring to the public.
    (c) The proponent may ``mitigate to insignificance'' potentially 
significant environmental impacts found during preparation of an EA, in 
lieu of preparing an EIS. The FONSI for the EA must include these 
mitigation measures. Such mitigations are legally binding and must be 
carried out as the proponent implements the project. If, for any reason, 
the project proponent later abandons or revises in environmentally 
adverse ways the mitigation commitments made in the FONSI, the proponent 
must prepare a supplemental EIAP document before continuing the project. 
If potentially significant environmental impacts would result from any 
project revisions, the proponent must prepare an EIS.
    (d) For each FONSI or ROD containing mitigation measures, the 
proponent prepares a plan specifically identifying each mitigation, 
discussing how the proponent will execute the mitigations, identifying 
who will fund and implement the mitigations, and stating when the 
proponent will complete the mitigation. The mitigation plan will be 
forwarded, through the MAJCOM EPF to HQ USAF/ILEB for review within 90 
days from the date of signature of the FONSI or ROD.

[64 FR 38129, July 15, 1999; 66 FR 16868, Mar. 28, 2001]



Sec. 989.23  Contractor prepared documents.

    All Air Force EIAP documents belong to and are the responsibility of 
the Air Force. EIAP correspondence and documents distributed outside of 
the Air Force should generally be signed out by Air Force personnel and 
documents should reflect on the cover sheet they are an Air Force 
document. Contractor preparation information should be contained within 
the document's list of preparers.



Sec. 989.24  Public notification.

    (a) Except as provided in Sec. 989.26, public notification is 
required for various aspects of the EIAP.
    (b) Activities that require public notification include:

(1) An EA and FONSI.
(2) An EIS NOI.
(3) Public scoping meetings.
(4) Availability of the draft EIS.
(5) Public hearings on the draft EIS (which should be included in the 
NOA for the draft EIS).
(6) Availability of the final EIS.
(7) The ROD for an EIS.

    (c) For actions of local concern, the list of possible notification 
methods in 40 CFR 1506.6(b)(3) is only illustrative. The EPF may use 
other equally effective means of notification as a substitute for any of 
the methods listed. Because many Air Force actions are of limited 
interest to persons or organizations outside the Air Force, the EPF may 
limit local notification to the SPOC, local government representatives, 
and local news media. For all actions covered under Sec. 989.15(e)(2), 
and for all EIS notices, the public affairs office must purchase with 
EPF funds an advertisement in a prominent section of the local 
newspaper(s) of general circulation (not ``legal'' newspapers or ``legal 
section'' of general newspapers).

[[Page 234]]

    (d) For the purpose of EIAP, the EPF begins the time period of local 
notification when it sends written notification to the state SPOC or 
other equivalent agency (date of letter of notification).



Sec. 989.25  Base closure and realignment.

    Base closure or realignment may entail special requirements for 
environmental analysis. The permanent base closure and realignment law, 
10 U.S.C. 2687, requires a report to the Congress when an installation 
where at least 300 DoD civilian personnel are authorized to be employed 
is closed, or when a realignment reduces such an installation by at 
least 50 percent or 1,000 of such personnel, whichever is less. In 
addition, other base closure laws may be in effect during particular 
periods. Such nonpermanent closure laws frequently contain provisions 
limiting the extent of environmental analysis required for actions taken 
under them. Such provisions may also add requirements for studies not 
necessarily required by NEPA.



Sec. 989.26  Classified actions (40 CFR 1507.3(c)).

    (a) Classification of an action for national defense or foreign 
policy purposes does not relieve the requirement of complying with NEPA. 
In classified matters, the Air Force must prepare and make available 
normal NEPA environmental analysis documents to aid in the decision-
making process; however, Air Force staff must prepare, safeguard, and 
disseminate these documents according to established procedures for 
protecting classified documents. If an EIAP document must be classified, 
the Air Force may modify or eliminate associated requirements for public 
notice (including publication in the Federal Register) or public 
involvement in the EIAP. However, the Air Force should obtain comments 
on classified proposed actions or classified aspects of generally 
unclassified actions, from public agencies having jurisdiction by law or 
special expertise, to the extent that such review and comment is 
consistent with security requirements. Where feasible, the EPF may need 
to help appropriate personnel from those agencies obtain necessary 
security clearances to gain access to documents so they can comment on 
scoping or review the documents.
    (b) Where the proposed action is classified and unavailable to the 
public, the Air Force may keep the entire NEPA process classified and 
protected under the applicable procedures for the classification level 
pertinent to the particular information. At times (for example, during 
weapons system development and base closures and realignments), certain 
but not all aspects of NEPA documents may later be declassified. In 
those cases, the EPF should organize the EIAP documents, to the extent 
practicable, in a way that keeps the most sensitive classified 
information (which is not expected to be released at any early date) in 
a separate annex that can remain classified; the rest of the EIAP 
documents, when declassified, will then be comprehensible as a unit and 
suitable for release to the public. Thus, the documents will reflect, as 
much as possible, the nature of the action and its environmental 
impacts, as well as Air Force compliance with NEPA requirements.
    (c) Where the proposed action is not classified, but certain aspects 
of it need to be protected by security classification, the EPF should 
tailor the EIAP for a proposed action to permit as normal a level of 
public involvement as possible, but also fully protect the classified 
part of the action and environmental analysis. In some instances, the 
EPF can do this by keeping the classified sections of the EIAP documents 
in a separate, classified annex.
    (d) For Sec. 989.26(b) actions, an NOI or NOA will not be published 
in the Federal Register until the proposed action is declassified. For 
Sec. 989.26(c) actions, the Federal Register will run an unclassified 
NOA which will advise the public that at some time in the future the Air 
Force may or will publicly release a declassified document.
    (e) The EPF similarly protects classified aspects of FONSIs, RODs, 
or other environmental documents that are part of the EIAP for a 
proposed action, such as by preparing separate classified annexes to 
unclassified documents, as necessary.
    (f) Whenever a proponent believes that EIAP documents should be kept 
classified, the EPF must make a report

[[Page 235]]

of the matter to SAF/MIQ, including proposed modifications of the normal 
EIAP to protect classified information. The EPF may make such 
submissions at whatever level of security classification is needed to 
provide a comprehensive understanding of the issues. SAF/MIQ, with 
support from SAF/GC and other staff elements as necessary, makes final 
decisions on EIAP procedures for classified actions.



Sec. 989.27  Occupational safety and health.

    Assess direct and indirect impacts of proposed actions on the safety 
and health of Air Force employees and others at a work site. The EIAP 
document does not need to specify compliance procedures. However, the 
EIAP documents should discuss impacts that require a change in work 
practices to achieve an adequate level of health and safety.



Sec. 989.28  Airspace and range proposals.

    (a) EIAP Review. Airspace and range proposals require review by HQ 
USAF/XOO prior to public announcement and preparation of the DOPAA. 
Unless directed otherwise, the airspace proponent will forward the DOPAA 
as an attachment to the proposal sent to HQ USAF/XOO.
    (b) Federal Aviation Administration. The DoD and the Federal 
Aviation Administration (FAA) have entered into a Memorandum of 
Understanding (MOU) that outlines various airspace responsibilities. For 
purposes of compliance with NEPA, the DoD is the ``lead agency'' for all 
proposals initiated by DoD, with the FAA acting as the ``cooperating 
agency.'' Where airspace proposals initiated by the FAA affect military 
use, the roles are reversed. The proponent's action officers (civil 
engineering and local airspace management) must ensure that the FAA is 
fully integrated into the airspace proposal and related EIAP from the 
very beginning and that the action officers review the FAA's 
responsibilities as a cooperating agency. The proponent's airspace 
manager develops the preliminary airspace proposal per appropriate FAA 
handbooks and the FAA-DoD MOU. The preliminary airspace proposal is the 
basis for initial dialogue between DoD and the FAA on the proposed 
action. A close working relationship between DoD and the FAA, through 
the FAA regional Air Force representative, greatly facilitates the 
airspace proposal process and helps resolve many NEPA issues during the 
EIAP.



Sec. 989.29  Force structure and unit move proposals.

    Unless directed otherwise, the MAJCOM plans and programs proponent 
will forward a copy of all EAs for force structure and unit moves to HQ 
USAF/ILEB for information only at the preliminary draft and preliminary 
final stages.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]



Sec. 989.30  Air quality.

    Section 176(c) of the Clean Air Act Amendments of 1990, 42 U.S.C. 
7506(c), establishes a conformity requirement for Federal agencies which 
has been implemented by regulation, 40 CFR 93, Subpart B. All EIAP 
documents must address applicable conformity requirements and the status 
of compliance. Conformity applicability analyses and determinations are 
developed in parallel with EIAP documents, but are separate and distinct 
requirements and should be documented separately. To increase the 
utility of a conformity determination in performing the EIAP, the 
conformity determination should be completed prior to the completion of 
the EIAP so as to allow incorporation of the information from the 
conformity determination into the EIAP. See AFI 32-7040, Air Quality 
Compliance.\10\
---------------------------------------------------------------------------

    \10\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------



Sec. 989.31  Pollution prevention.

    The Pollution Prevention Act of 1990, 42 U.S.C. 13101(b), 
established a national policy to prevent or reduce pollution at the 
source, whenever feasible. Pollution prevention approaches should be 
applied to all pollution-generating activities. The environmental 
document should analyze potential pollution that may result from the 
proposed action and alternatives and must discuss potential pollution 
prevention

[[Page 236]]

measures when such measures are feasible for incorporation into the 
proposal or alternatives. Where pollution cannot be prevented, the 
environmental analysis and proposed mitigation measures should include, 
wherever possible, recycling, energy recovery, treatment, and 
environmentally safe disposal actions (see AFI 32-7080, Pollution 
Prevention Program \11\).
---------------------------------------------------------------------------

    \11\ See footnote 1 to Sec. 989.1.
---------------------------------------------------------------------------



Sec. 989.32  Noise.

    Aircraft noise data files used for analysis during EIAP will be 
submitted to HQ AFCEE for review and validation prior to public release, 
and upon completion of the EIAP for database entry. Utilize the current 
NOISEMAP computer program for air installations and the Assessment 
System for Aircraft Noise for military training routes and military 
operating areas. Guidance on standardized Air Force noise data 
development and analysis procedures is available from HQ AFCEE/EC. 
Develop EIAP land use analysis relating to aircraft noise impacts 
originating from air installations following procedures in AFI 32-7063, 
Air Installation Compatible Use Zone (AICUZ) Program. Draft EIAP 
aircraft noise/land use analysis associated with air installations will 
be coordinated with the MAJCOM AICUZ program manager.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]



Sec. 989.33  Environmental justice.

    During the preparation of environmental analyses under this 
instruction, the EPF should ensure compliance with the provisions of 
E.O. 12898, Federal Actions to Address Environmental Justice in Minority 
Populations and Low-Income Populations, and Executive Memorandum of 
February 11, 1994, regarding E.O. 12898.



Sec. 989.34  Special and emergency procedures.

    (a) Special procedures. During the EIAP, unique situations may arise 
that require EIAP strategies different than those set forth in this 
part. These situations may warrant modification of the procedures in 
this part. EPFs should only consider procedural deviations when the 
resulting process would benefit the Air Force and still comply with NEPA 
and CEQ regulations. EPFs must forward all requests for procedural 
deviations to HQ USAF/ILEB (or ANGRC/CEV) for review and approval by 
SAF/MIQ.
    (b) Emergency procedures (40 CFR 1506.11). Emergency situations do 
not exempt the Air Force from complying with NEPA, but do allow 
emergency response while completing the EIAP. Certain emergency 
situations may make it necessary to take immediate action having 
significant environmental impact, without observing all the provisions 
of the CEQ regulations or this part. If possible, promptly notify HQ 
USAF/ILEB, for SAF/MIQ coordination and CEQ consultation, before 
undertaking emergency actions that would otherwise not comply with NEPA 
or this part. The immediate notification requirement does not apply 
where emergency action must be taken without delay. Coordination in this 
instance must take place as soon as practicable.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]



Sec. 989.35  Reporting requirements.

    (a) EAs, EISs, and mitigation measures will be tracked at bases and 
MAJCOMs through an appropriate environmental management system.
    (b) Proponents, EPFs, and public affairs offices may utilize the 
World Wide Web, in addition to more traditional means, to notify the 
public of availability of EAs and EISs. When possible, allow 
distribution of documents electronically. Public review comments should 
be required in writing, rather than by electronic mail.
    (c) All documentation will be disposed of according to AFMAN 37-139, 
Records Disposition Schedule.\12\
---------------------------------------------------------------------------

    \12\ See footnote 1 to Sec. 989.1.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]



Sec. 989.36  Waivers.

    In order to deal with unusual circumstances and to allow growth in 
the NEPA process, SAF/MIQ may grant waivers to those procedures 
contained

[[Page 237]]

in this part not required by NEPA or the CEQ Regulations. Such waivers 
shall not be used to limit compliance with NEPA or the CEQ Regulations 
but only to substitute other, more suitable procedures relative to the 
context of the particular action. Such waivers may also be granted on 
occasion to allow experimentation in procedures in order to allow growth 
in the EIAP. This authority may not be delegated.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]



Sec. 989.37  Procedures for analysis abroad.

    Procedures for analysis of environmental actions abroad are 
contained in 32 CFR Part 187. That directive provides comprehensive 
policies, definitions, and procedures for implementing E.O. 12114. For 
analysis of Air Force actions abroad, 32 CFR Part 187 will be followed.



Sec. 989.38  Requirements for analysis abroad.

    (a) The EPF will generally perform the same functions for analysis 
of actions abroad that it performs in the United States. In addition to 
the requirements of 32 CFR Part 187, the following Air Force specific 
rules apply:
    (b) For EAs dealing with global commons (geographic areas beyond the 
jurisdiction of the United States or any foreign nation), HQ USAF/ILEB 
will review actions that are above the MAJCOM approval authority. In 
this instance, approval authority refers to the same approval authority 
that would apply to an EA in the United States. The EPF documents a 
decision not to do an EIS.
    (c) For EISs dealing with the global commons, the EPF provides 
sufficient copies to HQ USAF/ILEB for the HQ USAF ESOHC review and 
AFCEE/EC technical review. After ESOHC review, the EPF makes a 
recommendation as to whether the proposed draft EIS will be released as 
a draft EIS.
    (d) For environmental studies and environmental reviews, forward, 
when appropriate, environmental studies and reviews to HQ USAF/ILEB for 
coordination among appropriate federal agencies. HQ USAF/ILEB makes 
environmental studies and reviews available to the Department of State 
and other interested federal agencies, and, on request, to the United 
States public, in accordance with 32 CFR Part 187. HQ USAF/ILEB also may 
inform interested foreign governments or furnish copies of studies, in 
accordance with 32 CFR Part 187.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]

Appendix A to Part 989--Glossary of References, Abbreviations, Acronyms, 
                                and Terms

                               References

                               Legislative

10 U.S.C. 2687, Base Closures and Realignments
42 U.S.C. 4321-4347, National Environmental Policy Act of 1969
42 U.S.C. 7506(c), Clean Air Act Amendments of 1990
42 U.S.C. 13101(b), Pollution Prevention Act of 1990
43 U.S.C. 155-158, Engle Act

                            Executive Orders

Executive Order 11988, Floodplain Management, May 24, 1977
Executive Order 11990, Protection of Wetlands, May 24, 1977
Executive Order 12088, Federal Compliance with Pollution Control 
Standards.
Executive Order 12114, Environmental Effects Abroad of Major Federal 
Actions, January 4, 1979
Executive Order 12372, Intergovernmental Review of Federal Programs, 
July 14, 1982
Executive Order 12898, Federal Actions to Address Environmental Justice 
in Minority Populations and Low-Income Populations, February 11, 1994

                   U.S. Government Agency Publications

Council on Environmental Quality Regulations for Implementing the 
Procedural Provisions of the National Environmental Policy Act, 40 CFR 
parts 1500-1508
Department of Defense Directive (DoDD) 4715.1, Environmental Security
Department of Defense Directive (DoDD) 6050.7, Environmental Effects 
Abroad of Major Department of Defense Actions, March 31, 1979 (32 CFR 
Part 187)
Department of Defense Instruction (DoDI) 4715.9, Environmental Planning 
and Analysis
DoDD 5000.1, Defense Acquisition
Department of Defense Regulation 5000.2-R, Mandatory Procedures for 
Major Defense Acquisition Programs and Major Automated Information 
System Acquisition Programs

[[Page 238]]

                         Air Force Publications

AFPD 32-70, Environmental Quality
AFI 32-1021, Planning and Programming of Facility Construction Projects
AFI 32-7002, Environmental Information Management System
AFI 32-7005, Environmental Protection Committees
AFI 32-7040, Air Quality Compliance
AFI 32-7062, Air Force Comprehensive Planning
AFI 32-7063, Air Installation Compatible Use Zone Program
AFI 32-7064, Integrated Natural Resources Management
AFI 32-7080, Pollution Prevention Program
AFI 35-101, Public Affairs Policies and Procedures
AFMAN 37-139, Records Disposition Schedule

                       Abbreviations and Acronyms

 
------------------------------------------------------------------------
   Abbreviation or Acronym                     Definition
------------------------------------------------------------------------
AFCEE........................  Air Force Center for Environmental
                                Excellence
AFCEE/EC.....................  Air Force Center for Environmental
                                Excellence/Environmental Conservation
                                and Planning Directorate
AFI..........................  Air Force Instruction
AFLSA/JACE...................  Air Force Legal Services Agency/
                                Environmental Law and Litigation
                                Division
AFLSA/JAJT...................  Air Force Legal Services Agency/Trial
                                Judiciary Division
AFMAN........................  Air Force Manual
AFMOA/SG.....................  Air Force Medical Operations Agency/
                                Aerospace Medicine Office
AFPD.........................  Air Force Policy Directive
AFRES........................  Air Force Reserve
ANG..........................  Air National Guard
ANGRC........................  Air National Guard Readiness Center
BMP..........................  Best Management Practice
CATEX........................  Categorical Exclusion
CEQ..........................  Council on Environmental Quality
CFR..........................  Code of Federal Regulations
DoD..........................  Department of Defense
DoDD.........................  Department of Defense Directive
DoDI.........................  Department of Defense Instruction
DOPAA........................  Description of Proposed Action and
                                Alternatives
EA...........................  Environmental Assessment
EIAP.........................  Environmental Impact Analysis Process
EIS..........................  Environmental Impact Statement
E.O..........................  Executive Order
EPA..........................  Environmental Protection Agency
EPC..........................  Environmental Protection Committee
EPF..........................  Environmental Planning Function
ESOHC........................  Environmental Safety and Occupational
                                Health Committee
FAA..........................  Federal Aviation Administration
FEIS.........................  Final Environmental Impact Statement
FOA..........................  Field Operating Agency
FONPA........................  Finding of No Practicable Alternative
FONSI........................  Finding of No Significant Impact
GSA..........................  General Services Administration
HQ AFMC......................  Headquarters, Air Force Materiel Command
HQ USAF......................  Headquarters, United States Air Force
HQ USAF/ILE..................  The Air Force Civil Engineer
MAJCOM.......................  Major Command
MGM..........................  Materiel Group Manager
MOA..........................  Military Operating Area
MOU..........................  Memorandum of Understanding
MSL..........................  Mean Sea Level
NEPA.........................  National Environmental Policy Act of 1969
NGB-CF.......................  National Guard Bureau Air Directorate
NGB-JA.......................  National Guard Bureau Office of the Staff
                                Judge Advocate
NGB-PA.......................  National Guard Bureau Office of Public
                                Affairs
NOA..........................  Notice of Availability
NOI..........................  Notice of Intent
OSD..........................  Office of the Secretary of Defense
OSHA.........................  Occupational Safety and Health
                                Administration
PDEIS........................  Preliminary Draft Environmental Impact
                                Statement
PGM..........................  Product Group Manager
REO..........................  Air Force Regional Environmental Office
ROD..........................  Record of Decision
SAF/AQR......................  Deputy Assistant Secretary of the Air
                                Force (Science, Technology, and
                                Engineering)
SAF/GC.......................  Air Force General Counsel
SAF/LL.......................  Air Force Office of Legislative Liaison
SAF/MI.......................  Assistant Secretary of the Air Force for
                                Manpower, Reserve Affairs,
                                Installations, and Environment
SAF/MIQ......................  Deputy Assistant Secretary of the Air
                                Force (Environment, Safety, and
                                Occupational Health)
SAF/PA.......................  Air Force Office of Public Affairs
SJA..........................  Staff Judge Advocate

[[Page 239]]

 
SM...........................  Single Manager
SPD..........................  Single Program Director
SPOC.........................  Single Point of Contact
TDY..........................  Temporary Duty
U.S.C........................  United States Code
------------------------------------------------------------------------

                                  Terms

    Note: All definitions in the CEQ Regulations, 40 CFR part 1508, 
apply to this part. In addition, the following definitions apply:

    Best Management Practices (BMPs)--Under the EIAP, BMPs should be 
applied in furtherance of 40 CFR 1508.22, Mitigations or to fulfill 
permit requirements (see also E.O. 12088, ``Federal Compliance with 
Pollution Control Standards).
    Description of Proposed Action and Alternatives (DOPAA)--An Air 
Force document that is the framework for assessing the environmental 
impact of a proposal. It describes the purpose and need for the action, 
the alternatives to be considered, and the rationale used to arrive at 
the proposed action. The DOPAA often unfolds as writing progresses. The 
DOPAA can change during the internal scoping and public scoping process, 
especially as ideas and issues become clearer, and as new information 
makes changes necessary.
    Environmental Impact Analysis Process (EIAP)--The Air Force program 
that implements the requirements of NEPA and requirements for analysis 
of environmental effects abroad under E.O. 12114.
    Finding of No Practicable Alternative (FONPA)--Finding contained in 
a FONSI or ROD, according to Executive Orders 11988 and 11990, that 
explains why there are no practicable alternatives to an action 
affecting a wetland or floodplain, based on appropriate EIAP analysis or 
other documentation.
    Interdisciplinary--An approach to environmental analysis involving 
more than one discipline or branch of learning.
    Pollution Prevention--``Source reduction,'' as defined under the 
Pollution Prevention Act, and other practices that reduce or eliminate 
pollutants through increased efficiency in the use of raw materials, 
energy, water, or other resources, or in the protection of natural 
resources by conservation.
    Proponent--Any office, unit, or activity that proposes to initiate 
an action.
    Scoping--A process for proposing alternatives to be addressed and 
for identifying the significant issues related to a proposed action. 
Scoping includes affirmative efforts to communicate with other federal 
agencies, state, Tribal, and local governments, and the public.
    Single Manager--Any one of the Air Force designated weapon system 
program managers, that include System Program Directors (SPDs), Product 
Group Managers (PGMs), and Materiel Group Managers (MGMs).
    United States--All states, commonwealths, the District of Columbia, 
territories and possessions of the United States, and all waters and 
airspace subject to the territorial jurisdiction of the United States. 
The territories and possessions of the United States include American 
Samoa, Guam, Johnston Atoll, Kingman Reef, Midway Island, Navassa 
Island, Palmyra Island, the Virgin Islands, and Wake Island.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]

             Appendix B to Part 989--Categorical Exclusions

                   A2.1. Proponent/EPF Responsibility

    Although a proposed action may qualify for a categorical exclusion 
from the requirements for environmental impact analysis under NEPA, this 
exclusion does not relieve the EPF or the proponent of responsibility 
for complying with all other environmental requirements related to the 
proposal, including requirements for permits, and state regulatory 
agency review of plans.

                        A2.2. Additional Analysis

    Circumstances may arise in which usually categorically excluded 
actions may have a significant environmental impact and, therefore, may 
generate a requirement for further environmental analysis. Examples of 
situations where such unique circumstances may be present include:
    A2.2.1. Actions of greater scope or size than generally experienced 
for a particular category of action.
    A2.2.2. Potential for degradation (even though slight) of already 
marginal or poor environmental conditions.
    A2.2.3. Initiating a degrading influence, activity, or effect in 
areas not already significantly modified from their natural condition.
    A2.2.4. Use of unproved technology.
    A2.2.5. Use of hazardous or toxic substances that may come in 
contact with the surrounding environment.

[[Page 240]]

    A2.2.6. Presence of threatened or endangered species, archaeological 
remains, historical sites, or other protected resources.
    A2.2.7. Proposals adversely affecting areas of critical 
environmental concern, such as prime or unique agricultural lands, 
wetlands, coastal zones, wilderness areas, floodplains, or wild and 
scenic river areas.
    A2.2.8. Proposals with disproportionately high and adverse human 
health or environmental effects on minority populations or low-income 
populations.

                            A2.3. CATEX List

    Actions that are categorically excluded in the absence of unique 
circumstances are:
    A2.3.1. Routine procurement of goods and services.
    A2.3.2. Routine Commissary and Exchange operations.
    A2.3.3. Routine recreational and welfare activities.
    A2.3.4. Normal personnel, fiscal or budgeting, and administrative 
activities and decisions including those involving military and civilian 
personnel (for example, recruiting, processing, paying, and records 
keeping).
    A2.3.5. Preparing, revising, or adopting regulations, instructions, 
directives, or guidance documents that do not, themselves, result in an 
action being taken.
    A2.3.6. Preparing, revising, or adopting regulations, instructions, 
directives, or guidance documents that implement (without substantial 
change) the regulations, instructions, directives, or guidance documents 
from higher headquarters or other Federal agencies with superior subject 
matter jurisdiction.
    A2.3.7. Continuation or resumption of pre-existing actions, where 
there is no substantial change in existing conditions or existing land 
uses and where the actions were originally evaluated in accordance with 
applicable law and regulations, and surrounding circumstances have not 
changed.
    A2.3.8. Performing interior and exterior construction within the 5-
foot line of a building without changing the land use of the existing 
building.
    A2.3.9. Repairing and replacing real property installed equipment.
    A2.3.10. Routine facility maintenance and repair that does not 
involve disturbing significant quantities of hazardous materials such as 
asbestos and lead-based paint.
    A2.3.11. Actions similar to other actions which have been determined 
to have an insignificant impact in a similar setting as established in 
an EIS or an EA resulting in a FONSI. The EPF must document application 
of this CATEX on AF Form 813, specifically identifying the previous Air 
Force approved environmental document which provides the basis for this 
determination.
    A2.3.12. Installing, operating, modifying, and routinely repairing 
and replacing utility and communications systems, data processing cable, 
and similar electronic equipment that use existing rights of way, 
easements, distribution systems, or facilities.
    A2.3.13. Installing or modifying airfield operational equipment 
(such as runway visual range equipment, visual glide path systems, and 
remote transmitter or receiver facilities) on airfield property and 
usually accessible only to maintenance personnel.
    A2.3.14. Installing on previously developed land, equipment that 
does not substantially alter land use (i.e., land use of more than one 
acre). This includes outgrants to private lessees for similar 
construction. The EPF must document application of this CATEX on AF Form 
813.
    A2.3.15. Laying-away or mothballing a production facility or 
adopting a reduced maintenance level at a closing installation when (1) 
agreement on any required historic preservation effort has been reached 
with the state historic preservation officer and the Advisory Council on 
Historic Preservation, and (2) no degradation in the environmental 
restoration program will occur.
    A2.3.16. Acquiring land and ingrants (50 acres or less) for 
activities otherwise subject to CATEX. The EPF must document application 
of this CATEX on AF Form 813.
    A2.3.17. Transferring land, facilities, and personal property for 
which the General Services Administration (GSA) is the action agency. 
Such transfers are excluded only if there is no change in land use and 
GSA complies with its NEPA requirements.
    A2.3.18. Transferring administrative control of real property within 
the Air Force or to another military department or to another Federal 
agency, not including GSA, including returning public domain lands to 
the Department of the Interior.
    A2.3.19. Granting easements, leases, licenses, rights of entry, and 
permits to use Air Force controlled property for activities that, if 
conducted by the Air Force, could be categorically excluded in 
accordance with this Appendix. The EPF must document application of this 
CATEX on AF Form 813.
    A2.3.20. Converting in-house services to contract services.
    A2.3.21. Routine personnel decreases and increases, including work 
force conversion to either on-base contractor operation or to military 
operation from contractor operation (excluding base closure and 
realignment actions which are subject to congressional reporting under 
10 U.S.C. 2687).
    A2.3.22. Routine, temporary movement of personnel, including 
deployments of personnel on a TDY basis where existing facilities are 
used.
    A2.3.23. Personnel reductions resulting from workload adjustments, 
reduced personnel funding levels, skill imbalances, or other similar 
causes.

[[Page 241]]

    A2.3.24. Study efforts that involve no commitment of resources other 
than personnel and funding allocations.
    A2.3.25. The analysis and assessment of the natural environment 
without altering it (inspections, audits, surveys, investigations). This 
CATEX includes the granting of any permits necessary for such surveys, 
provided that the technology or procedure involved is well understood 
and there are no adverse environmental impacts anticipated from it. The 
EPF must document application of this CATEX on AF Form 813.
    A2.3.26. Undertaking specific investigatory activities to support 
remedial action activities for purposes of cleanup of Environmental 
Restoration Account (ERA)--Air Force and Resource Conservation and 
Recovery Act (RCRA) corrective action sites. These activities include 
soil borings and sampling, installation, and operation of test or 
monitoring wells. This CATEX applies to studies that assist in 
determining final cleanup actions when they are conducted in accordance 
with legal agreements, administrative orders, or work plans previously 
agreed to by EPA or state regulators.
    A2.3.27. Normal or routine basic and applied scientific research 
confined to the laboratory and in compliance with all applicable safety, 
environmental, and natural resource conservation laws.
    A2.3.28. Routine transporting of hazardous materials and wastes in 
accordance with applicable Federal, state, interstate, and local laws.
    A2.3.29. Emergency handling and transporting of small quantities of 
chemical surety material or suspected chemical surety material, whether 
or not classified as hazardous or toxic waste, from a discovery site to 
a permitted storage, treatment, or disposal facility.
    A2.3.30. Immediate responses to the release or discharge of oil or 
hazardous materials in accordance with an approved Spill Prevention and 
Response Plan or Spill Contingency Plan or that are otherwise consistent 
with the requirements of the National Contingency Plan.
    A2.3.31. Relocating a small number of aircraft to an installation 
with similar aircraft that does not result in a significant increase of 
total flying hours or the total number of aircraft operations, a change 
in flight tracks, or an increase in permanent personnel or logistics 
support requirements at the receiving installation. Repetitive use of 
this CATEX at an installation requires further analysis to determine 
there are no cumulative impacts. The EPF must document application of 
this CATEX on AF Form 813.
    A2.3.32. Temporary (for less than 30 days) increases in air 
operations up to 50 percent of the typical installation aircraft 
operation rate or increases of 50 operations a day, whichever is 
greater. Repetitive use of this CATEX at an installation requires 
further analysis to determine there are no cumulative impacts.
    A2.3.33. Flying activities that comply with the Federal aviation 
regulations, that are dispersed over a wide area and that do not 
frequently (more than once a day) pass near the same ground points. This 
CATEX does not cover regular activity on established routes or within 
special use airspace.
    A2.3.34. Supersonic flying operations over land and above 30,000 
feet MSL, or over water and above 10,000 feet MSL and more than 15 
nautical miles from land.
    A2.3.35. Formal requests to the FAA, or host-nation equivalent 
agency, to establish or modify special use airspace (for example, 
restricted areas, warning areas, military operating areas) and military 
training routes for subsonic operations that have a base altitude of 
3,000 feet above ground level or higher. The EPF must document 
application of this CATEX on AF Form 813, which must accompany the 
request to the FAA.
    A2.3.36. Adopting airfield approach, departure, and en route 
procedures that are less than 3,000 feet above ground level, and that 
also do not route air traffic over noise-sensitive areas, including 
residential neighborhoods or cultural, historical, and outdoor 
recreational areas. The EPF may categorically exclude such air traffic 
patterns at or greater than 3,000 feet above ground level regardless of 
underlying land use.
    A2.3.37. Participating in ``air shows'' and fly-overs by Air Force 
aircraft at non-Air Force public events after obtaining FAA coordination 
and approval.
    A2.3.38. Conducting Air Force ``open houses'' and similar events, 
including air shows, golf tournaments, home shows, and the like, where 
crowds gather at an Air Force installation, so long as crowd and traffic 
control, etc., have not in the past presented significant safety or 
environmental impacts.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001]

Appendix C to Part 989--Procedures for Holding Public Hearings on Draft 
                  Environmental Impact Statements (EIS)

                       A.3.1. General Information

    A3.1.1. The Office of the Judge Advocate General, through the Air 
Force Legal Services Agency/Trial Judiciary Division (AFLSA/JAJT) and 
its field organization, is responsible for conducting public hearings 
and assuring verbatim transcripts are accomplished.
    A3.1.2. The EPF, with proponent, AFLSA/JAJT, and Public Affairs 
support, establishes the date and location, arranges for hiring the 
court reporter, funds temporary duty

[[Page 242]]

costs for the hearing officer, makes logistical arrangements (for 
example, publishing notices, arranging for press coverage, obtaining 
tables and chairs, etc.).
    A3.1.3. The procedures outlined below have proven themselves through 
many prior applications. However, there may be rare instances when 
circumstances warrant conducting public hearings under a different 
format, e.g., public/town meeting, information booths, third party 
moderator, etc. In these cases, forward a request with justification to 
deviate from these procedures to HQ USAF/ILEVP for SAF/MIQ approval.

                 A3.2. Notice of Hearing (40 CFR 1506.6)

    A3.2.1. Public Affairs officers:
    A3.2.1.1. Announce public hearings and assemble a mailing list of 
individuals to be invited.
    A3.2.1.2. Distribute announcements of a hearing to all interested 
individuals and agencies, including the print and electronic media.
    A3.2.1.3. Place a newspaper display advertisement announcing the 
time and place of the hearing as well as other pertinent particulars.
    A3.2.1.4. Distribute the notice in a timely manner so it will reach 
recipients or be published at least 15 days before the hearing date. 
Distribute notices fewer than 15 days before the hearing date when you 
have substantial justification and if the justification for a shortened 
notice period appears in the notice.
    A3.2.1.5. Develop and distribute news release.
    A3.2.2. If an action has effects of national concern, publish 
notices in the Federal Register and mail notices to national 
organizations that have an interest in the matter.
    A3.2.2.1. Because of the longer lead time required by the Federal 
Register, send out notices for publication in the Federal Register to 
arrive at HQ USAF/ILEB no later than 30 days before the hearing date.
    A3.2.3. The notice should include:
    A3.2.3.1. Date, time, place, and subject of the hearing.
    A3.2.3.2. A description of the general format of the hearing.
    A3.2.3.3. The name and telephone number of a person to contact for 
more information.
    A3.2.3.4. A suggestion that speakers submit (in writing or by return 
call) their intention to participate, with an indication of which 
environmental impact (or impacts) they wish to address.
    A3.2.3.5. Any limitation on the length of oral statements.
    A3.2.3.6. A suggestion that speakers submit statements of 
considerable length in writing.
    A3.2.3.7. A summary of the proposed action.
    A3.2.3.8. The location where the draft EIS and any appendices are 
available for examination.

           A.3.3. Availability of the Draft EIS to the Public.

    The EPF makes copies of the Draft EIS available to the public at an 
Air Force installation and other reasonably accessible place in the 
vicinity of the proposed action and public hearing (e.g., public 
library).

                       A3.4. Place of the Hearing

    The EPF arranges to hold the hearing at a time and place and in an 
area readily accessible to military and civilian organizations and 
individuals interested in the proposed action. Generally, the EPF should 
arrange to hold the hearing in an off-base civilian facility, which is 
more accessible to the public.

                          A3.5. Hearing Officer

    A3.5.1. The AFLSA/JAJT selects a military trial judge to preside 
over hearings. The hearing officer does not need to have personal 
knowledge of the project, other than familiarity with the Draft EIS. In 
no event should the hearing officer be a judge advocate from the 
proponent or subordinate command, be assigned to the same installation 
with which the hearing is concerned, or have participated personally in 
the development of the project, or have rendered legal advice or 
assistance with respect to it (or be expected to do so in the future). 
The principal qualification of the hearing officer should be the ability 
to conduct a hearing as an impartial participant.
    A3.5.2. The primary duties of the hearing officer are to make sure 
that the hearing is orderly, is recorded, and that interested parties 
have a reasonable opportunity to speak. The presiding officer should 
direct the speakers' attention to the purpose of the hearing, which is 
to consider the environmental impacts of the proposed project. Speakers 
should have a time limit to ensure maximum public input to the decision-
maker.

                       A3.6. Record of the Hearing

    The EIS preparation team must make sure a verbatim transcribed 
record of the hearing is prepared, including all stated positions, all 
questions, and all responses. The EIS preparation team should append all 
written submissions that parties provide to the hearing officer during 
the hearing to the record as attachments. The EIS preparation team 
should also append a list of persons who spoke at the hearing and 
submitted written comments and a list of the organizations or interests 
they represent with addresses. The EIS preparation team must make sure a 
verbatim transcript of the hearing is provided to the EPF for inclusion 
as an appendix to

[[Page 243]]

the Final EIS. The officer should also ensure that all persons who 
request a copy of the transcript get a copy when it is completed. 
Copying charges are determined according to 40 CFR 1506.6(f).

                          A3.7. Hearing Format

    Use the format outlined below as a general guideline for conducting 
a hearing. Hearing officers should tailor the format to meet the hearing 
objectives. These objectives provide information to the public, record 
opinions of interested persons on environmental impacts of the proposed 
action, and set out alternatives for improving the EIS and for later 
consideration.
    A3.7.1. Record of Attendees. The hearing officer should make a list 
of all persons who wish to speak at the hearing to help the hearing 
officer in calling on these individuals, to ensure an accurate 
transcript of the hearing, and to enable the officer to send a copy of 
the Final EIS (40 CFR 1502.19) to any person, organization, or agency 
that provided substantive comments at the hearing. The hearing officer 
should assign assistants to the entrance of the hearing room to provide 
cards on which individuals can voluntarily write their names, addresses, 
telephone numbers, organizations they represent, and titles; whether 
they desire to make a statement at the hearing; and what environmental 
area(s) they wish to address. The hearing officer can then use the cards 
to call on individuals who desire to make statements. However, the 
hearing officer will not deny entry to the hearing or the right to speak 
to people who decline to submit this information on cards.
    A3.7.2. Introductory Remarks. The hearing officer should first 
introduce himself or herself and the EIS preparation team. Then the 
hearing officer should make a brief statement on the purpose of the 
hearing and give the general ground rules on how it will be conducted. 
This is the proper time to welcome any dignitaries who are present. The 
hearing officer should explain that he or she does not make any 
recommendation or decision on whether the proposed project should be 
continued, modified, or abandoned or how the EIS should be prepared.
    A3.7.3. Explanation of the Proposed Action. The Air Force EIS 
preparation team representative should next explain the proposed action, 
the alternatives, the potential environmental consequences, and the 
EIAP.
    A3.7.4. Questions by Attendees. After the EIS team representative 
explains the proposed action, alternatives, and consequences, the 
hearing officer should give attendees a chance to ask questions to 
clarify points they may not have understood. The EIS preparation team 
may have to reply in writing, at a later date, to some of the questions. 
While the Air Force EIS preparation team should be as responsive as 
possible in answering questions about the proposal, they should not 
become involved in debate with questioners over the merits of the 
proposed action. Cross-examination of speakers, either those of the Air 
Force or the public, is not the purpose of an informal hearing. If 
necessary, the hearing officer may limit questioning or conduct portions 
of the hearing to ensure proper lines of inquiry. However, the hearing 
officer should include all questions in the hearing record.
    A3.7.5. Statement of Attendees. The hearing officer must give the 
persons attending the hearing a chance to present oral or written 
statements. The hearing officer should be sure the recorder has the name 
and address of each person who submits an oral or written statement. The 
officer should also permit the attendees to submit written statements 
within a reasonable time, usually two weeks, following the hearing. The 
officer should allot a reasonable length of time at the hearing for 
receiving oral statements. The officer may waive any announced time 
limit at his or her discretion. The hearing officer may allow those who 
have not previously indicated a desire to speak to identify themselves 
and be recognized only after those who have previously indicated their 
intentions to speak have spoken.
    A3.7.6. Ending or Extending a Hearing. The hearing officer has the 
power to end the hearing if the hearing becomes disorderly, if the 
speakers become repetitive, or for other good cause. In any such case, 
the hearing officer must make a statement for the record on the reasons 
for terminating the hearing. The hearing officer may also extend the 
hearing beyond the originally announced date and time. The officer 
should announce the extension to a later date or time during the hearing 
and prior to the hearing if possible.

                      A3.8. Adjourning the Hearing

    After all persons have had a chance to speak, when the hearing has 
culled a representative view of public opinion, or when the time set for 
the hearing and any reasonable extension of time has ended, the hearing 
officer adjourns the hearing. In certain circumstances (for example, if 
the hearing officer believes it is likely that some participants will 
introduce new and relevant information), the hearing officer may justify 
scheduling an additional, separate hearing session. If the hearing 
officer makes the decision to hold another hearing while presiding over 
the original hearing he or she should announce that another public 
hearing will be scheduled or is under consideration. The officer gives 
notice of a decision to continue these hearings in essentially the same 
way he or she announced the original hearing, time permitting. The 
Public Affairs officer provides the required public notices and

[[Page 244]]

directs notices to interested parties in coordination with the hearing 
officer. Because of lead-time constraints, SAF/MIQ may waive Federal 
Register notice requirements or advertisements in local publications. At 
the conclusion of the hearing, the hearing officer should inform the 
attendees of the deadline (usually 2 weeks) to submit additional written 
remarks in the hearing record. The officer should also notify attendees 
of the deadline for the commenting period of the Draft EIS.

[64 FR 38129, July 15, 1999; 66 FR 16869, Mar. 28, 2001, as amended at 
66 FR 31177, June 11, 2001]

[[Page 245]]

       Subtitle B--Other Regulations Relating to National Defense

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


[[Page 247]]



                  CHAPTER XII--DEFENSE LOGISTICS AGENCY




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

                         SUBCHAPTER A [RESERVED]
                       SUBCHAPTER B--MISCELLANEOUS
Part                                                                Page
1280            Investigating and processing certain 
                    noncontractual claims and reporting 
                    related litigation......................         249
1285            Defense Logistics Agency Freedom of 
                    Information Act Program.................         252
1288            Registration of privately owned motor 
                    vehicles................................         271
1290            Preparing and processing minor offenses and 
                    violation notices referred to U.S. 
                    District Courts.........................         273
1292            Security of DLA activities and resources....         281
1293            Standards of conduct........................         282

[[Page 249]]



                         SUBCHAPTER A [RESERVED]





                       SUBCHAPTER B--MISCELLANEOUS





PART 1280--INVESTIGATING AND PROCESSING CERTAIN NONCONTRACTUAL CLAIMS AND REPORTING RELATED LITIGATION--Table of Contents




Sec.
1280.1  Purpose and scope.
1280.2  Definitions.
1280.3  Significant changes.
1280.4  Responsibilities.
1280.5  Procedures.

    Authority: 5 U.S.C. 301; 10 U.S.C. 125; 28 U.S.C. 2672; and DoD 
Directive 5105.22 dated December 9, 1965.

    Source: 39 FR 19470, June 3, 1974, unless otherwise noted.



Sec. 1280.1  Purpose and scope.

    (a) This part 1280 provides procedures for investigating and 
processing claims and related litigation:
    (1) By civilian and military personnel of DLA for property lost or 
damaged incident to service (31 U.S.C. 240 through 243).
    (2) Incident to use of Government vehicles and other property of the 
United States not cognizable under other law (10 U.S.C. 2737).
    (3) Based on Negligence of Civilian and Military Employees under the 
Federal Tort Claims Act, 28 U.S.C. 1346(b), 2671 through 2680.
    (4) In favor of the United States, other than contractual, for loss, 
damage, or destruction of real or personal property in the possession, 
custody, or control of DLA.
    (b) This part 1280 is applicable to HQ DLA and DLA field activities, 
except nonappropriated funds and related activities established pursuant 
to DSAR 1330.2, Open Messes and Other Military Sundry Associations and 
Funds, and DSAR 1330.4, Civilian Nonappropriated Funds and Related 
Activities. Claims involving these activities are processed pursuant to 
the regulations referenced therein.



Sec. 1280.2  Definitions.

    (a) Claims Investigating Officer. A military officer or civilian 
employee of DLA, appointed in accordance with this part 1280, to 
investigate and process claims within the purview of this part 1280.
    (b) Member of the Army, member of the Navy, member of the Marine 
Corps, member of the Air Force. Officers and enlisted personnel of these 
Military Services.



Sec. 1280.3  Significant changes.

    This revision provides current citations to the Army regulations 
which have superseded those previously prescribed for the processing of 
some claims. It reflects the new Army claims processing procedures 
effected upon the reorganization of the Army. Finally, it provides 
specific procedures for Air Force processed claims.



Sec. 1280.4  Responsibilities.

    (a) DLA field activities. (1) Heads of DLA Primary Level Field 
Activities are responsible for:
    (i) Designating a qualified individual under their command, 
preferably one experienced in the conduct of investigations, as the 
Claims Investigating Officer for the activity.
    (ii) Authorizing Heads of subordinate activities to appoint Claims 
Investigating Officers where necessary.
    (2) The Commander, DLA Administrative Support Center (DLASC) is 
responsible for designating a qualified individual, preferably one 
experienced in the conduct of investigations, as the Claims 
Investigating Officer for DLASC and HQ DLA.
    (3) Claims Investigating Officers are responsible for the 
expeditious conduct of all investigations and the processing of reports 
in accordance with appropriate Departmental regulations as prescribed by 
this part 1280. To ensure prompt investigation of every incident while 
witnesses are available, and before damage has been repaired, the duties 
of personnel as Claims Investigating Officers will ordinarily have 
priority over any other assignments they may have.
    (4) The Counsel, DLA Field Activities are responsible for:

[[Page 250]]

    (i) Receiving claims reports and information about related 
litigation, and processing these reports and information in accordance 
with this part 1280 and appropriate Departmental regulations.
    (ii) Providing directions and guidance to Claims Investigating 
Officers in the investigation and processing of claims.
    (b) The Counsel, DLA (DLAH-G) is responsible for:
    (1) Providing guidance to Counsel at DLA field activities on all 
claims and litigation matters within the purview of this part 1280.
    (2) Receiving claims reports and information on related litigation 
forwarded to HQ DLA, Attention: DLAH-G, and processing these in 
accordance with this part 1280 and appropriate Departmental regulations.
    (3) Maintaining this part 1280 in a current status and reviewing it 
annually.



Sec. 1280.5  Procedures.\1\

    (a) Claims by military and civilian personnel of DLA for property 
lost or damaged incident to service (31 U.S.C. 240 through 243). (1) The 
Claims Investigating Officer will conduct his investigation and prepare 
all necessary forms and reports in accordance with the appropriate 
portions of AR 27-20 where the claimant is a member of the Army or a DLA 
civilian employee; JAGINST 5800.7A where the claimant is a member of the 
Navy or Marine Corps; or AFM 112-1 where the claimant is a member of the 
Air Force.
    (2) The completed report will be forwarded by the Claims 
Investigating Officer to one of the following activities for settlement:
    (i) Where the claimant is a DLA civilian employee or a member of the 
Army; the Staff Judge Advocate designated in AR 27-20, appendix F, as 
the Area Claims Authority where the claim arose.
    (ii) Where the claimant is a member of the Navy or Marine Corps the 
cognizant adjudicating authority as listed in JAGINST 5800.7A, paragraph 
2124.
    (iii) Where the claimant is a member of the Air Force; the Base 
Staff Judge Advocate of the nearest Air Force Base.
    (b) Claims incident to the use of Government property not cognizable 
under any other law (10 U.S.C. 2737). (1) The Claims Investigating 
Officer will conduct his investigation and prepare all necessary forms 
and reports in accordance with the appropriate portions of AR 27-20 
where the claimant is a member of the Army or a DLA civilian employee; 
JAGINST 5800.7A where the claimant is a member of the Navy or Marine 
Corps; or AFM 112-1 where the claimant is a member of the Air Force.
    (2) The completed report will be forwarded by the Claims 
Investigating Officer to the Counsel for his activity or, if the 
activity has no Counsel, to the next higher echelon having such a 
position.
    (3) The activity Counsel receiving the Claims Investigating 
Officer's report will review the report, and take all necessary action 
to assure that it is complete and in accordance with the appropriate 
regulation. He will forward the report together with his comments and 
recommendations to one of the following activities for settlement. Where 
the incident giving rise to the claim was occasioned by an act or 
omission of:
    (i) DLA civilian personnel. Counsel, DLA.
    (ii) A member of the Army. The Staff Judge Advocate designated in AR 
27-20, appendix F, as the Area Claims Authority where the claim arose.
    (iii) A member of the Navy or Marine Corps. The Director of the Navy 
Law Center in the Naval District in which the incident giving rise to 
the claim occurred.
    (iv) A member of the Air Force. The Base Staff Judge Advocate of the 
Air Force Base nearest the place where the incident giving rise to the 
claim occurred.
    (c) Claims under the Federal Tort Claims Act arising from negligence 
of DLA military or civilian personnel. (1) The Claims Investigating 
Officer will conduct his investigation and prepare all necessary forms 
and reports in accordance with the appropriate portions of AR 27-20 
where the claim involves a member of the Army or a DLA civilian 
employee; JAGINST 5800.7A where the claim involves a member of the Navy 
or Marine Corps; or AFM 112-1 where

[[Page 251]]

the claim involves a member of the Air Force.
    (2) The completed report of investigation will be forwarded by the 
Claims Investigating Officer to one of the following activities for 
settlement. Where the incident giving rise to the claim was occasioned 
by an act or omission of:
    (i) DLA civilian personnel or a member of the Army. The Staff Judge 
Advocate designated in AR 27-20, appendix F, as the Area Claims 
Authority where the incident giving rise to the claim occurred.
    (ii) A member of the Navy or Marine Corps. The Director of the Navy 
Law Center in the Naval District in which the incident giving rise to 
the claim occurred.
    (iii) A member of the Air Force. The Base Staff Judge Advocate of 
the Air Force Base nearest the place where the incident giving rise to 
the claim occurred.
    (d) Tort claims in favor of the United States for damage to or loss 
or destruction of DLA property, or property in its custody or control. 
(1) These claims will be investigated and processed in accordance with 
the provisions of AR 27-40, Chapter 5, except:
    (i) The duties of the claims officer will be performed by the Claims 
Investigating Officer.
    (ii) The duties of the Staff Judge Advocate will be performed by 
Counsel, except where the property is a GSA motor pool system vehicle 
(see paragraph (e) of this section).
    (iii) The reports of the Claims Investigating Officer will be 
furnished direct to Counsel for his activity or, if his activity has no 
Counsel, to the next higher echelon having such a position.
    (iv) With respect to reports referred to them, Counsel are 
authorized to give receipts for any payments received and to execute 
releases where payment in full is received, except where the property is 
a GSA motor pool system vehicle (see paragraph (e) of this section). 
Offers of compromise will be processed pursuant to DSAM 7000.1, chapter 
12, section V, paragraph 120502.
    (v) Where payment in full is not received after reasonable efforts 
have been made to collect the claim administratively, Counsel will refer 
the case directly to the U.S. Attorney unless:
    (a) The amount of the claim exceeds $10,000, in which event the case 
will be referred to Counsel, DLA.
    (b) The amount of the debt is less than $250; or the record clearly 
shows that the debtor is unable to pay; or the debtor cannot be located; 
in which event the file may be closed and the debt treated as an 
uncollectable which does not have to be referred to the General 
Accounting Office.
    (2) If, at any stage of the processing of a claim under this 
paragraph (d), a claim is filed against the Government arising out of 
the same incident, or it becomes apparent that one will be filed, the 
claim under this paragraph (d) will be treated as a counterclaim, and 
included under the report filed in accordance with the applicable 
paragraph of this part 1280.
    (e) Claims involving GSA motor pool system vehicles. (1) Where a 
motor pool system vehicle issued to a DLA activity is involved in an 
accident giving rise to a claim under the Federal Tort Claims Act, the 
claim will be handled pursuant to paragraph (c) of this section.
    (2) In the event of damage to a motor pool system vehicle which is 
not due to the fault of the operator, Counsel receiving the report will 
submit the report to GSA's Regional Counsel for the region that issued 
the vehicle pursuant to the Federal Property Management Regulation, 
Sec. 101-39.805. Damages to motor pool system vehicles caused by the 
negligence of vehicle operator employed by DLA or caused by the 
negligence or misconduct of any other officer or employee of DLA are 
reimbursed to General Services Administration (GSA). Determination 
affixing responsibility will be made by the Counsel to which the report 
is referred, after considering the views of GSA.
    (f) Reporting legal proceedings. (1) All process and pleadings 
served on any personnel or activity of DLA, and related to a claim 
covered by this part 1280 or involving an incident which may give rise 
to a claim covered by this part 1280, together with other immediately 
available data concerning the commencement of legal proceedings, will be 
promptly referred to

[[Page 252]]

Counsel for the activity involved, or, if the activity has no Counsel, 
to the next higher echelon having such a position.
    (2) Any Military Service member or civilian employee of DLA (or his 
personal representative) against whom a domestic civil action or 
proceeding is brought for damage to property, or for personal injury or 
death, on account of his operation of a motor vehicle (Government- or 
privately-owned) in the scope of his employment (28 U.S.C. 2679) will:
    (i) Upon receipt of process and pleadings or any other information 
regarding the commencement of such action or proceeding, immediately 
inform the Head of his activity and Counsel as specified in paragraph 
(f)(1) of this section.
    (ii) Promptly deliver all process and pleadings served upon him, or 
an attested true copy thereof, to Counsel.
    (3) Upon receipt of information or process and pleadings pursuant to 
paragraph (f)(1) or (2) of this section, Counsel will promptly prepare 
and process reports in accordance with the appropriate portions of AR 
27-40 except that:
    (i) If the incident giving rise to the litigation was occasioned by 
an act or omission of a member of the Navy or Marine Corps, or a member 
of the Air Force, information and reports required to be furnished to 
The Judge Advocate General of the Army will be furnished instead to The 
Judge Advocate General of the Navy and Air Force respectively.
    (ii) If the litigation is under the Federal Tort Claims Act and no 
administrative claim has been filed, Counsel will immediately advise the 
U.S. Attorney and furnish him a report of all information the activity 
has with respect to the claim and an affidavit by the Claims 
Investigating Officer to the effect that no administrative claim has 
been filed. Two copies of the foregoing will be provided to the 
appropriate Military Service Judge Advocate General. If an 
administrative claim has been filed and has been referred to a Military 
Service, a copy of the process and pleadings and any information not 
previously furnished will be sent to the appropriate Military Service 
Judge Advocate General.



PART 1285--DEFENSE LOGISTICS AGENCY FREEDOM OF INFORMATION ACT PROGRAM--Table of Contents




Sec.
1285.1  Purpose and scope.
1285.2  Policy.
1285.3  Definitions.
1285.4  Responsibilities.
1285.5  Procedures.
1285.6  Fees and fee waivers.
1285.7  Reports.

Appendix A to Part 1285--Gaining Access to DLA Records

    Authority: 5 U.S.C. 552.

    Source: 56 FR 65423, Dec. 17, 1991, unless otherwise noted.



Sec. 1285.1  Purpose and scope.

    This rule provides policies and procedures for the DLA 
implementation of DoD 5400.7-R,\1\ DoD Freedom of Information Act 
Program. It applies to HQ DLA and all DLA field activities and takes 
precedence over all DLA regulations that supplement the FOIA program. A 
list of mailing addresses for DLA activities is provided at appendix A 
to this part.
---------------------------------------------------------------------------

    \1\ Copies may be obtained, at cost, from the National Technical 
Information Service (NTIS), 5285 Port Royal Road, Springfield, VA 22161-
2171.
---------------------------------------------------------------------------



Sec. 1285.2  Policy.

    (a) General. The public has a right to information concerning the 
activities of its Government. DLA 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 
DLA record requested by a member of the public who follows rules 
established herein shall be withheld only when it is exempt from 
mandatory public disclosure under the FOIA. In order that the public may 
have timely information concerning DLA 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. Prompt responses to requests for information from news

[[Page 253]]

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.
    (b) 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 rule. Any request for 
DLA records that either explicitly or implicitly cites the FOIA shall be 
processed under the provisions of this rule, unless otherwise required 
by paragraph (m) of this section.
    (c) Compliance with the FOIA. DLA personnel are expected to comply 
with the FOIA and this rule in both letter and spirit. This strict 
adherence is necessary to provide uniformity in the implementation of 
the DLA FOIA program and to create conditions that will promote public 
trust. To promote a positive attitude among DLA personnel, each DLA 
Primary Level Field Activity (PLFA) will establish education and 
training programs described in part 286, subpart H, of this title. 
Training materials, including supplements, will be coordinated with DLA-
XAM prior to publication or issuance.
    (d) Openness with the public. DLA 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 exempt from disclosure 
under the Act shall, upon request, be made readily accessible to the 
public in accordance with rules promulgated herein, whether or not the 
Act is invoked.
    (e) Avoidance of procedural obstacles. DLA activities shall ensure 
that procedural matters do not unnecessarily impede a requester from 
obtaining DLA records promptly. DLA activities shall provide assistance 
to requesters to help them understand and comply with procedures 
established by this rule and any rules published by the DLA PLFA's.
    (f) Prompt action on requests. When a member of the public complies 
with the procedures established in this rule for obtaining DLA records, 
the request shall receive prompt attention; a reply shall be dispatched 
within 10 working days unless a delay is authorized. When a DLA activity 
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 
an activity from completing action on a request which can be easily 
answered, regardless of its ranking within the order of receipt. A DLA 
activity 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 activity processing the request.
    (g) Public domain. Nonexempt records released under the authority of 
this rule are considered to be in the public domain. Such records may 
also be made available in reading rooms to facilitate public access. 
Exempt records released pursuant to this rule or other statutory or 
regulatory authority, however, may be considered to be in 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 rule 
apply if the same individual seeks the records in a private or personal 
capacity.
    (h) Creating a record. (1) There is no obligation to create nor 
compile a record to satisfy an FOIA request. A DLA activity, however, 
may compile a new record when doing so would result in a more useful 
response to the requester or be less burdensome to the activity provided 
the requester does not object. The 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

[[Page 254]]

record. Fee assessments shall be in accordance with Sec. 1285.6 of this 
part and part 286, subpart F, of this title.
    (2) 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 a record, programming, or 
particular format are questionable, DLA activities 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.
    (i) Description of the requested record. (1) 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 DLA to locate the record with a reasonable 
amount of effort. When a DLA activity receives a request that does not 
reasonably describe the requested record, it shall notify the requester 
of the defect. The requester may be asked to provide the type of 
information outlined in paragraph (i)(2) of this section. Activities are 
not obligated to act on the request until the requester responds to the 
specificity letter. When practicable, DLA activities 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.
    (2) 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.
    (i) 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.
    (ii) 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.
    (3) 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 activity'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. The decision of the 
DLA activity concerning reasonableness of description must be based on 
knowledge of its files. If the description enables DLA activity 
personnel to locate the record with reasonable effort, the description 
is adequate.
    (4) The following guidelines deal with requests for personal 
records. Ordinarily, when only personal identifiers are provided in 
connection with a request for records concerning the requester, then 
only records retrievable by personal identifiers need be searched. The 
search for such records may be conducted under Privacy Act procedures 
contained in DLAR 5400.21.\2\ No record may be denied that is releasable 
under the FOIA.
---------------------------------------------------------------------------

    \2\ Copies may be obtained, at cost, from DASC-PD, Cameron Station, 
Alexandria, VA 22304-6130.
---------------------------------------------------------------------------

    (j) Possession and control. A record must exist and be in the 
possession and control of DLA at the time of the search to be considered 
subject to this rule and the FOIA. Mere possession of a record does not 
presume Agency control. Information created or originated by another 
activity shall be referred to that activity for release determination 
and direct response to the requester.
    (1) Referring requests. A DLA activity having no responsive records 
to an FOIA request may refer the request to another DLA activity, DoD 
component, or Federal agency if, after consultation with such activity, 
component, or agency, the intended recipient confirms that it has the 
requested record. In cases where the DLA activity receiving the request 
has reason to believe that the existence or nonexistence or the record 
may in itself be classified, that activity shall consult the DoD 
component having cognizance over the

[[Page 255]]

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 DLA activity 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 
DLA activity receiving a request that has been misaddressed shall refer 
the request to the proper address and advise the requester.
    (2) Referring records. (i) Whenever a record or a portion of a 
record is, after prior consultation, referred to another DLA activity, 
DoD component, or to a Government agency outside of the DoD 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.
    (ii) A DLA activity 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.
    (iii) A DLA activity may 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 DLA activity that 
created the record. In such situations, provide the record and a release 
recommendation on the record with the referral action.
    (iv) Within DLA, an activity shall ordinarily refer an FOIA request 
for a record that it holds but that was originated by another activity 
or that contains substantial information obtained from another activity 
to that activity for direct response after coordination and obtaining 
concurrence from the activity. The requester shall then be notified of 
such referral. DLA activities shall not, in any case, release or deny 
such records without prior consultation with the other activity.
    (3) On-loan documents. A DLA activity shall refer to the agency that 
provided the record any FOIA request for investigative, intelligence, or 
any other type of records that are on loan to DLA 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 DLA activity may only respond directly to 
the requester after coordination with the outside agency.
    (4) General Accounting Office (GAO) documents. On occasion, the DoD 
receives FOIA requests for GAO documents containing DoD information. 
Even though the GAO is outside the executive branch and not subject to 
the FOIA, all FOIA requests from GAO documents containing DoD 
information received either from the public or on referral from GAO will 
be processed under the provisions of the FOIA.
    (5) Agencies not subject to the FOIA. A DLA activity may refer an 
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 DLA 
activity must respond to the request.
    (6) Time to respond. DLA activities that receive referred requests 
shall answer them in accordance with the time limits established by the 
FOIA and this rule. Those time limits shall begin to run upon proper 
receipt of the referral by the PLFA FOIA manager to respond.
    (7) Accumulating fees. Requesters receiving the first two hours of 
search and the first 100 pages of duplication without charge (see part 
286, subpart F, of this title) are entitled to such only once per 
request. Consequently, if a DLA activity, after completing its portion 
of a request, finds it necessary to refer the request to another DLA 
activity or another DoD component to action their portion of the 
request, the referring activity shall inform the recipient of the 
expended amount of

[[Page 256]]

search time and duplication cost to date.
    (k) Requests for authentication of records. FOIA requests for 
authentication of records shall be authenticated with an appropriate 
seal, whenever necessary, to fulfill an official Government or other 
legal function according to DLA Regulation 5105.5.\3\ This service, 
however, is in addition to that required under the FOIA and is not 
included in the FOIA fee schedule. DLA activities may charge for the 
service at a rate of $5.20 for each authentication.
---------------------------------------------------------------------------

    \3\ See Footnote 2 to Sec. 1285.2(i)(4).
---------------------------------------------------------------------------

    (l) Records management. FOIA records shall be maintained and 
disposed of in accordance with DLA Manual 5015.1.\4\
---------------------------------------------------------------------------

    \4\ See Footnote 2 to Sec. 1285.2(i)(4).
---------------------------------------------------------------------------

    (m) Relationship between the FOIA and the Privacy Act. 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:
    (1) Requesters who seek records about themselves contained in a 
Privacy Act system of records and who cite or imply the Privacy Act, 
will have their requests processed under the provisions of the Privacy 
Act, 5 U.S.C. 552a.
    (2) Requesters who seek records about themselves which are not 
contained in a Privacy Act system of records and who cite or imply the 
Privacy Act, will have their requests processed under the provisions of 
the FOIA, since they have no access rights under the Privacy Act.
    (3) Requesters who seek records about themselves which are contained 
in a Privacy Act 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 exemption and fee provisions of the Privacy Act.
    (4) Requesters who seek access to Agency records and who cite or 
imply the Privacy Act, the FOIA, or both will have their requests 
processed under the FOIA.
    (5) Requesters should be advised in final responses why their 
request was processed under a particular act.
    (n) Reading rooms. (1) DLA activities may provide a facility or room 
where the public may inspect and copy or have copied the so-called 
``(a)(2)'' material (see Sec. 1285.3(b) of this part). At those 
activities where it is impractical to set up a formal reading room, the 
FOIA manager will arrange for a review of ``(a)(2)'' material at a 
suitable time and location. Identifying details that, if revealed, would 
create a clearly unwarranted invasion of personal privacy may be deleted 
from ``(a)(2)'' materials prior to placement in reading rooms. However, 
in every case, justification for the deletion must be fully explained in 
writing. The public's right to inspect first and then decide what is to 
be copied applies only to ``(a)(2)'' material. Activities may elect to 
place other documents in their reading room, including so-called 
``(a)(1)'' material (see Sec. 1285.3(a) of this part), as a means to 
provide public access to such documents and allow the public to first 
inspect them before copying. When appropriate, the cost of copying may 
be imposed on the person requesting the material in accordance with 
Sec. 1285.6 of this part and part 286, subpart F, of this title.
    (2) ``(a)(2)'' materials index. Each activity maintaining a reading 
room shall maintain an index of the ``(a)(2)'' materials that are 
issued, adopted, or promulgated after 4 July 1967. No ``(a)(2)'' 
materials issued, promulgated, or adopted after 4 July 1967 that are not 
indexed and either made available or published may be relied upon or 
used or cited as precedent against any individual unless such individual 
has actual and timely notice of the contents of such materials. Each 
index 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 the convenience of the DLA activity. Such materials 
issued, promulgated, or adopted before 4 July 1967 need not be indexed 
but must be made available upon request if not exempted under part 286, 
subpart C, of this title.

[[Page 257]]

    (3) DLA publications and PLFA supplements may, at the discretion of 
the DLA activity, be regarded as ``(a)(2)'' material and placed in 
reading rooms subject to the restrictions in paragraph (o)(2) of this 
section. Otherwise, requests for publications will be handled according 
to paragraph (o)(1) of this section.
    (o) Publications of DLA regulations, manuals, handbooks, and 
uncontrolled forms. (1) Since most DLA publications are available to the 
public through the publications distribution sales outlet, the requester 
may be referred to that outlet.
    (2) Requests for DLA publications which are classified, marked ``FOR 
OFFICIAL USE ONLY,'' or have limited distribution statements will be 
referred to the issuing activity for release determination and, if 
appropriate, formal denial. Such publications will not be placed in 
reading rooms. However, where a public reading room also serves as an 
activity's library, restricted publications may be maintained provided 
they are appropriately safeguarded and not commingled with other 
nonensitive regulations.
    (3) For DoD regulations, manuals, directives, handbooks and similar 
issuances, the FOIA manager may refer the requester to the National 
Technical Information Service (NTIS), 5285 Port Royal Road, Springfield, 
VA 22161-2171.
    (p) Exemptions. The types of records described in part 286, subpart 
C, of this title may be withheld in whole or in part from disclosure 
under the FOIA unless otherwise prescribed by law.
    (q) Requests for the examination of DLA records. Only those 
materials described as ``(a)(2)'' (and ``(a)(1)'' at the discretion of 
the PLFA head) are subject to the examination clause of the FOIA. Such 
requests will be submitted directly to the appropriate DLA activity 
listed in appendix A. FOIA managers will inform requesters of the 
location and time the requested record may be examined. Requesters may 
be charged for the cost to reproduce copies subject to the guidelines 
Sec. 1285.6 of this part and part 286, subpart F, of this title.
    (r) Requests for copies of records. Individuals seeking copies of 
DLA records should address their FOIA requests to the FOIA manager of 
the appropriate activity. Addresses and brief descriptions of functions 
are included in appendix A to this part.
    (s) Requests from private parties. The provisions of the FOIA are 
reserved for persons with private interests as opposed to Federal 
Governments seeking official information. Requests from private persons 
will be made in writing and will clearly show all other addressees 
within the Federal Government to whom the request was also sent. This 
procedure will reduce processing time requirements and ensure better 
inter- and intra-agency coordination. DLA activities are under no 
obligation to establish procedures to receive hand delivered requests. 
Release for records to individuals under the FOIA is considered public 
release of information, except as provided for in paragraph (g) of this 
section and Sec. 286.13(a) of this title.
    (t) Requests from government officials. Requests from Members of 
Congress for records on behalf for a Congressional Committee, 
Subcommittee, or either House sitting as a whole will be processed 
according to DLA Regulation 5400.12.\5\ Requests from officials of 
foreign governments which do not invoke the FOIA shall be referred to HQ 
DLA-I or the appropriate foreign disclosure channel for processing and 
the requester so notified. Requests invoking the FOIA from the following 
government officials will be considered the same as any other requested 
and processed according to this rule:
---------------------------------------------------------------------------

    \5\ See Footnote 2 to Sec. 1285.2(i)(4).
---------------------------------------------------------------------------

    (1) Officials of State or local governments.
    (2) Members of Congress seeking records on behalf of their 
constituents.
    (3) Officials of foreign governments.
    (u) Privileged release to U.S. Government officials. (1) Records 
determined to be exempt from public disclosure under one or more of FOIA 
exemptions may be authenticated and released to U.S. Government 
officials requesting them on behalf of Federal governmental bodies, 
whether legislative, executive, administrative, or judicial, as follows:
    (i) To a Committee or Subcommittee of Congress or to either House 
sitting

[[Page 258]]

as a whole in accordance with DoD Directive 5400.4.\6\
---------------------------------------------------------------------------

    \6\ See Footnote 1 to Sec. 1285.1.
---------------------------------------------------------------------------

    (ii) To the Federal courts, whenever ordered by officers of the 
court as necessary for the proper administration of justice. However, 
receipt of a subpoena duces tecum does not automatically compel 
disclosure of DLA records. To qualify for privileged release under this 
section, the subpoena must be signed by the judge of a court of 
competent jurisdiction. A subpoena which has been sent through FOIA 
channels and signed by a litigating attorney, a subpoena service agent, 
or an official of a state or local court will be treated as any other 
FOIA request and subject to the exemptions in part 286 subpart C, of 
this title. Consult with Counsel before acting on such subpoenas.
    (iii) To other Federal Agencies, both executive and administrative, 
as determined by the DLA Director or designee.
    (2) Disclosure under these privileged release circumstances does not 
set a precedent for disclosure to the general public under the FOIA.
    (3) DLA activities shall inform officials receiving records under 
the provisions of this paragraph that those records are exempt from 
public release under the FOIA and are privileged. DLA activities will 
also advise officials of any special handling instructions. See part 
286, subpart D, of this title for marking requirements under privileged 
release circumstances.



Sec. 1285.3  Definitions.

    The following terms and meanings shall be applicable:
    (a) ``(a)(1) material''. Material described in 5 U.S.C. 552(a)(1) 
consisting of descriptions of central and field organizations and, to 
the extent that 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.
    (b) ``(a)(2) material''. Material described in 5 U.S.C. 552(a)(2) 
encompassing:
    (1) Final opinions, including concurring and dissenting opinions, 
and orders made in the adjudication of cases, as defined in 5 U.S.C. 
551, that may be cited, used, or relied upon as precedents in future 
adjudications.
    (2) Statements of policy and interpretations that have been adopted 
by the agency and are not published in the Federal Register.
    (3) Administrative staff manuals and instructions, or portions 
thereof, that establish DLA 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 DLA activities. Examples of manuals and instructions 
not normally made available include but are not limited to the 
following:
    (i) 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.
    (ii) Operations and maintenance manuals and technical information 
concerning munitions, equipment, systems, and foreign intelligence 
operations.
    (c) Administrative appeal. A request made under the FOIA by a member 
of the general public asking the appellate authority to reverse an 
initial denial authority's decision to withhold all or part of a 
requested record, to review a ``no record found'' determination, to 
reverse a decision to deny a request for waiver or reduction of fees, or 
to review a category determination for fee assessment purposes.
    (d) Agency record. (1) 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 DLA's possession and control at the time the FOIA 
request is made.
    (2) The following are not included within the definition of the word 
``record'':

[[Page 259]]

    (i) Objects or articles, such as structures, furniture, vehicles and 
equipment, whatever their historical value or value as evidence.
    (ii) 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 DLA 
activity. 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 (d)(3) of this section.
    (iii) Anything that is not a tangible or documentary record, such as 
an individual's memory or oral communication.
    (iv) 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.
    (v) Information stored within a computer for which there is no 
existing computer program for retrieval of the requested information.
    (3) 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:
    (i) 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.
    (ii) Where the software itself reveals information about 
organizations, policies, functions, decisions, or procedures of a DLA 
activity, such as computer models used to forecast budget outlays, 
calculate retirement system costs, or optimization models on travel 
costs.
    (iii) See part 286, subpart C, of this title for guidance on release 
determinations of computer software.
    (4) A record must exist and be in the possession and control of DLA 
at the time of the request to be considered subject to this rule and the 
FOIA. There is no obligation to create, compile, or obtain a record to 
satisfy an FOIA request.
    (5) 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 requests for such 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. In such 
cases, DLA activities should direct the requester to the appropriate 
source to obtain the record.
    (e) Appellate authority. The Director, DLA, or his designee, except 
for fee waivers and category determinations. The appellate authority for 
such appeals is the Staff Director, Office of Administration, HQ DLA.
    (f) DLA activity. An element of DLA authorized to receive and act 
independently on FOIA requests. A DLA activity has its own FOIA manager, 
initial denial authority, and office of counsel.
    (g) Electronic data. 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 paragraphs (d)(2)(ii) and (d)(3) of 
this section for a discussion of computer software.
    (h) FOIA request. A written request for 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 5400.7-R, DLAR 5400.14, this rule, or DLA activity 
supplementing regulations or instructions.
    (i) Initial denial authority (IDA). An official who has been granted 
authority by the Director, DLA, to withhold records requested under the 
FOIA for one or more of the nine categories of

[[Page 260]]

records exempt from mandatory disclosure or to issue a ``no record'' 
determination. These include the Directors (or equivalent) of HQ DLA 
Primary Staff Elements (PSE's) and the Commanders (or equivalent) of 
PLFA's. For fee waiver and requester category determinations, the 
initial denial authority is the FOIA manager or head of the FOIA unit.
    (j) Public interest disclosures. Those disclosures which shed light 
on DLA performance of its statutory duties and thus inform citizens 
about what their government is doing. The ``public interest'', 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. The public interest 
is one of several factors considered in determining if a fee waiver is 
appropriate (see part 286, subpart F, of this title).
    (k) Releasing official. Any individual with sufficient knowledge of 
a requested record or program to allow him or her to determine if harm 
would come through release. Releasing officials are at all levels and 
may be selected to review a particular document because of their 
expertise in the subject area. The level must be high enough to make 
sure that releases are made according to the policies outlined here. The 
authority to release records of a routine nature, such as fact sheets or 
local directories, may be delegated to any individual at the discretion 
of the denial authority. In doubtful cases, releasing officials may 
consult with the FOIA staff or servicing counsel prior to release.



Sec. 1285.4  Responsibilities.

    (a) The Staff Director, Administration, HQ DLA-X: (1) Has overall 
responsibility for establishment and implementation of the DLA FOIA 
program, providing guidance and instructions to PLFA's and PSE's.
    (2) Designates a FOIA manager to administer the DLA FOIA program.
    (3) Serves as the point of contact for referring members of the 
public to the proper DLA source for Agency records.
    (4) Serves as appellate authority on fee waivers and category 
determinations.
    (5) Serve as initial denial authority for record denials where more 
than one PSE is involved or where a PSE has made a determination that 
the requested record cannot be found.
    (6) Submits required reports to the Office of the Assistant 
Secretary of Defense, Public Affairs.
    (7) Collects and deposits fees for FOIA services performed at HQ DLA 
and DASC.
    (b) The General counsel, HQ DLA-G: (1) Provides legal advice and 
assistance to HQ DLA PSE's and, where appropriate, PLFA's in determining 
decisions to withhold records.
    (2) Processes appeals to the Director, DLA, of denials to provide 
records or ``no record'' determinations.
    (3) Coordinates denial actions with Office of the General Counsel, 
DoD, and the Department of Justice, as appropriate.
    (4) Ensures that case files of FOIA appeals are maintained for 6 
years after final agency decision.
    (c) The Staff Director, Office of Public Affairs, HQ DLA-B, serves 
as a coordinating office for the release of information to the news 
media where potential for controversy exists.
    (d) The Staff Director, Office of Congressional Affairs, HQ DLA-Y, 
serves as a coordinating office on final responses to FOIA requests from 
members of the Congress.
    (e) The heads of the DLA principal staff elements (PSE's): (1) 
Appoint an individual to serve as FOIA monitor. Letters of appointment 
will be forwarded to DLA-XAM.
    (2) Forward to DLA-XAM any FOIA request received directly from the 
public so that the request may be administratively controlled.
    (3) Ensures that provisions of this regulation are followed in 
processing requests for records from the public.
    (4) Coordinate requests with other HQ DLA staff elements to the 
extent considered necessary.
    (5) Coordinate any proposed denial with the General Counsel.
    (6) Serve as initial denial authority.
    (7) Ensure that FOIA case files of denials are maintained for 6 
years and

[[Page 261]]

that full releases are maintained for 2 years.
    (8) Make initial determinations to release records or designate 
individuals to make such determinations.
    (f) The PSE FOIA monitors: (1) Process and control all FOIA requests 
received from DLA-XAM.
    (2) Make sure established suspenses are met.
    (3) Request extensions of time from DLA-XAM when necessary and 
within the limits of Sec. 1285.5(j) of this part.
    (4) Gather cost estimates when requested.
    (5) Ensure costs for processing each Freedom of Information Act 
request are properly recorded.
    (6) Coordinate proposed full and partial denials with DLA-XAM prior 
to signature by the PSE director. Forward a copy of the final response 
and cost information to DLA-XAM.
    (g) The heads of DLA primary level field activities (PLFA's): (1) 
Designate a FOIA manager to administer the DLA FOIA program within the 
PLFA. Forward the name, address, and telephone number of the manager to 
DLA-XAM.
    (2) Ensure that the provisions of this regulation are followed in 
processing requests for records from members of the public.
    (3) Provide facilities where members of the public may examine and 
copy the following documents:
    (i) DLAH 5805.1 \7\, DLA Organization Directory.
---------------------------------------------------------------------------

    \7\ See Footnote 2 to Sec. 1285.2(i)(4).
---------------------------------------------------------------------------

    (ii) DLAH 5025.1 \8\, DLA Index of Publications.
---------------------------------------------------------------------------

    \8\ See Footnote 2 to Sec. 1285.2(i)(4).
---------------------------------------------------------------------------

    (iii) DLAM 5015.1, Files Maintenance and Disposition.
    (iv) Copies of local directories or indexes.
    (v) Any other available ``(a)(1)'' or ``(a)(2)'' material.
    (4) Sign letters of denial and ``no record'' determinations after 
coordination with Counsel.
    (5) Refer cases of significance to DLA-XAM for review and evaluation 
when the issues raised are unusual, precedent setting, or otherwise 
require special guidance.
    (6) Establish safeguards to ensure that FOUO material is protected.
    (7) Establish procedures to ensure that a record is maintained of 
all FOIA requests for logistical data (data on magnetic tape extracted 
from any of the DLA automated data processing (ADP) systems). The record 
will contain the requester's name and address, the date of the request, 
what information was requested, and what information was furnished. This 
record will be kept for five years.
    (8) Inform Public Affairs offices 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.
    (h) Freedom of Information Act managers at all levels: (1) Establish 
procedures to receive, control, process, and screen FOIA requests. To 
provide for rapid retrieval of information, FOIA managers will maintain 
a central log of all incoming FOIA requests.
    (2) Review requests to determine if they meet the requirements of 5 
U.S.C. 552. Determine category of the requester before assigning the 
request for search. Provide instructions to the searching office on fees 
and time limits for response.
    (3) Consult with requesters, where necessary, to determine requester 
category and to resolve fee issues.
    (4) Establish training and education program for those personnel who 
may be involved in responding to FOIA requests.
    (5) Approve requests for formal extensions of time and notify 
requesters in writing of the extension.
    (6) Grant or deny requests for fee waivers or requester category 
determinations and provide DLA-XAM with a copy of each such denial.
    (7) Establish procedures to ensure that Sec. 1285.5(1) of this part 
regarding consultation with submitters of information is complied with.
    (8) Establish procedures for the collection and deposit of fees for 
FOIA services.
    (9) Ensure that cost data is maintained for each case file.
    (10) Establish procedures to ensure that record denials and ``no 
record'' determinations are signed by the PLFA initial denial authority 
and a copy forwarded to DLA-XAM.

[[Page 262]]

    (11) Notify DLA-XAM of requesters who have failed to pay fees in a 
timely manner.
    (12) Prepare and submit reports as required.
    (13) Consult with public affairs officers (PAO's) to become familiar 
with subject matter that is considered to be newsworthy and advise PAO's 
of all requests from news media representatives.
    (14) Establish procedures to provide the Congressional Affairs focal 
point with an information copy of each FOIA request received from a 
member of the Congress.
    (15) Coordinate any proposed supplements or training material with 
DLA-XAM prior to publication or dissemination.
    (16) Establish procedures to ensure that case files of FOIA releases 
are maintained for two years after cutoff and that denials are 
maintained for 6 years after cutoff.
    (17) Review all proposed full and partial denials prior to signature 
by the initial denial authority for compliance with these rules.



Sec. 1285.5  Procedures.

    (a) FOIA channels. If DLA personnel receive a FOIA request directly 
from the public that has not been logged in and processed through the 
FOIA office, they will immediately forward it to the local FOIA manager.
    (b) Central log system. Each FOIA manager will maintain a central 
log of FOIA requests received within the activity to ensure compliance 
with the time limits and accurate cost accounting, fee assessment, and 
reporting.
    (c) Time limit. FOIA requests must be responded to within 10 
business days after proper receipt, except in unusual circumstances 
outlined in paragraph (j) of this section. A request is considered 
properly received on the date the FOIA manager receives it provided the 
request has been reasonably described and the requester has either 
agreed to pay assessable fees or has provided sufficient justification 
for a fee waiver.
    (d) Screening requests. (1) Before assigning a request for search, 
the FOIA manager will screen the request for defects in the description, 
the requester category, and the issue of fees. FOIA managers will notify 
requesters of any such defects and, wherever possible, offer assistance 
to help remedy the defects. If the FOIA manager must consult with the 
requester on any of the following issues, then the request is not 
considered to be properly received and the 10-day time limit does not 
begin or resume until the requester has satisfactorily addressed the 
issue.
    (i) Payments in arrears. If a requester has failed to pay fees for a 
previous request, then the FOIA manager need not process the current 
request until the requester pays the delinquent amount. In such 
situations, the FOIA manager will notify the requester of the defect and 
provide an opportunity to forward payment along with any assessable 
interest. At that time, the FOIA manager may, at his or her discretion, 
demand that the requester also pay an estimated fee for the current 
request.
    (ii) Faulty description. If the request is not reasonably described, 
the FOIA manager will notify the requester of the defect and advise that 
a search cannot be initiated without more specific information. In 
making such determinations, FOIA managers may consult with offices of 
primary interest to determine the details that are needed to conduct a 
search. See also paragraph (f)(2) of this section and Sec. 1285.2(i) of 
this part.
    (iii) Requester category and fees. The FOIA manager will analyze the 
request to determine the category of the requester. If the category of 
the requester is different than that claimed by the requester, the FOIA 
manager will:
    (A) Notify the requester that he or she 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 FOIA manager shall render a final 
category determination, and notify the requester of such determination, 
to include normal administrative appeal rights.
    (B) Advise the requester that, notwithstanding any appeal, a search 
for

[[Page 263]]

responsive records will not be initiated until the requester indicates a 
willingness to pay assessable costs appropriate for the category 
determined by the FOIA manager. Requesters must submit a fee declaration 
appropriate for the following categories:
    (1) Commercial. Requesters must indicate a willingness to pay all 
search, review, and duplication costs.
    (2) Educational 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.
    (3) 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.
    (iv) Justification for fee waivers. If the requester has asked for a 
fee waiver but failed to provide a justification, FOIA managers will ask 
requesters to address the fee waiver criteria in part 286, subpart F, of 
this title before further processing the request. FOIA managers are 
reminded that with some types of records, a final decision cannot be 
made on waiver until after the records have been surfaced, reviewed, and 
the public benefit and previous public availability assessed.
    (2) In cases where there is disagreement on the category of the 
requester or there is lack of justification for fee waiver, the FOIA 
manager may process the request without further contacting the requester 
if he or she believes it can be processed within the automatic $15 
waiver limit.
    (e) Providing estimates. In the situations described by paragraphs 
(d)(1)(iii) and (d)(1)(iv) of this section, DLA activities must be 
prepared to provide an estimate of assessable fees if desired by the 
requester. While it is recognized that search situations will vary among 
DLA activities 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 actual costs 
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.
    (f) Internal processing. (1) Upon making a determination that the 
request is reasonably described, that the fee issue has been settled, 
and that the requester does not owe for a prior request, the FOIA 
manager will assign the request to the appropriate office of primary 
interest (OPI) for handling and provide instructions on the category of 
the requester, the fees to be charged or waived, and what actions the 
OPI is to take.
    (2) After reviewing a request, the OPI may determine, based on 
knowledge of the files and programs, that a request is, in fact, not 
reasonably described. OPI's will notify FOIA managers of such defects 
immediately so that further details may be sought from the requester. 
Any delays on the requester's part in receiving more detailed 
information will not count toward the 10-day time limit.
    (g) Initial determinations--(1) Reasons for not releasing a record. 
There are seven reasons for not complying with a request for a record:
    (i) The request is transferred to another DLA activity, DOD 
component, or to another Federal agency.
    (ii) The DLA activity determines through knowledge of its files and 
reasonable search efforts that it neither controls nor otherwise 
possesses the requested record. Responding officials will advise 
requesters of the right to appeal such determinations. See paragraph 
(i)(5) of this section for details on processing ``no record'' 
responses.
    (iii) A record has not been described with sufficient particularity 
to enable the DLA activity to locate it by conducting a reasonable 
search.
    (iv) The requester has failed unreasonably to comply with procedural 
requirements, including payment of fees, imposed by this rule.
    (v) The request is withdrawn by the requester.
    (vi) The information requested is not a record within the meaning of 
the FOIA and this rule.
    (vii) The record is denied in accordance with procedures set forth 
in the FOIA and this rule.
    (2) Reasonably segregable portions. Although portions of some 
records may

[[Page 264]]

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 reasonable to 
segregate portions of the record for release.
    (h) Preparing documents for public release--(1) Material containing 
For Official Use Only marks. When a determination has been made that a 
FOUO document may be fully released to a requester under any public 
information program, the FOUO markings will be removed from the 
requester's copy prior to release. In cases where a person seeks access 
to his or her own record and the record is marked FOUO to protect that 
person's personal or proprietary interests, the FOUO marks will be 
deleted from the requester's copy prior to release, even though the FOUO 
status has not been terminated. In such cases, the official file copy 
will retain the FOUO warning. If only portions of a document marked as 
FOUO are to be released to the public under the FOIA, then the exempt 
portions will be taped out, blackened out, whited out, or cut out and a 
copy reproduced for the requester from the marked up copy. Initial 
denial authorities will ensure that the deleted portion cannot be read 
and that the FOUO marks have been lined through prior to release.
    (2) Material containing classification markings. The procedures in 
paragraph (h)(1) of this section apply to classified documents with the 
exception that the classified portions will be cut out rather than 
blackened, taped, or whited out. The classification markings on the 
requester's copy will be deleted prior to release.
    (i) Response to requester--(1) Time limits. 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 FOIA manager. When a decision is made to release a 
record, a copy should be made available promptly to the requester once 
he has complied with procedural requirements.
    (2) Acknowledging date of receipt. 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.
    (3) Billing. When fees are being levied, the response to the 
requester will contain a billing paragraph. Responding officials will 
advise requesters to make checks or money orders payable to the United 
States Treasury and forward them to the FOIA manager of the PLFA that 
incurred the expense. FOIA managers will notify DLA-XAM of names and 
addresses of requesters who have failed to pay after a second billing 
has been mailed and 30 days have elapsed without payment.
    (4) Full and partial denials. (i) When a request for a record is 
denied in whole or in part on the basis of one or more of the exemptions 
in part 286, subpart C, of this title the initial denial authority shall 
inform the requester in writing 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 exemption(s) 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 Executive Order 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 the Director, DLA.
    (ii) FOIA managers shall forward a copy of each letter of denial to 
DLA-XAM, Cameron Station, Alexandria, Virginia 22304-6100. Do not 
include attachments, the incoming request, or any backup material.
    (5) Providing ``no record'' responses. (i) If no documents can be 
located in response to a FOIA request, the initial denial authority will 
so advise the requester. Requesters will also be advised that, if they 
consider the response to be adverse, they may file an appeal within 60 
calendar days from the date

[[Page 265]]

of the response. Requesters are to be advised to address appeals to the 
local FOIA manager and include the case number and reasons why they 
believe the DLA activity should have records on the subject matter.
    (ii) Before a formal ``no record'' response is issued, OPI will 
verify that the requester has adequately described the record. If 
additional details will aid the search, then the requester will be asked 
to provide those details. See paragraph (d)(1)(ii) of this section and 
Sec. 1285.2(i) of this part for procedures for resolving inadequate 
descriptions.
    (iii) In cases where the requested record has been destroyed, the 
initial denial authority will confirm that the record was retained for 
the period authorized in DLAM 5015.1 before issuing a formal response. 
In responding to requesters in these cases, advise the requester that 
the records were properly destroyed according to Agency rules for record 
disposition and give the right to appeal as outlined in paragraph 
(i)(5)(i) of this section. However, do not ask the requester to provide 
reasons why the activity should have the records.
    (iv) Upon receipt of an appeal, the FOIA manager will direct that a 
second search be conducted using any information supplied by the 
requester. If the second search produces no documents, the appeal will 
be forwarded to HQ DLA-G, Cameron Station, Alexandria, Virginia 22304-
6100, along with a copy of the case file. The FOIA manager will include 
the cost information and an explanation of the method of search and the 
types of offices searched. In cases where the ``no record'' response was 
issued because the records have been destroyed, the FOIA manager will 
verify that the records were destroyed as provided for in DLAM 5015.1 
and provide a statement to that effect.
    (v) FOIA managers will ensure that a copy of each ``no record'' 
response letter is forwarded to DLA-XAM, Cameron Station, Alexandria, 
Virginia 22304-6100. Do not include attachments, the incoming request, 
or any backup material.
    (6) Coordination. OPI's will ensure that the proposed response is 
fully coordinated with offices having an interest in the request. 
Proposed responses to FOIA requests from members of the Congress will be 
coordinated with DLA-Y or the local Congressional Affairs focal point.
    (j) Extensions of time--(1) Formal extensions. In unusual 
circumstances, when additional time is needed to respond, the FOIA 
manager will 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. Such extensions will be approved on a case-by-
case basis. 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 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. Since the 
requester still retains the right to treat this delay as a defacto 
denial with full administrative remedies, such extensions should be 
issued only when essential. The unusual circumstances that may be cited 
to justify delay are:
    (i) Location. The requested record is located in whole or in part at 
places other than the office processing the request.
    (ii) Volume. The request requires the collection and evaluation of a 
substantial number of records.
    (iii) Consultation. Consulation 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 rule or should be released as 
a matter of discretion.
    (2) Informal extensions. Where practical and expedient, the FOIA 
manager or official designated to respond may negotiate with the 
requester and arrange for an informal extension. Such extensions may be 
appropriate in instances where the records have to be ordered from a 
record repository; where the record has been sent out for

[[Page 266]]

commercial printing and is not expected back before the 10-day time has 
elapsed; and similar circumstances.
    (k) Misdirected requests. Misdirected requests shall be forwarded 
promptly to the FOIA manager of the DLA activity, DoD component, or 
Federal agency 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 FOIA 
manager of the PLFA that controls the records requested.
    (l) Records of contractors and other non-U.S. government sources. 
(1) Executive Order 12600 of 23 June 1987 (52 FR 23781) establishes 
predisclosure notification procedures for confidential commercial 
information. When a request is received for a record that was obtained 
from a contractor or other non-U.S. Government source or for a record 
containing information clearly identified as having been provided by a 
contractor or other 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(b)(4)) (see Sec. 286.13(a)(4) of 
this title) shall 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. The following procedures will be followed:
    (i) The person designated to respond will provide the source with a 
copy of the incoming request, a copy of the documents responsive to the 
request, and a letter of instruction. The notification letter will be 
addressed to the president of the entity or the entity's counsel and 
sent by return receipt mail.
    (ii) When a substantial issue has been raised, the DLA activity may 
seek additional information from the source and afford the source and 
requester reasonable opportunities to present their arguments on the 
legal and substantive issues involved.
    (iii) Any objections to release will be evaluated and the source 
provided with a copy of the activity's final decision. Where a decision 
is made to release information claimed to be exempt, the source will be 
notified that the information will be released on a specified date 
unless the source seeks a restraining order or takes court action to 
prevent disclosure. Evaluators are cautioned that any decision to 
disclose information claimed to be exempt under 5 U.S.C. 552(b)(4) must 
be made by an official equivalent in rank to the initial denial 
authority.
    (iv) When the source advises it will seek a restraining order or 
take court action to prevent release of the record or information, the 
FOIA manager will notify the requester and suspend action on the request 
until after the outcome of that court action is known. When the 
requester brings court action to compel disclosure, the FOIA manager 
shall promptly notify the submitter of this action.
    (2) These procedures are 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 established 
that it would be made available to the public upon request, there is no 
obligation to notify the source.
    (3) These coordination provisions also apply to any non-U.S. 
Government record in the possession and control of DLA from multi-
national organizations, such as North Atlantic 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 the Department of State.
    (m) File of initial denials. Copies of all initial denials shall be 
maintained by each DLA activity in a form suitable for rapid retrieval, 
periodic statistical compilation, and management evaluation.
    (n) Appeals--(1) General--(i) Appeals to record denials. Requesters 
denied access to records under the provisions of part 286, subpart C, of 
this title may appeal such determinations to the Director, DLA. The 
appeal should be accompanied by a copy of the letter denying the initial 
request and contain the

[[Page 267]]

basis for disagreement with the initial refusal.
    (ii) Appeals to a ``no record'' finding. Requesters have the right 
to appeal any ``no record'' finding to the FOIA manager of the activity 
that issued the finding. The letter of appeal should include the case 
number and, where appropriate, reasons why the requester believes the 
activity should have records on the subject matter. Using the 
information supplied by the requester, the FOIA manager will direct that 
a second search be conducted. If the second search produces no 
documents, the appeal will be forwarded to HQ DLA-G, Cameron Station, 
Alexandria, Virginia 22304-6100, along with a copy of the case file. The 
FOIA manager will include information on the amount of time spent on the 
request and provide an explanation of the method of search and the types 
of offices searched.
    (iii) Appeals to fee waiver denials or requester category decisions. 
Requesters may appeal an initial determination regarding placement in a 
certain fee assessment category or waiver or reduction of fees when 
disclosure serves the public interest. Requesters will include a basis 
for disagreement and submit the appeal to the Staff Director, Office of 
Administration (Attn: DLA-XAM), Cameron Station, Alexandria, Virginia 
22304-6100.
    (2) Time limits--(i) Time limits to file appeals. 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.
    (ii) Time of receipt. An FOIA appeal is considered received by DLA 
when it reaches DLA-G or, in the case of fee or requester category 
appeals, when it reaches DLA-XAM. Misdirected appeals should be referred 
expeditiously to the appropriate office.
    (iii) Time limits to decide appeals. Final determinations on appeals 
normally shall be made within 20 working days after receipt.
    (iv) Delay in responding to an appeal. (A) If additional time is 
needed due to the unusual circumstances described in paragraph (j) of 
this section, 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. Requesters shall be advised that if the delay 
exceeds the statutory extension provision or is for reasons other than 
the unusual circumstances identified in paragraph (j) of this section, 
they may consider their administrative remedies exhausted. They may, 
however, without prejudicing their right of judicial remedy, await a 
substantive response. DLA 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.
    (C) When the appellate authority or the authority's representative 
must consult with the requester over an issue not previously settled, 
such as agreement to pay fees for documents previously denied, then any 
delays on the requester's part will not count toward the 20-day time 
limit.
    (3) Response to the requester. (i) 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.
    (ii) Final refusal to provide a requested record must be made in 
writing by the DLA Director or his designee. In the case of fee appeals, 
final refusal to waive or reduce fees must be made in

[[Page 268]]

writing by the Staff Director of Administration. Record denial 
responses, at a minimum, shall conform to the following:
    (A) The basis for the refusal shall be explained to the requester 
with regard to the applicable statutory exemption or exemptions invoked.
    (B) 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.
    (C) The response shall advise the requester that the material being 
denied does not contain meaningful portions that are reasonably 
segregable.
    (D) The response shall advise the requester of the right to judicial 
review.
    (4) Consultaton. (i) Final refusal involving issues not previously 
resolved or that are known to be inconsistent with rulings of other DoD 
components ordinarily should not be made without first consulting with 
the Office of the General Counsel of the Department of Defense.
    (ii) 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.
    (5) Records management. Case files of appeals shall be retained by 
DLA-G or, in the case of fee or requester category appeals, by DLA-XAM 
for a period of six years to meet the statute of limitations of claims 
requirement.
    (o) Special mail services. DLA activities 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.
    (p) Receipt accounts. The Treasurer of the United States has 
established Receipt Account 3210 for use in depositing search, review, 
and duplication fees collected under the FOIA. Upon receipt of payment, 
the FOIA manager will forward the check or money order to DFAS/CO/PDG, 
P.O. Box 182317, Columbus, Ohio 43218-2317. FOIA managers will advise 
DFAS that the check is to be deposited to accounting classification 
21R3210.0004. This account will not, however, be used for depositing 
receipts for technical information released under the FOIA, 
industrially-funded activities, and non-appropriated funded activities. 
Instead, payments for these shall be deposited to the appropriate fund.



Sec. 1285.6  Fees and fee waivers.

    The rules and rates published in part 286, subpart F of this title 
apply to this rule. For purposes of computer search, DLA has established 
rates of $20 per minute of central processing unit time for mainframe 
computer use and $20 per hour of wall clock time for personal computer 
use. These rates represent average operational costs and may be used 
when the actual computer cost cannot be determined.



Sec. 1285.7  Reports.

    The reporting requirement outlined in this rule is assigned Report 
Control Symbol DD-PA(A)1365 and will be prepared according to part 286, 
subpart G, of this title.

         Appendix A to Part 1285--Gaining Access to DLA Records

                               I. General

    The Defense Logistics Agency was established pursuant to authority 
vested in the Secretary of Defense and is an agency of DoD under the 
direction, authority, and control of the Assistant Secretary of Defense 
(Production and Logistics) and is subject to DoD policies, directives, 
and instructions. DLA is made up of a headquarters and 22 Primary Level 
Field Activities (PLFA's). DLA does not have a central repository for 
its records. FOIA requests, therefore, should be addressed to the FOIA 
Office of the DLA activity that has custody of the record desired. In 
answering inquiries regarding FOIA requests, DLA personnel will assist 
requesters in determining the correct DLA activity to address their 
requests. If there is uncertainty as to the ownership of the DLA record 
desired, the requester may be referred to the FOIA manager of the DLA 
activity most likely to have the record or to HQ DLA-XAM.

[[Page 269]]

         II. Description of DLA's Central and Field Organization

 A. HQ Defense Logistics Agency, Cameron Station, Alexandria, Virginia 
                               22304-6100

    The headquarters is organized by broad functional area and includes 
the following offices and directorates:

Office of the Director.
Executive Director, Contracting.
Executive Director, Supply Operations.
Executive Director, Technical and Logistics Services.
Executive Director, Contract Administration.
Executive Director, Quality Assurance.
Executive Director, Program and Technical Support.
Staff Director, Congressional Affairs.
Staff Director, Public Affairs.
Staff Director, Command Security.
Staff Director, Administration.
Staff Director, Civilian Personnel.
Staff Director, Contracting Integrity.
Staff Director, Military Personnel.
Staff Director, Small and Disadvantaged Business Utilization.
Staff Director, Installation Services and Environmental Protection.
Assistant Director, Information Systems and Technology.
Assistant Director, Policy and Plans.
General Counsel.
Comptroller.

                             B. The PLFA's.

    The 22 PLFA's are organized into six supply centers, four depots, 
six service centers, and six contract districts.
    1. Supply centers. The six supply centers are responsible for 
materiel management of assigned commodities and items of supply relating 
to food, clothing, textiles, medical, chemical, petroleum, industrial, 
construction, electronics, and general items of supply. The six supply 
centers are:
    a. Defense Construction Supply Center (DCSC). Buys and manages 
construction materials, automotive, and construction equipment 
components, and many repair parts used by the Military Services and 
other Federal agencies. Manages items ranging from common commercial 
items such as lumber and plumbing accessories to complex repair parts 
for mechanical, construction, and automotive equipment, and for military 
aircraft, surface ships, submarines, combat vehicles, and missile 
systems.
    b. Defense Electronics Supply Center (DESC). Responsible for the 
acquisition, management, and supply of more than one-half million 
electronic components such as resistors, capacitors, tubes, 
transformers, microcircuits, and components for various communications 
and weapons systems.
    c. Defense Fuel Supply Center (DFSC). Serves as material manager for 
bulk petroleum and coal and is responsible for its worldwide supply, 
storage, and distribution.
    d. Defense Industrial Supply Center (DISC). Buys and manages 
industrial items such as bearings, ferrous and nonferrous metals, 
electrical wire, gasket material, and certain mineral ores and precious 
metals.
    e. Defense Personnel Support Center (DPSC). Buys and manages food, 
clothing, and medical supplies for all the armed services, some Federal 
agencies and authorized foreign governments.
    f. Defense General Supply Center (DGSC). Buys and manages such 
categories of materials as electrical hardware, materials handling 
equipment, kitchen and laundry equipment, woodworking and metalworking 
machines, photographic supplies, and precision measuring instruments.
    2. Depots. DLA depots are responsible for the receipt, storage, and 
distribution of DLA-managed materiel. The principal depots are:
Defense Distribution Region West (DDRW)
Defense Distribution Region East (DDRE)
Defense Depot Memphis (DDMT)
Defense Depot Ogden (DDOU)
    3. Service centers. DLA operates six service centers which provide 
technical and logistics services. The service centers are:
    a. Defense Logistics Services Center (DLSC). Responsible for 
maintenance of the Federal Supply Catalog System, including the 
development and dissemination of cataloging and item intelligence data 
to the Military Departments and other authorized customers.
    b. Defense Reutilization and Marketing Service (DRMS). The central 
clearinghouse for the reutilization, donation, sale, or disposal of DoD-
owned excess property, including scrap and waste.
    c. Defense Industrial Plant Equipment Center (DIPEC). Manages the 
reserve of DoD-owned industrial plant equipment. The center repairs, 
rebuilds, and updates equipment to avoid new procurement costs.
    d. DLA Administrative Support Center (DASC). Provides general 
administrative support to designated DLA activities.
    e. Defense National Stockpile Center (DNSC). Maintains the national 
reserve of strategic materials stored for use in event of war or other 
national emergency.
    f. DLA Systems Automation Center (DSAC). Develops and maintains 
DLA's automated and computerized systems.
    4. Contract districts. Six districts, each responsible for contracts 
covering a multistate or specialized area, administer materiel contracts 
after they are awarded by the military services, defense agencies, some 
civil agencies, and certain foreign governments. The districts are:


[[Page 270]]


Defense Contract Management District Northeast (DCMDN).
Defense Contract Management District Mid Atlantic (DCMDM).
Defense Contract Management District North Central (DCMDC).
Defense Contract Management District South (DCMDS).
Defense Contract Management District West (DCMDW).
Defense Contract Management Command International (DCMCI).

                       III. Requester Requirements

                         A. Addressing Requests

    Address requests to the DLA PLFA most likely to hold the records 
(see paragraph V of this appendix for mailing addresses of FOIA 
managers). If the PLFA is undeterminable, address requests to HQ DLA-XAM 
for proper routing. Requests must be in writing.

                       B. Description of Records.

    Provide a reasonable description of the documents you are seeking. 
If you have detailed information which would help reduce the search time 
involved, please include it in your request. If you have a document 
which references the DLA record you seek, include a copy of that 
document.

                        C. Fees and fee waivers.

    State your willingness to pay fees above the $15 automatic waiver or 
provide a justification for waiver of all or part of the costs. Waiver 
requests must address with specificity each of the fee waiver elements 
in part 286, subpart F, of this title.

                  IV. Availability of DLA Publications

    Unrestricted DLA regulations, manuals, and handbooks may be 
purchased from the DLA publications sales outlet. DLA Handbook 5025.1, 
Defense Logistics Agency Index of Publications, is published quarterly 
and may be used to help you identify publications of interest to you. 
Orders for this and other nonrestricted publications may be placed 
through DASC-PD, Cameron Station, Alexandria, VA 22304-6130. That office 
will advise you of cost before completing your order.

                        V. FOIA Mailing Addresses

HQ Defense Logistics Agency, Attn: HQ DLA-XAM, Cameron Station, 
Alexandria, VA 22304-6100.
Defense Construction Supply Center, Attn: DCSC-WXA, 3990 E. Broad 
Street, Columbus, OH 43216-5000.
Defense Electronics Supply Center, Attn: DESC-WXA, 1507 Wilmington Pike, 
Dayton, OH 45444-5252.
Defense Fuel Supply Center, Attn: DFSC-DB, Cameron Station, Alexandria, 
VA 22304-6160.
Defense General Supply Center, Attn: DGSC-DB, Richmond, VA 23297-5000.
Defense Industrial Supply Center, Attn: DISC-PPR, 700 Robbins Avenue, 
Philadelphia, PA 19111-5096.
Defense Personnel Support Center, Attn: DPSC-WXA, 2800 South 20th 
Street, Philadelphia, PA 19101-8419.
Defense Distribution Region East, Attn: DDRE-WX, New Cumberland, PA 
17070-5001.
Defense Depot Memphis, Attn: DDMT-WX, 2163 Airways Blvd., Memphis, TN 
38114-5000.
Defense Depot Ogden, Attn: DDOU-G, 800 West 12th Street, Ogden, UT 
84407-5000.
Defense Distribution Region West, Attn: DDRW-WX, Tracy, California 
95376-5000.
Defense National Stockpile Center Attn: DNSC-L, 1745 Jefferson Davis 
Highway, Crystal Square No. 4, suite 100, Arlington, VA 22202-3402.
Defense Industrial Plant Equipment Center, Attn: DIPEC-LP, 2163 Airways 
Blvd., Memphis, TN 38114-5051.
Defense Logistics Services Center, Attn: DLSC-WXA, 74 N. Washington 
Avenue, Battle Creek, MI 49017-3084.
Defense Reutilization and Marketing Service, c/o Defense Logistics 
Services Center, Attn: CLSC-WXA, 74 N. Washington Avenue, Battle Creek, 
MI 49017-3084.
DLA Systems Automation Center, Attn: DSAC-E, P.O. Box 1605, Columbus, OH 
43216-5002.
DLA Administrative Support Center, Attn: DASC-RA, Cameron Station, 
Alexandria, VA 22304-6130.
Defense Contract Management District South, Attn: DCMDS-W, 805 Walker 
Street, Marietta, Georgia 30060-2789.
Defense Contract Management District Northeast, Attn: DCMDN-WX, 495 
Summer Street, Boston, MA 02210-2184.
Defense Contract Management District North Central, Attn: DCMDC-WX, 
O'Hare International Airport, P.O. Box 66926, Chicago, Il 60666-0926.
Defense Contract Management District West, Attn: DCMDW-WXA, 222 N. 
Sepulveda Blvd., El Segundo, CA 90245-4320.
Defense Contract Management District Mid Atlantic, Attn: DCMDM-RW, 2800 
S. 20th Street, Philadelphia, PA 19101-7478.
Defense Contract Management Command International, Attn: DCMCI-MBW, 
Wright-Patterson AFB, OH 45433-5000.

[[Page 271]]



PART 1288--REGISTRATION OF PRIVATELY OWNED MOTOR VEHICLES--Table of Contents




Sec.
1288.1  Purpose and scope.
1288.2  Policy.
1288.3  Definitions.
1288.4  Responsibilities.
1288.5  Procedures.
1288.6  Forms and reports.

Appendix A to Part 1288--Decal Specifications

    Authority: 5 U.S.C. 301; DOD Directive 5105.22, June 8, 1978.

    Source: 43 FR 40806, Sept. 13, 1978, unless otherwise noted.



Sec. 1288.1  Purpose and scope.

    To prescribe policy and procedures for the registration, inspection, 
and marking of privately owned vehicles (POV) on Defense Logistics 
Agency (DLA) activities. This regulation is applicable to individuals 
serving in or employed by the Defense Logistics Agency, and to all other 
individuals subject to motor vehicle registration requirements set forth 
in this part 1288 and DLAR 5720.1/AR 190-5/OPNAVINST 11200.5B/AFR 125-
14/MCO 5110.1B, Military Police Motor Vehicle Traffic Supervision.



Sec. 1288.2  Policy.

    (a) The operation of a POV on a DLA activity constitutes a 
conditional privilege extended by the Head of the activity. The Heads of 
DLA primary level field activities (PLFA's) have the authority to 
supplement this regulation to implement additional controls and 
restraints warranted by existing conditions at a PLFA. For example, 
commanders of depots and supply centers may impose searches of vehicles 
as warranted to reduce pilferage, and protect Government interests.
    (b) POV's permanently registered for operation on a DLA activity 
will be identified by use of one of the decals prescribed in this part 
1288 (appendices A and B).
    (c) The DLA vehicle decal will be valid for a period of 3 years from 
the year and month of issue.
    (d) Activities will use DLA Form 1454, Vehicle Registration/Driver 
Record, as the basic vehicle registration and driver record.
    (e) DLA tenant activities will comply with host installation 
policies and procedures for registering POV's.



Sec. 1288.3  Definitions.

    Terms used in this part 1288 are contained in DLAR 5720.1.



Sec. 1288.4  Responsibilities.

    (a) HQ DLA. (1) The command security officer, DLA (DLA-T) will 
provide staff supervision and assistance to DLA activities on matters 
concerning this part 1288.
    (2) The inspector general, DLA (DLA-I) will procure, issue, and 
control inspector general (IG) vehicle decals in accordance with 
Sec. 1288.6 of this part, with the exception of the 3-year validation 
requirement. (Vehicles bearing such decals will be permitted entry to 
all DLA activities.)
    (b) The heads of DLA primary level field activities will:
    (1) Insure that personnel adhere to the provisions of this part 1288 
when implemented.
    (2) Procure, issue, and control vehicle decals in accordance with 
this DLAR.
    (3) Periodically inform personnel of the requirements of this DLAR, 
DLAR 5720.1, and local requirements concerning the motor vehicle 
registration program.
    (4) Activity/tenant employees are not considered visitors and will 
not be issued visitor passes. Employees operating loaner/rental vehicles 
may be temporarily registered in accordance with DLAR 5720.1, paragraph 
3-2c.



Sec. 1288.5  Procedures.

    (a) Issuance of DLA POV decal and 3-year validation sticker. (1) One 
decal will be affixed to the left front bumper (operator's side) of a 
four-wheel vehicle. An additional decal may be placed on the rear bumper 
of the vehicle. For vehicles not equipped with bumpers and two-wheeled 
vehicles, the placement of decals will be determined locally.
    (2) A 3-year validation sticker indicating the decal expiration will 
be issued at the same time the DLA decal is issued. Every 3 years, or 
following a significant change, registrants will be required to update 
their registration

[[Page 272]]

information. Evidence of compliance will be documented by the issuance 
and display of a new 3-year validation sticker.
    (3) The validation sticker will be placed next to the DLA decal 
affixed to the front bumper of the vehicle. This sticker will reflect 
the month and year of the decal expiration, e.g., vehicles registered 
during the month of June 1978 will have affixed a validation sticker 
with the numbers ``6-81'', indicating expiration of the decal at the end 
of June 1981. The specifications for the validation sticker will be 
determined locally.
    (4) Decals or other media used to identify vehicles of temporary 
registrants or visitors will be locally prescribed.
    (5) Decals will be removed from POV's by the registrant when 
activity registration is terminated. See DLAR 5720.1, chapter 3, for 
information on termination of registration.
    (6) Vehicle decals will be purchased with appropriated funds for 
issuance at no cost to authorized users.
    (b) Proof of insurance. (1) Individuals registering vehicles will 
certify possession of insurance per DLAR 5720.1, paragraph 3-3c.
    (2) The certification contained on DLA form 1454 will, as indicated 
thereon, be witnessed and manifested by a signature.
    (c) Vehicle inspection. (1) DLA activities located in States or 
jurisdictions having mandatory vehicle safety inspections will reflect 
the provisions of DLAR 5720.1, paragraph 3-3d, in the supplementation of 
this DLAR.
    (2) Vehicle safety inspections are not mandatory for DLA activities 
located in areas not requiring such inspections.
    (d) Registrant. Registrant must inform the vehicle registration 
office within 72 hours as information on DLA form 1454 becomes invalid.



Sec. 1288.6  Forms and reports.

    (a) DLA form 1454 will be prepared at the time of initial 
registration of the vehicle and will remain valid for as long as the 
registrant retains ownership of the vehicle and complies with 
registration requirements. A Privacy Act statement for use in 
conjunction with DLA form 1454 will be made available to the individual 
supplying data on the form.
    (b) Data blocks 3, 4, and 14 on DLA form 1454 will be entered in 
ink; remaining entries will be in pencil.
    (c) One copy of DLA form 1454 will also serve as the driver record 
of the registrant.
    (d) Upon permanent change of station of the military service 
registrant, activity clearance procedures will provide for DLA form 1454 
to be included in the registrant's military personnel folder for 
transmittal to the gaining activity. DLA forms 1454 for transferring 
civilian personnel will be forwarded to the security officer of the 
gaining activity.
    (e) The DLA form 1454 for military personnel being discharged or 
separated will be forwarded to the appropriate personnel office for 
inclusion in the records folder for subsequent retirement.

              Appendix A to Part 1288--Decal Specifications

    A. The design format of the standard DLA decal to be used for 
identifying POV's permanently registered for operation on DLA activities 
is shown in enclosure 2. The IG decal will be of the same design and 
color as that prescribed for the standard DLA decal except that the 
registration letter/number scheme will consist of the letters ``IG'' 
followed by a number. Standard DLA decals may be procured from the U.S. 
Disciplinary Barracks, USDB, Fort Leavenworth, Kans. 66027, which is an 
approved Federal printing plant. Existing stocks of decals with ``DSA'' 
inscribed will be used until exhausted.
    B. The following specifications apply to the separate elements of 
the decal:
    1. Basic construction. Decal will meet Federal Specification L-
5300A, 7 Jan 70, type I, class 4, reflectivity 1.
    2. Colors:
    a. Background--Silver.
    b. DLA emblem, field activity name, and scroll, the letters DLA, and 
year/date--Black.
    C. Registration letters/numbers:
    (1) Mandatory categories:
    (a) Officer personnel--Blue.
    (b) Enlisted personnel--Red.
    (c) Civilian employees--Green.
    (2) The following additional colors will be used to categorize 
registration further:
    (a) Noncommissioned officer personnel--Brown.
    (b) Civilian employees (nonappropriated fund), Red Cross, 
concessionaires, contractors, and other similar categories--Black.

[[Page 273]]

    3. Registration letters/numbers. For each registration category a 
combination of letters and number(s) separated by the DLA emblem will be 
used. The number-letter system will progress from AA-1 to AA-2, and so 
on, to AA-99, from AB-1 to AB-99, eventually from AZ-1 to AZ-99, and so 
on from ZZ-1 to ZZ-99.
    4. Dimensions:
    a. Maximum size: 3 inches by 6 inches. For economy a reduced size 
decal may be used on POV's to include those with less than four wheels.
    b. Registration letters and numerals: 1\1/4\ to 1\1/2\ inches in 
height.
    c. DLA emblem letters: 1\1/2\ inches to 1\3/4\ inches in height.
    d. DLA letters: \1/2\ inch to \3/4\ inch in height.
    e. Activity designation scroll and lettering: See appendix B.
    [GRAPHIC] [TIFF OMITTED] TC25OC91.005
    


PART 1290--PREPARING AND PROCESSING MINOR OFFENSES AND VIOLATION NOTICES REFERRED TO U.S. DISTRICT COURTS--Table of Contents




Sec.
1290.1  References. \1\
1290.2  Purpose and scope.
1290.3  Policy.
1290.4  Definitions.
1290.5  Background.
1290.6  Significant changes.
1290.7  Responsibilities.
1290.8  Procedures.
1290.9  Forms and reports.

Appendix A to Part 1290--Preparation Guide for DD Form 1805, Violation 
          Notice
Appendix B to Part 1290--Ticket Sample--A Parking Violation
Appendix C to Part 1290--Ticket Sample--A Moving Violation
Appendix D to Part 1290--Ticket Sample--A Nontraffic Violation

    Authority: Department of Defense Instruction 6055.4; 18 U.S.C. 13, 
3401, and 3402.
---------------------------------------------------------------------------

    \1\ Reference (a) may be purchased from the Commander, U.S. Army AG 
Publications Center, 2800 Eastern Blvd., Baltimore, MD 21220; reference 
(b) from the Defense Logistics Agency (DASC-IP), Cameron Station, 
Alexandria, VA 22314; references (c), (d), and (e) from the 
Superintendent of Documents, Government Printing Office, Washington, DC 
20402.

    Source: 44 FR 55859, Sept. 28, 1979, unless otherwise noted.



Sec. 1290.1  References.

    (a) DLAR 5720.1/AR 190-5/OPNAVINST 11200.5B/AFR 125-14/MCO 5110.1B, 
Motor Vehicle Traffic Supervision.

[[Page 274]]

    (b) DLAR 5710.1, Authority of Military Commanders To Issue Security 
Orders and Regulations for the Protection of Property or Places Under 
Their Command.
    (c) Sections 1, 3401 and 3402, title 18, U.S.C.
    (d) Rules of procedures for the Trial of Minor Offenses before 
United States Magistrates.
    (e) Section 13, title 18, U.S.C., Assimilative Crimes Act.



Sec. 1290.2  Purpose and scope.

    (a) This part 1290 implements DoD Instruction 6055.4, Department of 
Defense Traffic Safety Program, and sets forth basic objectives and 
procedures applicable to implementation of the Federal Magistrate System 
by DLA. This part 1290 is applicable to HQ DLA, Defense Supply Centers 
(DSC's), less Defense Fuel Supply Center and Defense Industrial Supply 
Center, and to Defense Depots, less Defense Depot Mechanicsburg. DLA 
activities/personnel tenant on other DoD activities will abide by the 
requirements of the host.
    (b) This part 1290 provides Heads of DLA primary level field 
activities (PLFAs) with a means of exercising effective control over 
violators who are not otherwise under their jurisdiction.



Sec. 1290.3  Policy.

    (a) It is the policy of HQ DLA that the Heads of DLA PLFAs will take 
such steps as are necessary to prevent offenses. Emphasis will be placed 
on prevention rather than apprehension and prosecution of offenders.
    (b) The procedures outlined in this part 1290 may, at the discretion 
of the Head of the activity concerned, be invoked in lieu of the 
provisions of the Uniform Code of Military Justice (UCMJ) to deal with 
minor offenses of a civil nature, other than violations of state traffic 
laws, committed by military personnel. These procedures may also be 
invoked to deal with nontraffic minor offenses committed by civilian 
personnel.



Sec. 1290.4  Definitions.

    For the purpose of this part 1290 the following definitions apply:

This part 1290 supersedes part 1290 April 26, 1972.

    (a) Law Enforcement Personnel. Persons authorized by the Head of the 
PLFA to direct, regulate, control traffic; to make apprehensions or 
arrests for violations of traffic regulations; or to issue citations or 
tickets. Personnel so designated will include the Command Security 
Officer and all other personnel in 080, 083, 085, or 1800 series 
positions.
    (b) Minor Federal Offenses. Those offenses for which the authorized 
penalty does not exceed imprisonment for a period of 1 year, or a fine 
of not more than $1000, or both (18 U.S.C. 3401f).
    (c) Petty Federal Offenses. Those offenses for which the authorized 
penalty does not exceed imprisonment for a period of 6 months or a fine 
of not more than $500, or both (18 U.S.C. 1(3)).
    Note: A petty offense is a type of minor offense.
    (d) Violation Notice. DD Form 1805, Violation Notice, which will be 
used to refer all petty offenses to the U.S. Magistrate/District Courts 
for disposition.
    Note: A complaint, made under oath on forms provided by the 
magistrate, is the prescribed form for charging minor offenses other 
than petty offenses.



Sec. 1290.5  Background.

    (a) DoD Instruction 6055.4 requires that all traffic violations 
occurring on DoD installations be referred to the appropriate United 
States Magistrate, or State or local system magistrate, in the interest 
of impartial judicial determination and effective law enforcement. 
Exceptions will be made only for those rare violations in which military 
discipline is the paramount consideration, or where the Federal court 
system having jurisdiction has notified the PLFA commander it will not 
accept certain offenses for disposition.
    (b) Generally, the Federal Magistrate System applies state traffic 
laws and appropriate Federal laws to all personnel while on Federal 
property (section 13, title 18 U.S.C., Assimilative Crimes Act).



Sec. 1290.6  Significant changes.

    This revision incorporates the DoD requirement for referral of 
traffic violations occurring on military installations to the Federal or 
local magistrate.

[[Page 275]]



Sec. 1290.7  Responsibilities.

    (a) HQ DLA. (1) The Command Security Officer, DLA (DLA-T) will:
    (i) Exercise staff supervision over the Magistrate system within 
DLA.
    (ii) Provide guidance and assistance to DLA activities concerning 
administrative and procedural aspects of this part 1290.
    (2) The Counsel, DLA (DLA-G) will provide guidance and assistance to 
DLA activities concerning legal aspects of this part 1290.
    (b) The Heads of DLA Primary Level Field Activities will:
    (1) Develop and put into effect the necessary regulatory and 
supervisory procedures to implement this part 1290.
    (2) Ensure implementing directives authorize law enforcement/
security force (080, 083, 085 and 1800 series) personnel to issue DD 
Form 1805.
    (3) Periodically publish in the PLFA Daily or Weekly Bulletin, a 
listing of offenses for which mail-in procedures apply, with the amount 
of the fine for each, and a listing of offenses requiring mandatory 
appearance of the violator before the U.S. Magistrate. The listings will 
indicate that they are not necessarily all inclusive and that they are 
subject to change. A copy of the listings will be provided to the local 
Union representatives.



Sec. 1290.8  Procedures.

    (a) The U.S. Magistrate Court Provides DLA with:
    (1) The means to process and dispose of certain categories of minor 
offenses by mail. Under this system, U.S. Magistrate and District Courts 
will, by local court rule, preset fines for the bulk of petty violations 
(Federal or Assimilated) and permit persons charged with such 
violations, who do not contest the charge nor wish to have a court 
hearing, to pay their fines by using mail-in, preaddressed, postage paid 
envelopes furnished to them with the violation notice.
    (2) Efficient, minimal commitment of judicial and clerical time by 
using uniform procedures which centralize the collection of fines, the 
scheduling of mandatory hearings or hearings where violators request 
them, and the keeping of violator records.
    (3) A simple but sure method of accounting for fines collected and 
tickets issued.
    (4) Impartial enforcement of minor offense laws.
    (b) Court Appearances--(1) Mandatory Appearances. (i) As required by 
the Administrative Office of the United States Courts, each District 
Court will determine, by local court rule, those offenses requiring 
mandatory appearance of violators. PLFA Counsels will coordinate with 
local magistrates or district courts and secure a court approved list of 
offenses requiring mandatory appearance of violators before the local 
U.S. Magistrate.
    (ii) Mandatory appearance offense categories normally include:
    (A) Indictable offenses.
    (B) Offenses resulting in accidents.
    (C) Operation of motor vehicle while under the influence of 
intoxicating alcohol or a narcotic or habit producing or other mind 
altering drug, or permitting another person who is under the influence 
of intoxicating alcohol, or a narcotic or habit producing or mind 
altering drug to operate a motor vehicle owned by the defendant or in 
his/her custody or control.
    (D) Reckless driving or speeding.
    (2) Voluntary Appearances--(i) Requested by violators at the time DD 
Form 1805 is issued. (A) Personnel issuing DD Form 1805 will refer 
violator for hearings before U.S. Magistrates in each instance where a 
hearing is requested by the violator.
    (B) Command security officers will provide security force personnel 
with necessary information to facilitate scheduling violators to appear 
before U.S. Magistrates. Box B of the DD Form 1805 will be marked by the 
issuing official for each violator requesting a hearing. Additionally 
procedures set forth in appendix A will be accomplished by the official 
issuing violation notice.
    (ii) Requested by violators by mail. (A) Voluntary appearance 
procedures are also available for violators who are not present at the 
time a DD Form 1805 is issued (i.e., parking violations) or who 
subsequently decide to voluntarily appear before a U.S. Magistrate 
rather than pay the fine indicated in the DD Form 1805.

[[Page 276]]

    (B) Violators who use the mail-in procedure to voluntarily appear 
before a U.S. Magistrate must follow the instructions in Box B of the DD 
Form 1805 (violator copy). The violator will be notified by the clerk of 
the District Court of the time and place to appear for the scheduled 
hearing.



Sec. 1290.9  Forms and reports.

    (a) General information on preparation and issue of DD Form 1805. 
(1) The U.S. Magistrate system is based on use of a four-ply ticket 
designed to provide legal notice to violators and records required by 
the court, law enforcement authorities, and, if appropriate, the state 
motor vehicle departments. The DD Form 1805 is printed on chemically 
carbonized paper and prenumbered in series for accounting control. Heads 
of DLA primary level field activities are responsible for maintaining 
accountability for each ticket issued and stocks on hand.
    (2) DLA field activity Counsels will coordinate with the U.S. 
Magistrate of the judicial district in which the activity is located and 
maintain the information listed below:
    (i) List of petty offenses for which mail-in procedure is authorized 
and the amount of the fine for each specific offense. The District Court 
address will be prestamped on the violator's copy of the DD Form 1805 by 
the applicable issuing authority.
    (ii) List of minor offenses requiring mandatory appearance of the 
violator before the magistrate. The name and location of the magistrate 
before whom violators will appear. Schedule will be coordinated with 
nearest Military Service activity and appearance will be conducted 
jointly whenever possible.
    (b) Issue procedures for DD Form 1805. (1) Information entered on 
the DD Form 1805 is dependent upon two considerations:
    (i) The type of violation, i.e., parking, (such as blocking a fire 
lane) moving traffic violation, or nontraffic offenses.
    (ii) Whether the offense cited requires the mandatory appearance of 
the violator before a U.S. Magistrate.
    (2) Preparation and disposition of DD Form 1805:
    (i) See illustration in appendix B for petty offenses where the 
mail-in fine procedures are authorized.
    (A) The amount of the fine for a specific offense must be recorded 
in the lower right corner of the DD Form 1805. This amount will always 
be predetermined by the U.S. Magistrate and provided to on duty 
enforcement personnel by the activity security officer or equivalent 
authority. When violation notices are issued for an offense (e.g., 
parking violation) and the offender is absent, all entries concerning 
the violator will be left blank.
    (B) Disposition of DD Form 1805 will be as follows:
    (1) The fourth copy (envelope) will be issued to the violator or 
placed on the vehicle of the violator.
    (2) Copies one (white copy), two (yellow copy), and three (pink 
copy) will be returned to the Security Officer's office. The Security 
Officer will forward copies one and two, by letter of transmittal, to 
the appropriate U.S. District Court.
    (3) Copy three will be filed at the Security Office or equivalent 
issuing authority. DLA Form 1454, Vehicle Registration/Driver Record, 
will be annotated with each traffic offense.
    (ii) When DD Form 1805 is used to cite personnel for mail-in type 
violations, the appropriate supervisor will be provided an information 
copy of DLA Form 635, Security/Criminal Incident Report, denoting the 
date, time, place, and type of violation, and the amount of fine 
assessed.
    (iii) Heads of DLA primary level field activities or their 
representative will not accept or otherwise collect any fines or keep 
records of fines paid or not paid. They also will take no action 
concerning nonpayment delinquencies except where warrants are 
subsequently issued for the violator concerned by the appropriate court 
authorities.
    (iv) See illustrations in appendices C and D for minor offenses 
requiring the mandatory appearance of violators before the U.S. 
Magistrate:
    (A) Mail-in fine procedures will not apply in mandatory appearance 
cases. The law enforcement authority issuing

[[Page 277]]

a violation notice for an offense requiring mandatory appearance of the 
violator, will place a check mark in ``Box A'', DD Form 1805. The name 
and location of the U.S. Magistrate before whom the violator must appear 
will be inserted on the line below ``United States District Court'' as 
shown in appendix C. The date and time of the initial appearance will be 
entered in the space provided in ``Box A''. It is the violator's 
responsibility to verify the date, time, and place of required court 
appearances.
    (B) Disposition of DD Form 1805 will be as follows:
    (1) The fourth copy (envelope) will be issued to the violator.
    (2) Copies one (white copy), two (yellow copy), and three (pink 
copy) will be returned to the Security Officer's office. The Security 
Officer will forward copies one and two, by transmittal as soon as 
possible, to the magistrate before whom the violator is scheduled to 
appear.
    (3) Copy three will be filed in the office of the Security Officer 
or equivalent issuing authority.
    (C) When DD Form 1805 is used to cite personnel for mandatory 
appearance type offenses, the individual's supervisor will be provided 
an information copy of DLA Form 635, denoting the date, time, place, and 
type of violation, and the date the violator is scheduled to appear 
before the U.S. Magistrate.
    (v) Additional information governing preparation of DD Form 1805 is 
provided as appendix A.

 Appendix A to Part 1290--Preparation Guide for DD Form 1805, Violation 
                                 Notice

    All violations will require:
    Last four digits of the Social Security Number of the Issuing guard/
police officer (placed in space marked ``Officer No.''). Date of notice 
(is also violation date unless otherwise shown) and time. Description of 
violation, including place noted. Violation code number and issuing 
location code number (as determined by local Magistrate/District Court). 
Examples are shown at appendices B, C, and D.

                       In addition to above items

    Parking offenses require: Vehicle description (make, color, body 
type), licensing state, auto license number; and, if violator is 
present: Driver permit number, driver address, driver's name (all of 
above items and); moving traffic offenses require: Birth date and sex, 
race (if it appears on driver's permit), height and weight.
    Nontraffic offenses require: Statute violated, person's name, 
person's address, birth date, and sex; and, if applicable: Race, height, 
and weight.
    All mailable disposition offenses--amount of fine (collateral).
    All mandatory court offenses--Above data, as appropriate, and the 
place of court (i.e., Magistrate Court Address), the date and time of 
appearance (if known by officer), and check mark in Box ``A''.

[[Page 278]]

       Appendix B to Part 1290--Ticket Sample--A Parking Violation
      [GRAPHIC] [TIFF OMITTED] TC25OC91.006
      

[[Page 279]]


       Appendix C to Part 1290--Ticket Sample--A Moving Violation
      [GRAPHIC] [TIFF OMITTED] TC25OC91.007
      

[[Page 280]]


          Appendix D to Part 1290--Ticket Sample--A Nontraffic 
                               Violation
    [GRAPHIC] [TIFF OMITTED] TC25OC91.008
    

[[Page 281]]





PART 1292--SECURITY OF DLA ACTIVITIES AND RESOURCES--Table of Contents




Sec.
1292.1  Purpose and scope.
1292.2  Policy.
1292.3  Background.
1292.4  Responsibilities.
1292.5  Procedures.

Appendix A to Part 1292--Section 21 of the Internal Security Act of 1950

    Authority: DoD Directive 5200.8 and in accordance with Sec. 21 of 
the Internal Security Act of 1950, 50 U.S.C. 797.

    Source: 46 FR 13216, Feb. 20, 1981, unless otherwise noted.



Sec. 1292.1  Purpose and scope.

    ``To establish policy, assign responsibilities, and prescribe 
procedures for the issuance of security regulations and orders by Heads 
of DLA activities. This part 1292 implements DoD Directive 5200.8, 
Security of Military Installations and Resources, and is applicable to 
HQ DLA, DLA field activities and property/places subject to the 
jurisdiction or administration of the Defense Logistics Agency.



Sec. 1292.2  Policy.

    (a) Military Heads of DLA field activities are authorized to issue 
or approve necessary security regulations and orders for the protection 
of property and places under their jurisdiction/administration. 
Regulations and orders for the protection of property and personnel of 
subordinate activities headed by civilians shall be promulgated by the 
military commander in the chain of command immediately above such 
subordinate activity.
    (b) Regulations and orders for the protection of property and 
personnel of primary level field activities (PLFAs) headed by civilians, 
and subordinate activities of such PLFAs which likewise are headed by 
civilians, shall be promulgated by the Director, DLA/Deputy Director/
Deputy Director, CAS.
    (c) Heads of DLA field activities that are tenants on a military 
reservation, post, camp, station, installation, base, or Government-
owned or leased facility administered by another command or agency are 
responsible for protection of property and places under their command 
and may issue security regulations and orders in fulfillment of their 
responsibility to protect property and places under their jurisdiction 
and administration. However, separate security regulations and orders 
should not be issued when the host has issued security regulations and 
orders that afford protection to the DLA activity.
    (d) Detailed physical security and emergency plans developed in 
conjunction with these security regulations and orders will be as 
prescribed by DLAM 5710.1, Physical Security Manual, and DLA War and 
Emergency Support Plan (WESP), part II, Annex A.



Sec. 1292.3  Background.

    Section 21 of the Internal Security Act of 1950 (appendix A) 
authorizes the Secretary of Defense to designate military commanders to 
promulgate or approve regulations and orders for the protection of 
property and places under their command. DoD Directive 5200.8 designates 
military commanders of Army, Navy, Air Force, and Defense Agency 
activities as having authority to promulgate regulations and orders 
pursuant to the Internal Security Act of 1950.



Sec. 1292.4  Responsibilities.

    (a) HQ DLA. (1) The Director, DLA/Deputy Director/Deputy Director, 
CAS will issue necessary security regulations and orders for PLFAs 
headed by civilians.
    (2) The Command Security Officer, DLA (DLA-T) will:
    (i) Provide technical staff guidance on the issuance of security 
regulations and orders.
    (ii) Keep the Director, DLA informed of violations of regulations/
orders as reported.
    (b) Field Activities. (1) The Heads of Primary Level Field 
Activities will:
    (i) Publish a physical security plan which provides proper and 
economical use of personnel and equipment to prevent or minimize loss or 
damage from theft, espionage, sabotage, and other criminal or disruptive 
activities.
    (ii) Report violations of security regulations and orders to HQ DLA, 
ATTN: DLA-T, in accordance with DLAR 5705.1, Reporting of Security and 
Criminal Violations.

[[Page 282]]

    (2) The Military Heads of DLA field activities will issue security 
regulations and orders as necessary for the protection of places and 
property under their jurisdiction pursuant to the provisions of this 
part 1292 and other pertinent directives.



Sec. 1292.5  Procedures.

    (a) Security regulations and orders will be promulgated by any of 
the following means:
    (1) Written directives of the activity Head.
    (2) Signs and similar media.
    (3) Orally, when required by a contingency/emergency.
    (b) Written directives and orders will contain so much of the 
following statement as is pertinent:

    This order (directive, bulletin, etc.) is issued pursuant to section 
21, Internal Security Act of 1950, 50 U.S.C. 797, DoD Directive 5200.8, 
DLAR 5710.1, (directive issued by the Head of a DLA field activity 
subordinate to HQ DLA).

    (c) Signs used as the sole vehicle for issuing a security regulation 
or order must contain a recitation of the authority under which issued 
and the title of the authorized official who issued the regulation or 
order. DLAM 5710.1, chapter 3, contains instructions on the exact 
wording of such signs.
    (d) Oral orders will include a statement which clearly indicates the 
authority for issuance similar to the provisions of paragraph (b) of 
this section.
    (e) Written security orders and regulations will be posted in 
conspicuous and appropriate places to ensure widest dissemination. The 
posting of a general security regulation/order, or a listing of 
applicable directives, will suffice provided it cites the authority to 
issue such directive. The posting of voluminous, individual security 
regulations and orders will be avoided.

Appendix A to Part 1292--Section 21 of the Internal Security Act of 1950

797. Security regulations and orders; penalty for violation
    (a) Whoever willfully shall violate any such regulation or order as, 
pursuant to lawful authority, shall be or has been promulgated or 
approved by the Secretary of Defense, or by any military commander 
designated by the Secretary of Defense, or by the Director of the 
National Advisory Committee for Aeronautics, for the protection or 
security of military or naval aircraft, airports, airport facilities, 
vessels, harbors, ports, piers, waterfront facilities, bases, forts, 
posts, laboratories, stations, vehicles, equipment, explosives, or other 
property or places subject to the jurisdiction, administration, or in 
the custody of the Department of Defense, any Department or agency of 
which said Department consists, or any officer or employeee of said 
Department or agency, or of the National Advisory Committee for 
Aeronautics or any officer or employee thereof, relating to fire 
hazards, fire protection, lighting, machinery, guard service, disrepair, 
disuse or other unsatisfactory conditions thereon, or the ingress 
thereto or egress or removal of persons therefrom, or otherwise 
providing for safeguarding the same against destruction, loss, or injury 
by accident or by enemy action, sabotage or other subversive actions, 
shall be guilty of a misdemeanor and upon conviction thereof shall be 
liable to a fine of not to exceed $5,000 or to imprisonment for not more 
than one year or both.
    (b) Every such regulation or order shall be posted in conspicuous 
and appropriate places. Sept. 23, 1950, c. 1024, Title I, Par. 21, 64 
Stat. 1005.



PART 1293--STANDARDS OF CONDUCT--Table of Contents




1293.1  Reference.
1293.2  Purpose and scope.
1293.3  Policy.
1293.4  Definitions.
1293.5  Significant changes.
1293.6  Responsibilities.
1293.7  Procedures.

Appendix A to Part 1293--Laws Affecting DLA Personnel
Appendix B to Part 1293--Code of Ethics for Government Service--Pub. L. 
          96-303
Appendix C to Part 1293--Additional Guidance on Gratuities, 
          Reimbursements, and Other Benefits from Outside Sources
Appendix D to Part 1293--Executive Personnel Financial Disclosure Report 
          (SF 278)
Appendix E to Part 1293--Requirements for Submission of DD Form 1555, 
          Statement of Affiliations and Financial Interests
Appendix F to Part 1293--Reporting Procedures for DoD and Defense 
          Related Employment
Appendix G to Part 1293--Administrative Enforcement Provisions

    Authority: E.O. 12222, 30 FR 6469; 18 U.S.C. 201-209.

[[Page 283]]


    Source: 53 FR 45462, Nov. 10, 1988, unless otherwise noted.



Sec. 1293.1  References.

    (a) DLAR 1005.1, Decorations and Gifts from Foreign Governments.
    (b) DLAR 1430.12, Civilian Employee Development and Training.
    (c) DLAR 5035.1, Fund-Raising Within the Defense Logistics Agency.
    (d) DLAR 5400.13, Clearance of Information for Public Release.
    (e) DLAR 5500.4, Policies Governing Participation of DLA and Its 
Personnel in Activities of Private Associations.



Sec. 1293.2  Purpose and scope.

    (a) Part 1293 prescribes standards of conduct required of all DLA 
personnel, military and civilian, regardless of grade or assignment. It 
also establishes criteria and procedures for reports required of certain 
individuals who have left Federal service and of former employees of 
defense contractors presently employed by DLA.
    (b) Close adherence to the standards of conduct will ensure 
compliance with the high ethical standards demanded of all public 
employees. Violations of the standards prescribed in this regulation, or 
by Federal laws, including the laws described in enclosure 1, may result 
in criminal and/or administrative sanctions. Accordingly, all DLA 
personnel should become familiar with these standards.
    (c) The reporting procedures for defense related employment are 
applicable to former military officers and civilian employees of DLA and 
to former employees of defense contractors presently employed by DLA.
    (d) All retired regular officers are also required to file a 
statement of employment with the Military Department in which they hold 
a retired status.
    (e) This DLAR is applicable to HQ DLA and all DLA field activities 
and implements DoD Directive 5500.7, Standards of Conduct.



Sec. 1293.3  Policy.

    (a) General requirements. (1) Government employment is a public 
trust which requires that loyalty to country, ethical principles, and 
the law be placed above private gain and other interests. All DLA 
personnel must conduct themselves, both on and off the job, in such a 
manner as to avoid the existence or appearance of a conflict of interest 
between their official responsibilities and their personal affairs.
    (2) DLA personnel shall become familiar with the scope of, authority 
for, and limitations on the activities for which they are responsible. 
DLA personnel also shall acquire a general knowledge of the statutory 
standards of conduct prohibitions and restrictions. The most commonly 
encountered of these provisions are summarized in appendix A, and are 
laws dealing generally with conflicts of interest and postemployment 
activities.
    (3) If DLA personnel are unsure whether a proposed action or 
decision is proper because it may be contrary to law or regulation, they 
shall consult the Designated Agency Ethics Official, or Deputy Ethics 
Official, for guidance. The individuals are identified in Sec. 1293.4.
    (4) DLA personnel shall not take or recommend any action or make or 
recommend any expenditure of funds known or believed to be in violation 
of Federal laws, Executive Orders, or applicable directives, 
instructions, or regulations.
    (5) Practices that may be accepted in the private business world may 
not be acceptable for DLA personnel. As public employees, all DLA 
personnel are accountable for the manner in which they perform their 
official responsibilities.
    (6) DLA personnel shall strictly adhere to the DLA program of equal 
opportunity regardless of race, color, religion, sex, age, national 
origin, or handicap.
    (7) DLA personnel shall avoid any action, whether or not 
specifically prohibited by part 1293, which might result in or 
reasonably be expected to create the appearance of:
    (i) Using public office for private gain.
    (ii) Giving preferential treatment to any person or entity.
    (iii) Impeding Government efficiency or economy.
    (iv) Losing complete independence or impartiality.

[[Page 284]]

    (v) Making a Government decision outside official channels.
    (vi) Affecting adversely the confidence of the public in the 
integrity of the Government.
    (b) Information to personnel. (1) All new civilian employees and 
military personnel newly assigned to DLA will be provided a copy of part 
1293 upon their entrance to duty.
    (2) DLA personnel shall be reminded at least semiannually of their 
duty to comply with the required standards of conduct. Appropriate means 
of accomplishing these reminders include notices, circulation of part 
1293 to employees, briefings, or any other means which serve to remind 
employees of their ethical responsibilities.
    (3) Copies of the Code of Ethics for Government Service (appendix B) 
shall be displayed in appropriate areas of DLA occupied buildings in 
which 20 or more persons are regularly employed. (Code of Ethics posters 
are self-service supply items and may be obtained under NSN 7690-01-099-
8167.)
    (4) All DLA employees (military and civilian) who leave Federal 
service shall be informed of the restrictions on the postemployment 
activities of former Federal employees.
    (c) Conflicts of interest--(1) Affiliations and Outside 
Associations. (i) DLA personnel shall not engage in any personal, 
business, or professional activity which conflicts with the interests of 
the Government they serve through the duties and responsibilities of 
their DLA positions. This prohibition applies to all DLA employees, 
regardless of whether they are required to file a financial disclosure 
report. In the event a conflict, or potential conflict of interest 
arises, it shall be promptly reported and resolved in accordance with 
Sec. 1293.7(b).
    (ii) Membership or activity of DLA personnel in non-Governmental 
associations or organizations must not be incompatible with their 
official Government positions (see DLAR 5500.4).\1\
---------------------------------------------------------------------------

    \1\ Copies may be obtained, if needed, from Defense Logistics 
Agency, ATTN: DLA-XPD, Cameron Station, Alexandria, VA 22304-6100.
---------------------------------------------------------------------------

    (iii) DLA personnel shall not knowingly deal, on behalf of the 
Government, with present or former Government personnel, military or 
civilian, whose participation in the transaction would be in violation 
of a statute, regulation, or policy set forth in part 1293.
    (2) Financial interests. DLA personnel shall not receive or retain 
any direct or indirect financial interest which conflicts with the 
interests of the Government they serve through the duties and 
responsibilities of their DLA positions. Matters concerning outside 
employment by DLA personnel are discussed in paragraph (i) of this 
section. For the purpose of this prohibition, the financial interests of 
a spouse, minor child, or any household member are treated as the 
financial interests of the DLA employee. Thus, not only stocks and other 
similar holdings, but also the wages, salaries, dividends, or any other 
income of a spouse, minor child, or household member are considered 
financial interests of the DLA employee. Particular care must be given 
in situations involving former DoD contractor employees as they may be 
entitled to benefits from their former employer (such as pensions, 
company discounts or concessions, etc.) which could create a criminal 
conflict of interest situation under 18 U.S.C. 208 if DLA assigns the 
employee duties and responsibilities involving the former employer. (For 
reporting requirements unique to former DoD contractor employees see 
Sec. 1293.7(e). These prohibitions apply to all DLA employees, 
regardless of whether they are required to file a financial disclosure 
report. In the event a conflict or potential conflict of interest 
arises, it shall be promptly reported and resolved in accordance with 
Sec. 1293.7(b).
    (3) Avoiding Actual or the Appearance of Conflicts of Interest. 
Direct or indirect financial interests in a defense related contractor, 
in any amount and in any form (stocks, bonds, options, employment of 
spouse, minor child, or any other household member) may be a prohibited 
conflict or appearance of a conflict of interest. Outside employment or 
other outside activity, with or without compensation, regarding possible 
future employment may also create a conflict or the appearance of a 
conflict of interest. Discussions with a defense contractor regarding 
possible

[[Page 285]]

future employment may require reporting and disqualification under the 
procedures set forth in paragraph (k) of this section. In these 
situations, DLA personnel are encouraged to seek advice from the 
Designated Agency Ethics Official or Deputy Ethics Official to protect 
not only themselves, but also be avoid embarrassment to DLA.
    (4) Assignment of Reserves for training. DLA personnel who assign 
Reserves for training shall not assign them to duties in which they will 
obtain information that could be used by them or their private sector 
employers to gain unfair advantage over civilian competitors. Prior to 
entering active duty, reservists must disclose to superiors or 
assignment personnel, sufficient information to ensure that no conflict 
exists between their duty assignments and their private interests.
    (d) Use of DLA Position, Property, Resources, and Information--(1) 
Using DLA position. DLA personnel are prohibited from using their DLA 
position to induce, coerce, or in any manner influence any person to 
provide any benefit, financial or otherwise, to themselves or others.
    (2) Use of Civilian and Military Titles or Positions in Connection 
with Commercial Enterprises. (i) All DLA personnel are prohibited from 
using their official titles or positions in connection with the 
promotion of any commercial enterprise or endorsement of any commercial 
product. This does not preclude author identification for materials 
published in accordance with DLAR 5400.13.\2\
---------------------------------------------------------------------------

    \2\ See footnote 1, to Sec. 1293.3(c)(1)(ii).
---------------------------------------------------------------------------

    (ii) Retired military personnel, and members of Reserve components 
not on active duty, may use their military titles in connection with 
commercial enterprises provided that they indicate their Retired or 
Reserve status. However, if the use of military titles in any way casts 
discredit on the Military Departments or DoD, or gives the appearance of 
sponsorship, sanction, endorsement, or approval by a Military Department 
or DoD, it is prohibited. In addition, a Military Department may further 
restrict the use of titles, including use by retired military personnel 
and members of reserve components not on active duty, in overseas areas.
    (3) Use of Government property and resources. (i) DLA personnel have 
a positive duty to protect and conserve Government property and 
resources and assure that they are used only for official Government 
business. DLA personnel shall not directly or indirectly use, take, 
dispose of, or allow the use, taking, or disposing of, Government 
property including property leased to the Government, for other than 
official purposes. Government facilities, property, and resources (such 
as telephones, stationery, stenographic and typing assistance, 
duplicating and computer equipment) shall be used only for official 
Government business.
    (ii) These provisions do not preclude the use of Government 
facilities for approved activities in furtherance of DLA community 
relations, provided they do not interfere with military missions or 
Government business. Government equipment and clerical support may be 
authorized for the preparation of papers to be presented to professional 
associations if appropriate to the mission of the office and approved, 
in advance, by the Head of the HQ PSE or PLFA.
    (iii) All DLA personnel are responsible for using office 
telecommunication services (telephone, message, data, video, facsimile 
services, etc.) for official use only. The term official use means 
service directly in support of Government business or as otherwise 
approved by the Head of the PSE or PLFA, or their designee, as being in 
the best interest of the Government.
    (A) DLA office telecommunications services are resources provided to 
conduct business directly in support of the Government.
    (B) DLA shall pay only for the official uses of DLA 
telecommunications services.
    (C) Where available and practicable, steps shall be taken to ensure 
user accountability (i.e., call verification, call restriction, other 
telecommunications service features).
    (D) Employees who make unofficial use of DLA office 
telecommunications services are subject to appropriate disciplinary 
action.
    (4) Using inside information. DLA personnel shall not directly or 
indirectly

[[Page 286]]

use information obtained as a result of their DLA position to further a 
private gain for themselves or others if that information is not 
generally available to the public. This prohibition continues even after 
a DLA employee leaves Federal service.
    (5) Release of acquisition information. All releases of acquisition 
information shall be in accordance with authorized procedures. DLA 
personnel are prohibited from making an unauthorized disclosure of any 
information concerning proposed acquisitions or purchases by DLA, or the 
identity of any contractor, unless the contractor's identity has been 
made public under established procedures.
    (6) Unauthorized statements or commitments with respect to award of 
contracts. Only contracting officers and their duly authorized 
representatives acting within their authority are authorized to commit 
the Government to the award of contracts. Unauthorized DLA personnel are 
prohibited from making any commitment or promise relating to the award 
of a contract or from making any representation that reasonably can be 
construed as such a commitment.
    (e) Commercial and charitable solicitations--(1) Commercial 
Soliciting by DLA Personnel. To eliminate the appearance of coercion, 
intimidation, or pressure from rank, grade, or position, full-time DLA 
personnel are prohibited from making personal commercial solicitations 
or sales to DLA personnel (including their family members) who are 
junior in rank or grade, or who are under any level of supervision by 
them, at any time, on or off duty.
    (i) This prohibition includes, but is not limited to, the 
solicitation and sale of insurance, stocks, mutual funds, real estate, 
and any other commodities, goods, or services.
    (ii) This prohibition does not include the sale or lease by 
individuals of their own personal property or privately-owned residence 
or to the off-duty employment of DLA personnel as employees in retail 
stores or other situations not involving solicited sales.
    (2) Charitable solicitations by DLA personnel. The high visibility 
of DLA officials generates requests from charitable and nonprofit 
organizations to use an official's name and title in conjunction with 
fund-raising activities. The use of names and titles of DLA officials, 
even regarding fund-raising activities of charitable organizations, may 
give an improper impression that the Department of Defense or Defense 
Logistics Agency endorses the activities of a particular organization, 
thereby resulting in unauthorized assistance for the organization or 
sponsors of the activities. The presence of DLA officials may be sought, 
under the guise of bestowing awards upon the official, to promote 
attendance at programs. DLA officials shall not allow the use of their 
names or titles in connection with charitable or nonprofit 
organizations, subject to the following:
    (i) DLA personnel may assist only those charitable programs 
administered by the Office of Personnel Management under its delegation 
from the President and those other programs authorized by DLAR 5035.1.
    (ii) This prohibition does not preclude speeches before such 
organizations by DLA officials if the speech is designed to express an 
official position in a public forum.
    (iii) This prohibition does not preclude volunteer efforts on behalf 
of charitable or nonprofit organizations by individuals who do not use 
their official titles in relation to solicitations and who do not 
solicit from individuals or entities with whom they do business in their 
official capacity.
    (f) Other prohibitions--(1) Gambling, betting, and lotteries. While 
on Government-owned, leased, or controlled property, or otherwise while 
on duty for the Government, DLA personnel shall not participate in any 
gambling activity, including a lottery or pool, a game for money or 
property, and the sale or purchase of a number slip or ticket. The only 
exceptions are:
    (i) Where authorized by law, such as vending stands licensed in 
accordance with 20 U.S.C. 107a(a)(5) to sell chances for any lottery 
authorized by state law and conducted by an agency of a state.
    (ii) Activities which have been specifically approved by the 
Director, DLA.
    (2) Indebtedness. DLA personnel shall pay their just financial 
obligations in a

[[Page 287]]

timely manner, particularly those imposed by law, such as Federal, 
state, and local taxes. DLA activities are not required to determine the 
validity or amount of disputed debts.
    (g) Gratuities, reimbursements, and other benefits from outside 
sources--(1) Policy. No matter how innocently tendered and received, the 
acceptance of gratuities, reimbursements, or other benefits by DLA 
personnel (including their spouse, minor child, or any household member) 
from those who have or seek business with the Department of Defense or 
from those whose business interests are affected by Department of 
Defense functions, may be a source of embarrassment to the Department of 
Defense, may affect the objective judgment of the DLA personnel 
involved, and may impair public confidence in the integrity of the 
Government.
    (2) Bribery and graft. DLA personnel may be subject to criminal 
penalties if they solicit, accept, or agree to accept anything of value 
in return for performing or refraining from performing an official act.
    (3) General prohibition. Except in the limited circumstances set 
forth in appendix C, DLA personnel (including their spouse, minor child, 
or any household member) shall not solicit, accept, or agree to accept 
any gratuity, reimbursement, or other benefit for themselves, or others, 
either directly or indirectly from or on behalf of any source that:
    (i) Is engaged in or seeks business or financial relations of any 
sort with any DoD Component.
    (ii) Conducts operations or activities that are either regulated by 
a DoD Component or substantially affected by DoD decisions.
    (iii) Has interests that may be substantially affected by the 
performance or nonperformance of the official duties of DLA personnel.
    (iv) Is a foreign government or representative of a foreign 
government that is engaged in selling to the DoD, where the gratuity is 
tendered in the context of the foreign government's commercial 
activities. (See also paragraph (h)(1) of this section.)
    (4) Employees who receive gratuities which may not be accepted under 
the limited circumstances set forth in appendix C shall promptly report 
the matter to the Designated Agency Ethics Official or Deputy Ethics 
Official.
    (h) Gifts and donations. (1) Procedures with respect to gifts from 
foreign governments are set forth in DLAR 1005.1.\3\
---------------------------------------------------------------------------

    \3\ See footnote 1, to Sec. 1293.3(c)(1)(ii).
---------------------------------------------------------------------------

    (2) Prohibition of Contributions or Presents to Superiors. DLA 
personnel shall not solicit a contribution from other DLA personnel for 
a gift to a superior, make a donation as a gift to a superior, give a 
gift to a superior, or accept a gift from other DLA personnel 
subordinate to themselves. This prohibition also applies to gifts, 
contributions, or donations to immediate family members of a superior. 
However, this paragraph does not prohibit voluntary gifts of reasonable 
value or contributions of nominal amounts (or the acceptance thereof) on 
special occasions such as marriage, illness, transfer, or retirement, 
provided that any gifts acquired with such contributions will be 
reasonable in value in view of the occasion.
    (i) Outside employment of DLA personnel. (1) DLA personnel shall not 
engage in outside employment or other outside activity, with or without 
compensation, that:
    (i) Interferes with, or is not compatible with, the performance of 
their Government duties.
    (ii) May reasonably be expected to bring discredit on the 
Government.
    (iii) Is otherwise inconsistent with the requirements of part 1293, 
including the requirements to avoid actions and situations which 
reasonably can be expected to create the appearance of conflicts of 
interests.
    (2) Enlisted military personnel on active duty may not be ordered or 
authorized to leave their post to engage in a civilian pursuit, 
business, or professional activity if it interferes with the customary 
or regular employment of local civilians in their art, trade, or 
profession.
    (3) Off-duty employment of military personnel by an entity involved 
in a strike is permissible if the person was on the payroll of the 
entity prior to the commencement of the strike, and if the

[[Page 288]]

employment is otherwise in conformance with the provisions of part 1293. 
After a strike begins and while it continues, no military personnel may 
accept employment by that involved entity at the strike location.
    (4) DLA personnel are encouraged to engage in teaching, lecturing, 
and writing. However:
    (i) DLA personnel shall not, either for or without compensation, 
engage in activities that are dependent on information obtained as a 
result of their Government employment, except when: The information has 
been published or is generally available to the public; or it will be 
made generally available to the public, and the Director, DLA gives 
written authorization for the use of nonpublic information on the basis 
that the use is in the public interest.
    (ii) Employment by a DoD contractor is prohibited unless the 
circumstances are presented to and approval is obtained from the 
Designated Agency Ethics Official or Deputy Ethics Official stating that 
such employment does not constitute either a conflict or the appearance 
of a conflict of interest between the employee's duties and the outside 
employment.
    (j) Honoraria. DLA personnel may not accept honoraria for official 
activities, nor may they suggest charitable contributions in place of 
honoraria. Even when acting in a personal, rather than official, 
capacity:
    (1) DLA personnel are prohibited from accepting an honorarium of 
more than $2,000 (excluding travel and subsistence expenses, agent's 
fees or commissions) for any appearance, speech, or article;
    (2) The acceptance of honoraria from groups doing, or seeking to do 
business with DLA, presents the potential for a conflict of interest or 
the appearance of a conflict. Before accepting any honorarium, DLA 
personnel shall consult the Designated Agency Ethics Official, or Deputy 
Ethics Official.
    (k) Pursuit of outside employment. (1) When a military officer 
assigned to DLA or a civilian DLA employee leaves Federal service and 
begins working for a business with which the officer or employee 
conducted official business, or one which might have been affected by 
the officer or employee's performance of official duties, the public may 
perceive that the public's interest has been compromised. There is the 
concern that the former officer or employee may have been more 
interested in future employment than the diligent performance of 
official duties and protecting the Government's interests. Officers and 
employees must be sensitive to this public perception when considering 
future employment opportunities and avoid any action which would cause 
loss of public confidence in their performance of official duties.
    (2) DLA personnel shall not perform any official duties, or 
otherwise participate in any official matter dealing with any 
organization with which the DLA employee is pursuing employment, has any 
arrangement concerning future employment, or has a financial interest. 
Pursuing employment is not limited to firm offers of employment; it 
includes any action which could reasonably be construed as an indication 
of interest in future employment, including sending letters or resumes, 
telephone discussions, or the consideration of unsolicited proposals 
from a business entity regarding possible future employment.
    (3) All DLA personnel who have contact (regardless of who initiated 
the contact) regarding possible future employment, or have any 
arrangement concerning future employment with any organization that may 
be affected by the performance of their official duties shall 
immediately report the contact to the Designated Agency Ethics Official 
or Deputy Ethics Official. So long as the decision on future employment 
with the organization remains open, DLA personnel must disqualify 
themselves from participating in any manner in any official action 
involving that organization. Thus, if a DLA employee mails resumes to 
multiple organizations, that may be affected by the performance of 
official duties, the DLA employee must report the sending of resumes, 
disqualify himself/herself from participating in matters involving those 
organizations until either the organization or the employee specifically 
terminates the employment possibilities. Disqualification procedures are 
set forth in Sec. 1293.7(c).

[[Page 289]]

    (l) Restrictions on the activities of former officers and employees. 
Laws and regulations impose restrictions on the activities of 
individuals who have ceased Federal employment. Violation of some of the 
laws and regulations may result in criminal prosecution. It is the 
obligation of each military officer assigned to DLA and each civilian 
employee, upon ending Federal service, to review the post employment 
restrictions in making decisions regarding their post employment 
activities. Appendix A contains a summary of the laws and regulations 
which deal with the conduct of DLA officers and employees and the 
restrictions on the activities of former officers and employees.



Sec. 1293.4  Definitions.

    (a) Alternate Agency Ethics Official. An attorney in the DLA Office 
of General Counsel who shall serve in the absence of the Designated 
Agency Ethics Official. The attorney shall be appointed by the General 
Counsel, DLA.
    (b) Defense contractor. Any individual, firm, corporation, 
partnership, association, or other legal entity that enters into a 
contract directly with the Department of Defense to furnish services, 
supplies, or both, including construction, to the Department of Defense. 
Subcontractors are excluded, as are subsidiaries unless they are 
separate legal entities that contract directly with the Department of 
Defense in their own names. Foreign governments or representatives of 
foreign governments that are engaged in selling to the Department of 
Defense are defense contractors when acting in that context.
    (c) DLA personnel. All civilian officers and employees of DLA, 
including special Government employees, and all active duty military 
officers (commissioned and warrant) and enlisted members of the Army, 
Navy, Air Force, and Marine Corps, assigned to DLA.
    (d) Deputy ethics officials. The Counsel of each DLA PLFA and the 
DLA Counsel, Europe are designated as Deputy Ethics Officials.
    (e) Designated Agency Ethics Official (DAEO). The General Counsel, 
DLA is appointed the DLA Designated Agency Ethics Official (DAEO).
    (f) Financial interest. Any wages, salaries, interest, dividends, or 
any other form of income or benefit received or to be received in the 
future by virtue of the relationship; includes potential benefit, such 
as preemployment contracts with a potential employer; also includes 
financial interests of a spouse, minor child, and member of household.
    (g) Gratuity. Any gift, favor, entertainment, hospitality, 
transportation, loan, or any other tangible item, and any intangible 
benefits (such as passes, discounts, promotional benefits, vendor 
training) given or extended to or on behalf of DLA personnel, their 
spouse, minor child, or member of their household for which fair market 
value is not paid by the recipient or the U.S. Government.
    (h) Honorarium (and all variations). A payment of money or anything 
of value received by an officer or employee of the Federal Government, 
if it is accepted as consideration for an appearance, speech, or 
article. The term does not include payment for or provision of actual 
travel and subsistence, including transportation, accommodations, and 
meals of an officer or employee and spouse or aide, and does not include 
amounts paid or incurred for any agent's fees or commissions.
    (i) Special Government employee. A person who is retained, 
designated, appointed, or employed to perform, with or without 
compensation, for a period not to exceed 130 days during any period of 
365 consecutive days, temporary duties either on a full-time or 
intermittent basis. The term also includes a Reserve military officer 
while on active duty solely for training for any length of time, one who 
is serving on active duty involuntarily for any length of time, and one 
who is serving voluntarily on extended active duty for 130 days or less. 
It does not include enlisted personnel.



Sec. 1293.5  Significant changes.

    Part 1293 has been revised to incorporate changes necessitated by a 
new DoD Standards of Conduct Regulation and new statutory reporting and 
postemployment restrictions. The most significant changes relate to the 
limited circumstances under which DLA personnel can accept gratuities 
from

[[Page 290]]

DoD contractors and in prescribing which employees are required to file 
DD Forms 1555, Confidential Statement of Affiliations and Financial 
Interests. Finally, the provisions of law which require reports of 
cetain former DLA employees who have left Federal service and are 
working for certain DoD contractors, as well as certain former DoD 
contractor employees currently working for DLA, have been incorporated 
in part 1293 rather than in a separate part, DLAR 7700.3, Reporting 
Procedures on Defense Related Employment.\4\
---------------------------------------------------------------------------

    \4\ See footnote 1, to Sec. 1293.3(c)(1)(ii).
---------------------------------------------------------------------------



Sec. 1293.6  Responsibilities.

    (a) DLA Wide. (1) All DLA Employees will: (i) Become familiar with 
the standards of conduct set forth in part 1293.
    (ii) Adhere to the highest standards of honesty and integrity.
    (iii) Promptly file financial disclosure reports when required by 
part 1293.
    (iv) Bring suspected violations of a statute or standards of conduct 
imposed by part 1293 to the attention of the Designated Agency Ethics 
Official or Deputy Ethics Official in a timely manner.
    (v) Report to their immediate supervisor the acceptance of 
gratuities under the exceptions provisions of appendix C. Failure to 
submit these reports will be a basis for disciplinary action.
    (vi) Refuse to participate in any matters which appear to violate 
the provisions of appendix A, call the appropriate provisions of 
appendix A to the attention of any retired or former officer or employee 
with whom they deal, and advise that any apparent violations will have 
to be referred to the Department of Justice.
    (2) All DLA Supervisors will: (i) Ensure that the position 
description of each of their immediate subordinates indicates whether 
the incumbent of the position is required to submit a financial 
disclosure report (DD Form 1555 or SF 278).
    (ii) Ensure that an individual has filed a DD Form 1555 prior to 
assuming the duties of a position that requires the incumbent to submit 
the form.
    (iii) Annually review the positions of their immediate subordinates 
to ensure that the position descriptions accurately reflect whether the 
incumbent is required to file a financial disclosure report (DD Form 
1555).
    (iv) Review DD Forms 1555 filed by their immediate subordinates to 
identify any conflict between the employee's private financial interests 
and official responsibilities, complete the supervisor's statement 
contained therein, and forward the completed form to the appropriate DLA 
ethics official. (See appendix E, Sec. 1293.3(g)).
    (b) HQ DLA. (1) The Heads of HQ DLA Principal Staff Elements will: 
(i) Remind all personnel in their Directorate/Office at least 
semiannually of their duty to comply with the required standards of 
conduct and advise employees that they may obtain clarification of part 
1293 from the Office of General Counsel, DLA (DLA-G).
    (ii) Report promptly all violations of part 1293 and statutes cited 
herein to the General Counsel, DLA.
    (iii) Review and evaluate the DD Forms 1555 filed by their deputies 
prior to forwarding them to the General Counsel, DLA.
    (iv) Assure that required DD Forms 1555 are filed by officers and 
employees of their element and forwarded to the General Counsel, DLA, in 
accordance with part 1293.
    (2) The Staff Director, Office of Military Personnel, DLA (DLA-M) 
will:
    (i) Assure that all military personnel, upon assignment to duty with 
DLA in the Metropolitan Washington area, are informed of the standards 
of conduct specified in part 1293, and are furnished a copy.
    (ii) Maintain a list of all military personnel within the activities 
furnished personnel services by DLA-M who are required to submit a DD 
Form 1555.
    (iii) Assure that all military officers furnished personnel services 
by DLA-M, upon separation from active duty when assigned to DLA, are 
informed of the standards of conduct and post employment restrictions 
governing former military officers, and are furnished copies of 
available information and guidance relating to service with DLA.

[[Page 291]]

    (3) The Commander, DLA Administrative Support Center (DASC) will: 
(i) Furnish a copy of part 1293 to all civilian personnel receiving 
personnel services by DASC upon entry to duty.
    (ii) Assure that each position description for a civilian employee 
receiving personnel services from DASC indicates whether the incumbent 
of that position is required to submit a financial disclosure report (DD 
Form 1555 or SF 278).
    (iii) Maintain a list of all civilian employees in DLA activities 
furnished personnel service by DASC who are required to submit a 
financial disclosure report (DD Form 1555 or SF 278).
    (iv) Assure that all civilian employees receiving personnel services 
by DASC, upon their separation from Federal service, are informed of the 
standards of conduct and post employment restrictions governing former 
civilian employees, and are furnished copies of available information 
and guidance.
    (4) The General Counsel, DLA will:
    (i) Have the authority to modify or supplement any of the enclosures 
to part 1293 in a manner consistent with the policies set forth in part 
1293.
    (ii) Provide additional clarification of standards of conduct, post 
employment restrictions and related laws, rules and regulations, and 
provide advice and assistance on all matters relating to conflicts of 
interests.
    (iii) Coordinate proper and final disposition of all matters that 
are not resolved by the supervisor or Deputy Ethics Official relating to 
matters arising under part 1293.
    (iv) Receive, review, approve, and make available to the public all 
SF 278s required to be filed in accordance with part 1293.
    (v) Receive, review, and approve DD Forms 1555 required to be 
submitted to the General Counsel, DLA after review by supervisors.
    (vi) Receive, review, and approve DD Form 1787, Report of DoD and 
Defense Related Employment, required to be filed under the part 1293.
    (vii) Receive reports of any favor, gratuity, or entertainment 
accepted by DLA personnel as being in the Government's interest, when 
required to be submitted to the Designated Agency Ethics Official and 
initiate or recommend action as appropriate.
    (viii) Review reports of violations of the standards of conduct 
statutes or regulations required to be submitted under paragraphs 
(c)(2)(ii) and (iii) of this section and assure proper action has been 
taken.
    (ix) Initiate procedures and take action in accordance with appendix 
G, Administrative Enforcement Provisions.
    (x) Initiate and maintain a counseling, education, and training 
program concerning all ethics, standards of conduct, and post-employment 
matters.
    (xi) Periodically evaluate DLA's ethics program and disclosure 
reporting systems.
    (xii) Appoint the Alternate Agency Ethics Official.
    (c) Field activities. Establishment and maintenance of an effective 
ethics program is a command responsibility. Commanders shall integrate 
the DLA ethics program into PLFA operations and procedures and provide 
sufficient resources to enable the Deputy Ethics Official to administer 
the PLFA ethics program in a positive and effective manner.
    (1) Heads of DLA Primary Level Field Activities will: (i) Assure 
that all employees, military and civilian, upon their separation from 
military or Federal service, are informed of the standards of conduct 
and post employment restrictions governing former military or civilian 
employees, and are furnished copies of available information and 
guidance.
    (ii) Take action to advise employees that they may obtain 
clarification of part 1293 from the PLFA Office of Counsel.
    (iii) Review and evaluate the DD Forms 1555 submitted by their 
deputies prior to forwarding them to the General Counsel, DLA.
    (iv) Assure that required DD Forms 1555 are filed by officers and 
employees of their activity and forwarded to the appropriate Deputy 
Ethics Official, in accordance with part 1293.
    (2) The Counsel for each DLA PLFA will: (i) Serve as Deputy Ethics 
Official and provide advice and assistance on

[[Page 292]]

matters relating to standards of conduct, post employment restrictions, 
and conflicts of interest and related laws, rules, and regulations 
arising at the activity.
    (ii) Issue advice on the applicability of 10 U.S.C. 2397b to 
personnel assigned to their activity.
    (iii) Forward to DLA-G a report of each suspected violation of the 
standards of conduct statutes or regulations as required under 
Sec. 1293.7(a).
    (iv) Provide a summary of all reports of violations of the standards 
of conduct statutes or regulations and the status of each investigation 
or other action taken to HQ DLA, ATTN: DLA-G. Such reports shall be 
furnished semiannually, as of 31 March and 30 September each year, and 
shall be forwarded to reach HQ DLA no later than 10 calendar days after 
the reporting date. For those violations that are being reported under 
other procedures, this reporting requirement may be satisfied by a 
reference to the identifier of the other procedure. This reporting 
requirement is assigned report control symbol DLA(SA)2217(G).
    (v) Review, approve, and retain DD Forms 1555 for personnel of the 
activity (except the Head of the PLFA and deputy) and all subordinate 
DLA activities after review by the supervisor.
    (vi) Establish a procedure to identify employees within the activity 
and subordinate activities who are required by part 1293 to file DD 
Forms 1555.
    (vii) By 10 December of each year, notify DLA-G that all employees 
of the activity required to file DD Forms 1555 as of 30 September of 
that year have filed the form, and of any apparent conflicts of interest 
identified on the forms that have not been resolved.
    (3) The responsibilities assigned to PLFA Counsel may be delegated 
to the Counsel of a subordinate activity.



Sec. 1293.7  Procedures.

    (a) Reporting suspected violations. DLA personnel who have 
information which causes them to believe that a violation of the 
policies, procedures, or standards set forth in part 1293 or of the 
statutes listed in appendix A is foreseeable or has occurred shall 
report the matter promptly to the General Counsel, DLA or PLFA Counsel 
who shall:
    (1) Evaluate the report and obtain such additional information as 
may be necessary.
    (2) Refer the matter for investigation or other action as 
appropriate, or advise the reporter that no further action will be 
taken.
    (3) Forward a report of the matter and any action taken to the 
General Counsel, DLA within 30 days.
    (b) Resolving violations. The resolution of real, apparent, or 
potential standards of conduct violations shall be accomplished promptly 
by one or more measures, such as divestiture of conflicting interests, 
disqualification for particular assignments, changes in assigned duties, 
transfer, reassignment, suspension, termination, or other appropriate 
action, as provided by statute or administrative procedures (see 
appendix G).
    (c) Disqualification or Divestiture Procedures--(1) Affiliations and 
Financial Interests. (i) Any DLA employee who has affiliations or 
financial interests (which includes those of their spouse, minor 
children, or members of their households) which create conflicts of 
interest or the appearance of conflict of interest with their official 
duties, must immediately disqualify themselves from any official 
activities that are related to those affiliations or interests of the 
entities involved. If the individual cannot adequately perform assigned 
official duties after such disqualification, divestiture will be 
required or the individual must be moved from that position. The 
requirement to remedy the conflict or the appearance of a conflict 
exists independently of the requirement to file a financial disclosure 
report.
    (ii) Exceptions. (A) DLA personnel need not disqualify themselves 
for holding shares of a widely-held, diversified mutual fund or 
regulated investment company. Such holdings are exempt as being too 
remote or inconsequential to affect the integrity of the services of DLA 
personnel.
    (B) In limited circumstances, the General Counsel, DLA may exempt, 
under 18 U.S.C. 208(b), certain affiliations and financial interests if 
they are deemed not substantial enough to affect the integrity of 
Government

[[Page 293]]

services. Written requests for such exemptions will be processed through 
the appropriate Deputy Ethics Official.
    (2) Written notice of disqualification must be promptly delivered to 
the employee's immediate supervisor, immediate subordinates, and to the 
Designated Agency Ethics Official or Deputy Agency Ethics Official.
    (3) Supervisors shall periodically review disqualification notices 
to ensure their effectiveness.
    (d) Financial disclosure procedures. Many military officers and 
civilian employees of DLA are subject to one of the financial disclosure 
reporting systems described below. Persons subject to each are 
identified below. Detailed instructions on the information to be 
furnished and the procedures for processing the forms are set out in 
appendices to this part 1293 and in referenced regulations.
    (1) Executive Personnel Financial Disclosure Report (SF 278). (i) 
The following military officers and civilian employees are required by 
the Ethics in Government Act of 1978 to file a Standard Form 278 if they 
have served in an identified position for 61 days or more during the 
preceding calendar year. These individuals need not file a DD Form 1555.
    (A) Civilian employees, including special Government employees, 
whose positions are classified at GS-16 or above of the General 
Schedule, or whose basic rate of pay under other pay schedules is equal 
to or greater than the minimum rate of basic pay fixed for GS-16 (except 
for GS/GM-15s).
    (B) Members of the uniformed services whose pay grade is O-7 or 
above.
    (C) Civilian employees in SES or in any other position determined by 
the Director of the Office of Government Ethics to be of equal 
classification to GS-16.
    (D) The Designated Agency Ethics Official and Alternate Agency 
Ethics Official.
    (ii) Detailed instructions on the information to be furnished and 
the procedures for processing the forms are set forth in appendix D.
    (2) Statements of Affiliations and Financial Interests (DD Form 
1555). (i) The following DLA personnel are required to submit initial 
and annual Statements of Affiliations and Financial Interests (DD Form 
1555), unless they are subject to the Executive Personnel Financial 
Disclosure Report (SF 278).
    (A) PLFA Commanders, Deputy Commanders and Counsel, and PSE Heads 
and Deputies.
    (B) DLA personnel classified at GS/GM-15 or below, or at a 
comparable pay level under other authority, and members of the military 
whose pay grade is below O-7 not otherwise required to file under 
paragraph (d)(2)(i)(A) of this section, whose official duties require 
the exercise of judgment in making a Government decision or in taking 
Government action for contracting or procurement, regulating or auditing 
private or other non-Federal enterprise, or other activities in which 
the final decision or action may have an economic impact on any non-
Federal entity.
    (C) DLA personnel, regardless of grade, in the following positions:
    (1) Attorneys.
    (2) Contracting Officers.
    (3) Supervisory Quality Assurance Representatives and Supervisory 
Quality Assurance Specialists.
    (4) Quality Assurance Representative-in-Charge.
    (5) Supervisory Procurement Agents and Analysts.
    (6) Supervisory Industrial Property Administrators.
    (7) Supervisory Industrial Specialists.
    (8) Supervisory Industrial Engineers.
    (9) Supervisory Property Disposal Specialists and Property Disposal 
Officers.
    (10) Value Engineers and Analysts.
    (D) Reserve officers assigned to positions meeting the criteria in 
paragraphs (d)(2)(i) (B) and (C) of this section.
    (E) Other special Government employees as set forth in appendix E.
    (ii) Detailed instructions on the information to be furnished and 
the procedures for processing the forms are set forth in appendix E.
    (e) Reporting procedures applicable to former military officers and 
civilians employees, and to former employees of defense contractors now 
employed by DLA.
    (1) Defense Related Employment (DD Form 1787)--(i) Personnel 
required to file.

[[Page 294]]

The following individuals are required to file a Report of DoD and 
Defense Related Employment (DD Form 1787):
    (A) A retired former military officer who served on active duty at 
least 10 years and who held, for any period during that service, the pay 
grade of O-4 or above, or a former civilian employee whose pay rate at 
any time during the 3-year period prior to the end of DoD employment was 
equal to or greater than a the minimum rate for a GS-13 (GS-12, step 7) 
and:
    (1) Within the 2-year period immediately following the termination 
of service or employment with a DoD Component, is employed by a defense 
contractor who, during the year before the former officer or employee 
began employment, was awarded $10,000,000 or more in defense contracts; 
and
    (2) Is employed by or performs service for the defense contractor 
and at any time during a year directly receives compensation of or is 
salaried at a rate of $25,000 per year or more from the defense 
contractor (``compensation'' is received by a person if it is paid to a 
business entity with which the person is affiliated in exchange for 
services rendered by that person).
    (B) Each civilian officer and employee of a DoD Component who:
    (1) Is employed at a pay rate equal to or greater than the minimum 
rate for GS-13 (GS-12, step 7), and
    (2) Within the 2-year period prior to the effective date of service 
or employment with the DoD Component, was employed by a defense 
contractor who, during a year, was awarded $10,000,000 or more in 
defense contracts, and
    (3) Was employed by or performed services for the defense contractor 
and at any time during that year received compensation of or was 
salaried at a rate of $25,000 per year or more at any time during 
employment (``compensation'' is received by a person if it is paid to a 
business entity with which the person is affiliated in exchange for 
services rendered by the person).
    (ii) Detailed instructions concerning this reporting requirement are 
contained in appendix F.
    (2) Statement of Employment (DD Form 1357). (i) Each retired Regular 
officer of the Armed Forces shall file with the Military Department in 
which he or she holds retired status a DD Form 1357, Statement of 
Employment-Regular Retired Officers (appendix H). The DD Form 1357 
should not be filed with DLA. Filing shall be within 60 days after 
retirement and thereafter within 30 days of changing employer or taking 
on new duties. The filing requirement continues for 3 years after 
retirement.
    (ii) Additional details concerning this reporting requirement are 
contained in:
    (A) AR 600-50.
    (B) SECNAVINST 5370.2.
    (C) AFR 30-30.
    (D) MCO 5330.3C.

          Appendix A to Part 1293--Laws Affecting DLA Personnel

                               I. Caution

    Employees and former employees are cautioned that the descriptions 
of the laws and regulations in this enclosure should not be the only 
thing relied upon to make decisions regarding their activities. Although 
the descriptions do provide general guidelines, restrictions are 
dependent on the specific facts in a particular case. Accordingly, 
employees and former employees are encouraged to discuss specific cases 
with the Designated Agency Ethics Official or Deputy Ethics Official in 
their Office of Counsel, or with private counsel.

                      II. Conflict of Interest Laws

                            A. 18 U.S.C. 203

    1. Subsection (a) prohibits military officers or civilian employees 
from directly or indirectly receiving or seeking compensation for 
services rendered or to be rendered before any department or agency in 
connection with any contract, claim, controversy or particular matter in 
which the United States is a party or has a direct and substantial 
interest. The statute does not apply to enlisted military personnel. The 
purpose of this law is to reach any situation where the judgment or 
efficiency of a Government agency might be influenced because of 
payments or gifts to an officer or employee regardless of whether there 
is any intent to give preferential treatment in a manner otherwise than 
provided by law.
    2. Subsection (b) makes it unlawful for anyone to offer or to pay 
the compensation prohibited by subsection (a).

                            B. 18 U.S.C. 205

    1. This law prohibits military officers or civilian employees from 
acting as an agent or attorney for anyone else before a department, 
agency, or court in connection with

[[Page 295]]

any particular matter in which the United States is a party or has a 
direct and substantial interest. The law does not apply to enlisted 
military personnel.
    2. The following exemptions are allowed:
    a. The law does not prohibit military officers or civilian employees 
from giving testimony under oath; from making statements required to be 
made under the penalty of perjury or contempt; or, from representing 
another person, without compensation, in a personnel matter such as a 
discrimination complaint or disciplinary action.
    b. The law also authorizes a limited waiver of its restrictions and 
those of section 203 for an officer or employee, including a special 
Government employee, who represents his or her parents, spouse, or 
child, or a person or estate he or she serves as a fiduciary. The waiver 
is available only if approved by the official making appointments to the 
position. However, the waiver does not allow the officer or employee to 
represent any person in matters in which the officer or employee has 
participated personally and substantially or which are the subject of 
the officer or employee's official responsibility.
    c. Finally, section 205 gives the head of a department or agency the 
authority to allow a special Government employee to represent his or her 
regular employer or other outside organization in the performance of 
work under a Government grant or contract if the department or agency 
head certifies and publishes in the Federal Register that the national 
interest requires such representation.

                            C. 18 U.S.C. 208

    1. Subsection (a) prohibits military officers and civilian personnel 
from their personal and substantial participation as Government 
personnel in any particular matter in which they, their spouse, their 
minor children, their partners, their employers, their prospective 
employers, or their organizations have a financial interest. ``Personal 
and substantial participation'' includes such things as decision, 
approval, disapproval, recommendation, the rendering of advice, or 
investigation. A ``particular matter'' may be less concrete than an 
actual contract, but is something more specific than rule making or 
abstract scientific principles. If the individual can reasonably 
anticipate that his/her Government action, or the decision in which he/
she participates or with respect to which he/she advises, will have a 
direct and predictable effect upon financial interests, then a 
``particular matter'' is involved.
    2. Subsection (b) permits a written exemption from subsection (a) if 
the outside financial interest is deemed in advance not substantial 
enough to affect the integrity of Government services. Categories of 
financial interests may also be made nondisqualifying by a regulation 
published in the Federal Register. Shares of a widely held, diversified 
mutual fund or regulated investment company have been exempted as being 
too remote or inconsequential to affect the integrity of the services of 
Government personnel.

                            D. 18 U.S.C. 209

    Subsection (a) prohibits military officers and civilian employees 
from receiving, and prohibits anyone from paying them, any money as 
additional compensation for their Government service. The law does not 
apply to enlisted military personnel. Subsection (b) permits military 
officers and civilian employees to participate in a bona fide pension 
plan or other employee welfare or benefit plan maintained by a former 
employer. Subsection (c) exempts special Government employees and anyone 
serving the Government without compensation. Subsection (d) exempts 
contributions, awards, or other expenses under the Government Employees 
Training Act. See 5 U.S.C. 4111(a).

                           E. 10 U.S.C. 2397a

    This law applies to DoD employees at pay rates of GS-11 or higher 
(GS-10, Step 4) and to military officers in pay grades O-4 or higher. 
These employees must report any contact they have had, or will have, 
with defense contractors regarding future employment with the defense 
contractor. These employees must also disqualify themselves from any 
participation in DoD procurements related to the defense contractor. The 
penalty for violation is a bar from employment with the defense 
contractor for up to 10 years after Government service and up to a 
$10,000 penalty.

   III. Restriction on Former Military Officers and Civilian Employees

    A. Former Officers and Employees Include the Following Personnel:
    1. Full-time civilian employees who have left Federal service.
    2. Special Government employees who have left Federal service.
    3. Retired military officers released from active duty.
    4. Reserve military officers released from active duty. The term 
does not include enlisted personnel; however, enlisted personnel are 
subject to the restrictions applicable to retired members of the Armed 
Forces set forth in subparagraph G.
    B. Senior employees are those individuals who have been specifically 
advised by the Designated Agency Ethics Official that they hold senior 
employee positions. In general, senior employees within DLA include 
military officers in pay grades O-7 and above, and most Senior Executive 
Service (SES) positions.
    C. General:

[[Page 296]]

    1. Laws and regulations restrict the activities of former officers 
and employees, establish certain reporting requirements, and, in some 
cases, restrict employment by former officers and employees with DoD 
contractors. Violation of some of the laws and regulations may result in 
criminal prosecution, or civil fines.
    2. The purpose of the post employment restrictions is to preclude 
the actual or apparent use of public office for private gain, and to 
ensure that the administration of Government is conducted honestly and 
in an impartial manner.
    3. The restrictions are divided into five parts; those applicable to 
all former officers and employees, those applicable to former senior 
employees, those applicable to retired military officers, and those 
applicable to all retired members of the Armed Forces. In addition, the 
special restrictions applicable to personnel who were engaged in 
``procurement functions'' are set out. Because of the expansive 
definition of the term ``procurement function,'' all civilian employees 
whose grade was GS-12, step 7 or higher, and all military personnel in 
grades O-4 and above should review the definition of ``procurement 
function'' set forth in subparagraph H6i below.
    4. In addition to the information contained herein, retired military 
personnel are encouraged to review parallel regulations of their 
Military Service:
    a. Army--AR 600-50.
    b. Navy--SECNAVINST 5370.2H.
    c. Air Force--AFR 30-30.
    d. Marine Corps--MCO 5330.3C.
    5. General professional knowledge acquired while in Federal service 
generally may be used while employed in the private sector. Laws and 
regulations do, however, restrict activities of former officers and 
employees which give the appearance of making unfair use of prior 
Federal employment and affiliations, or are detrimental to public 
confidence in the Government. In addition, certain former employees who 
dealt with DoD contractors may be prohibited from working for those 
contractors.
    D. Restrictions Applicable to all Former Officers and Employees:
    1. Permanent bar on representation. (18 U.S.C. 207(a).) Former 
officers and employees (not including former enlisted personnel) may 
never represent anyone except the United States or communicate with any 
Government agency with the intent to influence the United States in any 
matter with which the former officer or employee was personally and 
substantially involved while a Government employee, and which involves 
specific parties where the United States either is a party or has an 
interest.
    a. This provision is aimed at your activities representing anyone, 
whether or not you make a personal appearance before the Government. The 
intent of the provision is to prevent you from ``switching sides,'' so 
that information, influence, and access you acquired during Federal 
service is not subsequently used for improper or unfair advantage in 
post-employment dealings with the Government.
    b. The matters to which this bar applies are those in which you were 
involved as a Federal employee. Your involvement as a Federal employee 
must have been of significance to the matter, or must form the basis for 
a reasonable appearance that it was significant, and may include 
involvement by any of your subordinates.
    c. Matters of general application such as general policy or program 
design are not included in this bar.
    d. The concept of representation is broadly construed and includes 
any type of communication whose intent is to influence the United 
States. Representation includes not only acting as another's attorney or 
agent, but promotional and contract representations as well. 
Communications include both oral and written communications.
    2. Two-year bar on representation. (18 U.S.C. 207(b)(i).) Former 
officers and employees (not including enlisted personnel) may not, for a 
2-year period after departing from Federal service, represent anyone 
except the United States in any matter which was pending under the 
former employee's official responsibility during the final year of 
Federal service. The bar includes communicating with any Government 
agency with intent to influence the United States on the matter.
    a. The only substantive difference between this 2-year bar and the 
permanent bar described in subparagraph 1. above is the degree of your 
closeness to, or involvement in, the matter.
    b. The term ``official responsibility'' refers to the direct 
administrative or operating authority, whether intermediate or final, 
either personally or through subordinates, to approve, disapprove, or 
otherwise direct Government action.
    3. Exception for Scientific or Technological Information. The 
permanent bar and 2-year bar do not apply to communications made solely 
for the purpose of furnishing scientific or technological information if 
approved by the head of the agency to which the communication is 
directed.
    E. Additional Restrictions Applicable to Former Senior Employees:
    1. Two-year bar. (18 U.S.C. 207(b)(ii).) For 2 years after leaving a 
senior employee position, you may not represent or assist in 
representing another person by personally appearing at any proceeding 
before the Government where the matter that is the subject of the 
proceeding, is one in which you participated personally and 
substantially while in Federal service.

[[Page 297]]

    a. The matters to which this bar applies are those in which you were 
involved as a Federal employee. Your involvement as a Federal employee 
must have been of significance to the matter, or must form the basis for 
a reasonable appearance that it was significant, and may include 
involvement by any of your subordinates.
    b. This restriction does not bar all forms of behind-the-scenes 
assistance by you, but only assistance in representing or assisting in 
representing another person while personally present at any type of 
proceeding.
    2. One-year bar. (18 U.S.C. 207(c).) For one year after leaving a 
senior employee position, you may not represent anyone before your 
former agency, or have any communication with your former agency on any 
matter which is pending before or of substantial interest to the agency. 
This restriction, sometimes called the ``no contract'' bar, is intended 
to provide a ``cooling-off'' period between you and your former agency.
    a. This bar applies regardless of the degree of your involvement 
with the matter.
    b. The bar applies to all matters, whether or not specific parties 
are involved, and includes matters of general application such as 
general policy or program design.
    c. The bar also extends to matters in which your agency has a 
substantial interest even though the matter may be pending before 
another agency.
    d. The bar is limited to contracts with your former agency and does 
not apply Government-wide.
    e. Your former agency is specifically defined. As it pertains to 
former DLA senior employees, the term includes DLA and the DoD less:
    (1) The Military Departments.
    (2) Defense Mapping Agency.
    (3) Defense Communications Agency.
    (4) Defense Intelligence Agency.
    (5) Defense Nuclear Agency.
    (6) National Security Agency.
    f. There are several exemptions to this one-year bar. The bar does 
not cover a former senior employee who is: An elected official of a 
state or local government; an employee of an accredited degree-granting 
institution of higher education; or, an employee of a nonprofit hospital 
or medical research organization, provided that the communication, 
appearance, or representation is on behalf of such government, 
institution, hospital, or organization. The bar also does not cover 
purely social or informational communications, the transmission or 
filing of documents not requiring governmental action, personal matters, 
representing oneself in any administrative or judicial proceeding, any 
expression of personal view where the former senior employee has no 
monetary interest, responses to the former agency's request for 
information, or participation as the principal researcher or 
investigator under Government grants.
    F. Additional Restrictions Applicable to Retired Regular Military 
Officers:

           1. Claims against the United States (18 U.S.C. 281)

    a. A retired officer of the Armed Forces may not, for two years 
after release from active duty, act as an agent or attorney for 
prosecuting or assisting in the prosecution of a claim against the 
United States:
    (1) Which involves the Military Department in which the officer is 
retired, or
    (2) Which involves any subject matter with which the officer was 
directly connected while on active duty.
    b. The penalty for violating this restriction includes civil and 
criminal sanctions.

             2. Selling to the United States (18 U.S.C. 281)

    a. A retired officer of the Armed Forces may not, for two years 
after release from active duty, receive (or agree to receive), either 
directly or indirectly, any compensation for representating any person 
in the sale of anything to the United States through the Military 
Department in which the officer is retired.
    b. The penalty for violating this restriction includes civil and 
criminal sanctions.

                       3. Retired Regular Officers

    For 3 years after retirement, a retired Regular officer may not, 
either for himself/herself or for others, sell, contract, or negotiate 
to sell, any supplies or war materials to the DoD (or any of its 
components), Coast Guard, National Oceanic and Atmospheric 
Administration, or Public Health Service.
    a. This 3-year bar does not prohibit all types of employment by, or 
association with, a company that does business with the Government. The 
bar is directed only to those activities related to selling which 
include:
    (1) Signing a bid, proposal, or contract.
    (2) Negotiating a contract.
    (3) Contracting an officer or employee of any of the agencies listed 
in subparagraph 2.b. above for the purpose of:
    (a) Obtaining or negotiating contracts,
    (b) Negotiating or discussing changes in specifications, price, cost 
allowance, or other terms of a contract, or
    (c) Settling disputes concerning performance of a contract, or
    (4) Any other liaison activity with a view toward the ultimate 
consummation of a sale although the actual contract therefore is 
subsequently negotiated by another person.
    b. Violations of this bar are punishable by loss of retirement pay 
for that period of time during which the prohibited activity occurs.
    G. Additional Restrictions Applicable to all Retired members of the 
Armed Forces:

[[Page 298]]

    1. DoD civilian employment. A retired member of the Armed Forces may 
not be appointed to a DoD civilian position within 180 days after 
retirement unless:
    a. The employment is approved by the appropriate authority (D0D 
Directive 1402.1, Employment of Retired Members of the Armed Forces).
    b. The position is one for which an advance hiring pay rate has been 
authorized by the Office of Personnel Management under 5 U.S.C. 5305, or
    c. A state of national emergency exists.
    2. Foreign employment. A retired member of the Armed Forces may not 
accept any present, emolument, office, title, or employment from any 
foreign government unless approved by the Secretary of the Military 
Department concerned and the Secretary of State. The penalty for a 
violation is loss of retirement pay.
    3. Use of military titles. Retired members of the Armed Forces may 
not use their military title in such a way as to give rise to the 
appearance of sponsorship, sanction, endorsement, or approval of the 
Military Service or the DoD in connection with any commercial 
enterprise. Overseas commanders may further restrict the use of military 
titles by retired personnel in overseas areas.
    H. Special Restrictions on the Activities of Former Employees Who 
Were Engaged in Procurement Functions:
    1. Pursuant to 10 U.S.C. 2397b, certain former military officers and 
civilian employees may not receive compensation from a major defense 
contractor for a 2-year period, beginning on the date the former officer 
or employee separated from Federal service. This restriction prohibits 
the acceptance of compensation from a particular major defense 
contractor only if the former officer or employee performed the duties 
listed in subparagraph 2, below, relating to that same defense 
contractor.
    2. Personnel to whom restrictions apply. Individuals in the 
following categories are subject to the restrictions:
    a. Civilian employees whose rate of pay was greater than or equal to 
that for a GS-13, Step 1 (GS-12, Step 7) and military officers in pay 
grades of O-4 or higher, if such individuals:
    (1) Spent the majority of their working days during the last 2 years 
of DoD service performing a procurement function relating to a DoD 
contract, at a site or plant that was owned or operated by a contractor, 
and which was the principal location of their performance of that 
procurement function; or
    (2) Performed, on a majority of their working days during the last 
two years of DoD service, a procurement function relating to a major 
defense system and, in the performance of such a function, participated 
on any occasion personally and substantially in a manner involving 
decision-making responsibilities with respect to a contract for that 
major defense system through contact with the contractor.
    b. Civilian employees who served in a Senior Executive Sevice 
position or higher, and military officers who served in the pay grade of 
O-7 or higher, if such individuals during the last 2 years of DoD 
service:
    (1) Acted as a primary representative of the United States in the 
negotiation with a defense contractor of a defense contract in an amount 
in excess of $10,000,000 (the actual contractual action taken by the 
individual must have been in an amount in excess of $10,000,000), or
    (2) Acted as a primary representative of the United States in the 
negotiation of a settlement of an unresolved claim of such a defense 
contractor in an amount in excess of $10,000,000. An unresolved claim 
shall be, for the purposes of part 1293 valued by the greater of the 
amount of the claim or the amount of the settlement.
    3. Advice from the designated Agency Ethics Official.
    a. Any person may, before accepting compensation, request that PLFA 
Counsel or the General Counsel, DLA provide advice on the applicability 
of 10 U.S.C. 2397b and part 1293 to the acceptance of such compensation.
    b. A request for advice shall be in writing and shall contain all 
relevant information.
    c. If the PLFA Counsel or General Counsel, DLA receives a request 
for advice, he shall issue a written opinion in response thereto not 
later than 30 days after receipt of all relevant information.
    d. If the advice rendered by the PLFA Counsel or General Counsel, 
DLA states that the law and part 1293 are inapplicable, and that the 
individual may accept the compensation from the contractor, then there 
shall be a conclusive presumption that the acceptance of the 
compensation is not a violation of 10 U.S.C. 2397b.
    4. Apparent violations. Apparent violations. Apparent violations of 
these prohibitions shall be referred to the General Counsel, DLA who 
will review the matter for referral to the DoD Inspector General or the 
Inspector General of the appropriate Military Department for 
investigation.
    5. Penalties. Pursuant to 10 U.S.C 2397b(b)(1), individuals who 
knowingly violate the prohibitions of this section are subject to a 
civil fine of up to $250,000.
    6. Special definitions. For the purpose of subparagraph H of this 
Appendix, terms used shall have the following meanings:
    a. Armed Forces. The term ``Armed Forces'' does not include the 
United States Coast Guard.
    b. Compensation. Includes any payment, gift, benefit, reward, favor, 
or gratuity which is provided directly or indirectly for services 
rendered by the person accepting such payment and which has a fair 
market value in

[[Page 299]]

excess of $250. Compensation shall be deemed indirectly received if it 
is paid to an entity or person other than the individual, in exchange 
for services performed by the individual.
    c. Contractor-operated facility. Includes any facility leased or 
loaned by the United States to the contractor by written agreement. It 
does not include facilities located on a military installation where 
contractor personnel may work, but which is not either leased or loaned 
by the United States to the contractor by written agreement.
    d. Defense contractor. An entity that: Contracts directly with the 
Department of Defense to supply the Department of Defense with goods or 
services; or, controls or is controlled by an entity that contracts 
directly with the Department of Defense to supply the Department of 
Defense with goods or services; or, is under common control with an 
entity that contracts directly with the Department of Defense to supply 
the Department of Defense with goods or services. The term does not 
include an affiliate or subsidiary of an entity that contracts directly 
with the Department of Defense to supply the Department of Defense with 
goods or services if the affiliate or subsidiary is clearly not engaged 
in the performance of a defense contract, nor does it include a state or 
local government.
    e. DoD component. 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, the Inspector General, and 
the Defense Agencies, including nonappropriated fund activities.
    f. Employee. This term does not include a part-time employee, or a 
Special Government Employee.
    g. Major defense contractor. Any business entity which, during the 
fiscal year preceding the fiscal year in which compensation was 
received, was a defense contractor that received defense contracts in a 
total amount equal to or greater than $10,000,000.
    h. Major defense system. A combination of elements that will 
function together to produce the capability required to fulfill a 
mission need. Elements may include hardware, equipment, software, or any 
combination thereof, but excludes construction or other improvements to 
real property. A system shall be considered a major defense system if: 
the Department of Defense is responsible for the system and the total 
expenditures, for research, development, test and evaluation for the 
system are estimated to exceed $75,000,000 (based on fiscal year 1980 
constant dollars) or the eventual total expenditure for procurement 
exceeds $300,00,000 (based on fiscal year 1980 constant dollars); or, 
the system is designated a ``major system'' by the head of the agency 
responsible for the system.
    i. Majority of working days. The majority of days actually worked 
during the period, excluding weekends, holidays, days of leave or sick 
days when the employee did not actually work. A work day on which an 
individual performed a procurement function includes any day on which 
the individual worked on that procurement function for any amount of 
time during that day.
    j. Negotiation and settlement. Exchange of views between 
representatives of the Government and a contractor regarding respective 
liabilities and responsibilities of the parties on a particular contract 
or claim. It includes deliberations regarding contract specifications, 
terms of delivery, allowability of costs, pricing of change orders, etc.
    k. Primary Government representative. If more than one Government 
representative is involved in any particular transaction, it is the 
Government employee who supervised the Government's effort in that 
matter. To act as a ``representative'' requires personal and substantial 
participation in the transaction, by personal presence, telephone 
conversation, or similar involvement with representatives of a 
contractor.
    l. Procurement related function (or ``procurement function''). Any 
function relating to: The negotiation, award, administration, or 
approval of a contract; the selection of a contractor; the approval of a 
change in a contract; the performance of quality assurance, operational 
and developmental testing, the approval of payment, or auditing under a 
contract; or, the management of a procurement program.
    m. Separation of a member of the Armed Forces. A person who is a 
retired or former member of the Armed Forces shall be considered to have 
been separated from service in the Department of Defense on the 
effective date of the person's discharge or release from active duty.

               IV. Other Laws Applicable to DoD Personnel

    Engaging in the following activities may subject present and former 
DLA personnel to criminal or other penalties:
    A. Aiding, abetting, counseling, commanding, inducing, or procuring 
another to commit a crime under any criminal statute (18 U.S.C. 201).
    B. Concealing or failing to report to proper authorities the 
commission of felony under any criminal statute if the person knew of 
the actual commission of the crime (18 U.S.C. 4).
    C. Conspiring with one or more persons to commit a crime under any 
criminal statute or to defraud the United States, if any party to the 
conspiracy does any act to effect the object of the conspiracy (18 
U.S.C. 371).
    D. Lobbying with appropriated funds (18 U.S.C. 1913).
    E. Disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918).

[[Page 300]]

    F. Disclosure of classified information (18 U.S.C. 793 and 798, 50 
U.S.C. 783); and disclosure of trade secrets and other confidential 
information (18 U.S.C. 1905).
    G. Habitual use of intoxicants to excess (5 U.S.C. 7352).
    H. Misuse of a Government vehicle (31 U.S.C. 1349(b)).
    I. Misuse of the mailing privilege (18 U.S.C. 1719).
    J. Deceit in an examination or personnel action in connection with 
Government employment (18 U.S.C. 1917).
    K. Committing fraud or making false statements in a Government 
matter (18 U.S.C. 1001).
    L. Mutilating or destroying a public record (18 U.S.C. 2071).
    M. Counterfeiting and forging transportation requests (18 U.S.C. 
641).
    N. Embezzlement of Government money or property (18 U.S.C. 641); 
failing to account for public money (18 U.S.C. 643); private use of 
public money (18 U.S.C. 653) and embezzlement of the money or property 
of another person in the possession of an employee by reason of his/her 
Government employment (18 U.S.C. 654).
    O. Unauthorized use of documents relating to claims from or by the 
Government (18 U.S.C. 285).
    P. Certain political activities (5 U.S.C. 7321-7327 and 18 U.S.C. 
600, 601, 602, 603, 606, and 607). These statutes apply to civilian 
employees; regulations govern military personnel (DoD Directive 
1344.10).\5\
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    \5\ See footnote 1, to Sec. 1293.3(c)(1)(ii).
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    Q. Any person (including a special Government employee) who is 
required to register under the Foreign Agents Registration Act of 1938 
(18 U.S.C. 219) may not serve the Government as an officer or employee. 
The section does not apply to retired Regular military officers who are 
not on active duty, or Reserves who are not on active duty or who are on 
active duty for training; or, a special Government employee in any case 
in which the department head certifies to the Attorney General that his 
or her employment by the United States Government is in the national 
interest.
    R. Soliciting contributions for gifts or giving gifts to superiors, 
or accepting gifts from subordinates (5 U.S.C. 7351). This statute 
applies only to civilian employees; the provisions of Sec. 1293.3(h), 
apply to military personnel.
    S. Acceptance of excessive honoraria (2 U.S.C. 441i).
    T. Acceptance, without statutory authority, of any present, 
emolument, office or title, or employment of any kind whatever, from any 
king, prince, or foreign state by any person holding any office or 
profit in or trust of the Federal Government, including all retired 
military personnel and regular enlisted personnel (U.S. Constitution, 
Art. I., Sec. 9, cl. 8). Exceptions to this prohibition are authorized 
under 37 U.S.C. 908.
    U. Union activities of military personnel (10 U.S.C. 976).
    V. Violation of merit system principles (5 U.S.C. 2301).
    W. Prohibited personnel practices (5 U.S.C. 2302).
    X. Employment of a Regular Navy Officer or a Regular Marine Corps 
Officer, other than a retired officer, by a person furnishing naval 
supplies or war materials to the United States (37 U.S.C. 801(a)).

Appendix B to Part 1293--Code of Ethics For Government Service--Pub. L. 
                                 96-303

    Any person in Government service should:
    I. Put loyalty to the highest moral principles and to country above 
loyalty to persons, party, or Government department.
    II. Uphold the Constitution, laws, and regulations of the United 
States and of all governments therein and never be a party to their 
evasion.
    III. Give a full day's labor for a full day's pay; giving earnest 
effort and best thought to the performance of duties.
    IV. Seek to find and employ more efficient and economical ways of 
getting tasks accomplished.
    V. Never discriminate unfairly by the dispensing of special favors 
or privileges to anyone, whether for remuneration or not; and never 
accept, for himself or herself or for family members, favors and 
benefits under circumstances which might be construed by reasonable 
persons as influencing the performance of governmental duties.
    VI. Make no private promises of any kind binding upon the duties of 
office, since a Government employee has no private word which can be 
binding on public duty.
    VII. Engage in no business with the Government, either directly or 
indirectly, which is inconsistent with the conscientious performance of 
governmental duties.
    VIII. Never use any information gained confidentially in the 
performance of government duties as a means for making private profit.
    IX. Expose corruption wherever discovered.
    X. Uphold these principles, ever conscious that public office is a 
public trust.

[[Page 301]]

      Appendix C to Part 1293--Additional Guidance On Gratuities, 
         Reimbursements, And Other Benefits From Outside Sources

                               I. General

    The general prohibition against accepting gratuities, 
reimbursements, and other benefits from outside sources does not apply 
to the following. These exceptions shall be applied narrowly in keeping 
with the prohibition in Sec. 1293.3(g).
    A. The continued participation in employee welfare or benefit plans 
of a former employee when permitted by law and approved by the General 
Counsel, DLA, or PLFA Counsel.
    B. The acceptance of unsolicited advertising or promotional items 
that are less than $10 in retail value.
    C. The acceptance of trophies, entertainment, prizes, or awards for 
public service or achievement in an individual, unofficial capacity or 
given in games or contests that do not relate to official duties and are 
clearly open to the public generally, or are officially approved for DLA 
personnel participation.
    D. The acceptance of benefits available to the public, such as 
university scholarships covered by DoD Directive 1322.6, Fellowships, 
Scholarships, and Grants for Members of the Armed Forces, and free 
exhibitions by DoD contractors at public trade fairs.
    E. The acceptance of discounts or concessions realistically 
available to all DLA personnel, provided that such discounts or 
concessions are not used to obtain any item for the purpose of resale at 
a profit.
    F. Participation by DLA personnel in civic and community activities 
that also involve a DoD contractor, when any relationship between DLA 
personnel and the contractor is indirect; for example participation in a 
Little League or Combined Federal Campaign luncheon that is subsidized 
by a defense contractor.
    G. Activities engaged in by DLA personnel with local civic or 
military leaders as part of authorized community relations programs of 
DLA.
    H. The participation of DLA personnel in widely attended gatherings 
of mutual interest to Government and industry, sponsored or hosted by 
industrial, technical, and professional associations (not by individual 
contractors), provided that they have been approved in accordance with 
DoD Instruction 5410.20, Public Affairs Relations with Business and 
Nongovernmental Organizations Representing Business.
    I. Situations in which participation by DLA personnel at public 
ceremonial activities of mutual interest to industry, local communities, 
and DLA serves the interest of the Government, and acceptance of the 
invitation is approved by the General Counsel, DLA or PLFA Counsel.
    J. When on official Government business and when the DLA personnel 
reports the circumstances in writing to the immediate supervisor and to 
the General Counsel, DLA or the PLFA Counsel, as soon as possible:
    1. Space available use of previously scheduled ground transportation 
to or from a DoD contractor's place of business provided by the 
contractor for its own employees, and
    2. Contractor-provided transportation, meals, or overnight 
accommodations when arrangements for Government or commercial 
transportation, meals, or accommodations are clearly impracticable.
    K. Attendance or participation of DLA personnel in gatherings, 
including social events such as receptions, which are hosted by foreign 
governments (when not acting in their DoD contractor capacity) or 
international organizations, provided that the acceptance of the 
invitation is approved by the General Counsel, DLA or PLFA Counsel.
    L. Customary exchanges of gratituities between DLA personnel and 
their friends and relatives or the friends and relatives of their 
spouse, minor children and members of their household, when the 
circumstances clearly indicate that it is the relationship, rather than 
the business of the person concerned, that is the motivating factor for 
the gratuity and it is clear that the gratuity is not paid for by the 
United States Government or any DoD contractor.
    M. Acceptance of coffee, doughnuts, and similar refreshments of 
nominal value offered as a normal courtesy incidental to the performance 
of duty. This exception applies to acceptance on an occasional basis and 
does not authorize acceptance on a recurring basis.
    N. The acceptance of benefits resulting from the business activities 
of a spouse where it is clear that the benefits are given to the spouse 
in the normal course of the spouse's employment or business and have not 
been given or made more attractive because of the DLA employee's status. 
This exception does not, however, alter the requirement for 
disqualification under Sec. 1293.7(c)(1).
    O. Acceptance of transportation and related travel expenses from a 
potential employer in connection with a job interview, provided that 
prior to departing on the trip:
    1. The DLA employee receiving the gratuity notifies his or her 
immediate supervisor of the travel arrangements.
    2. The DLA employee files a written disqualification statement 
concerning any possible official actions involving the potential 
employer.
    3. The DLA employee submits some evidence that the potential 
employer offers the same benefits to all similarly situated individuals, 
not only those employed in the Department of Defense.

[[Page 302]]

    P. Situations in which, in the sound judgment of both the individual 
involved and his or her immediate supervisor, the Government's interest 
will be served by DLA personnel participating in activities otherwise 
prohibited. In any such case, a written report of the circumstances 
shall be made in advance, or, when an advance report is not possible, 
within 48 hours, by the individual or supervisor to the General Counsel, 
DLA or PLFA Counsel.

                    II. Defense Contracting Training

    The guidance in subparagraphs A through C of this section applies 
whenever defense contractors provide training, orientation, or refresher 
courses to DLA personnel. These courses range from executive orientation 
courses in which all expenses are borne by the defense contractor to 
seminars devoted to technical developments in which the only 
``gratuity'' may be lectures given free of charge.
    A. Attendance by DLA employees at training sessions provided by 
defense contractors is permitted when the contractor's products or 
systems are provided under contract to DoD and the training is to 
facilitate the utilization of those products or systems by DLA 
personnel.
    B. When a defense contractor provides training pursuant to a 
contract, the training itself is not a gratuity. Likewise, meals, 
lodging, and transportation would not be considered a gratuity if the 
defense contractor was required to furnish them under the terms of the 
contract, but would result in reductions to the travel and other 
expenses normally payable to the employee under the Joint Federal Travel 
Regulation. However, if the defense contractor, without charge, provides 
something to DLA personnel which is not required by the contract, the 
contractor is giving a gratuity to the DLA employee.
    C. Attendance at tuition-free training, refresher courses, or other 
educational meetings offered by a defense contractor (although not 
required to do so by the terms of a contract) may be authorized when 
attendance is clearly in the best interests of the Government and meets 
the following criteria of DLAR 1430.12, Civilian Employee Development 
and Training: \6\
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    \6\ See footnote 1, to Sec. 1293.3(c)(1)(ii).
---------------------------------------------------------------------------

    1. Selection of the DLA employees attending the contractor training 
will be made by the Government.
    2. The unavailability of alternative training sources, and 
confidence that the contractor provided training will not adversely 
affect the objectivity of the DLA employee.
    3. Approval of the training is at a sufficiently high level to 
assure the need cannot otherwise reasonably be met and has the 
concurrence of the General Counsel, DLA or PLFA Counsel.
    4. No appreciable cost is incurred by the contractor in order to 
accommodate attendance by DLA employees.
    5. An understanding that the contractor will receive no special 
consideration or benefit because of the Government's participation.

                           III. Reimbursements

    DLA personnel may not accept either personal reimbursement or in 
kind accommodations, subsistence, transportation, or services for 
expenses incident to official travel, from any source outside the 
Government except as indicated in subparagraphs A through F of this 
section. In cases where acceptance is authorized, appropriate deductions 
will be made in the travel, per diem, or other allowances payable to the 
employee. In no event will DLA personnel accept benefits which are 
excessive.
    A. A DLA employee who is to be a speaker, panelist, project officer, 
or other bona fide participant in the activity attended, may accept 
accommodations, subsistence, transportation, or other services furnished 
in-kind in connection with official travel when such attendance and 
acceptance are authorized by the order-issuing authority as being in the 
overall Government interest. Under these circumstances, an employee may 
not accept personal reimbursement.
    B. When a DLA employee is summoned to testify in an official 
capacity on behalf of a private party at a judicial proceeding, the 
appearance will be on official time and travel expenses may be accepted 
from the court, authority, or party who caused the person to be 
summoned. In accordance with 5 U.S.C. 5751, the funds may be turned over 
to the agency and Government travel orders issued or the employee may 
use the funds to defray costs directly. Any excess funds must be 
returned to the party or paid into the U.S. Treasury as miscellaneous 
receipts. Any employee appearing on behalf of a private party not in an 
official capacity must use leave to do so and may retain any fees or 
expenses.
    C. Except as indicated in subparagraphs A and B of this section, DLA 
personnel may not accept personal reimbursement from any source for 
expenses incident to official travel, unless authorized by their 
supervisor consistent with guidance provided by the Designated Agency 
Ethics Official or Deputy Ethics Official pursuant to 5 U.S.C. 4111 or 
other statutory authority. Rather reimbursement must be made to the 
Government by check payable to DLA.
    D. DLA personnel may accept travel, or reimbursement for travel 
expenses from a foreign government as provided in DLAR 1005.1, 
Decorations and Gifts from Foreign Governments.

[[Page 303]]

    E. When accommodations, subsistence, or services in kind are 
furnished to DLA personnel by non-U.S. Government sources, consistent 
with this paragraph, appropriate deductions shall be reported and made 
in the travel, per diem, or other allowance payable.
    F. DLA personnel who receive gratuities, or have gratuities received 
on their behalf, in circumstances not in conformance with the standards 
of part 1293, shall promptly report the circumstances to the Designated 
Agency Ethics Official or Deputy Ethics Official for disposition 
determination.

                 IV. Ship Launch and Similar Ceremonies

    The following guidance applies to ceremonies and gifts associated 
with the launch or commissioning of a naval vessel, an aircraft or other 
vehicle, and all similar events:
    A. Attendance at Ceremonies
    Acceptance of an invitation to attend a ceremony shall be approved 
by the Head of the PSE or PLFA. Attendance is permitted at appropriate 
functions incident to the ceremony, such as a dinner preceding the 
ceremony and the reception following it, as long as the function is not 
lavish, excessive, or extravagant.
    B. Acceptance of Gifts
    DLA personnel, their spouses, and their dependent children, who are 
official participants may accept a tangible thing of value as a gift or 
memento in connection with the ceremony as long as its retail value does 
not exceed $100 per family and the cost is not borne by the Government. 
When a gift exceeds the $100 limit the recipient shall pursue one of the 
following alternatives:
    1. Return the gift to the donor.
    2. Retain the gift after reimbursing the donor the full value of the 
gift.
    3. Forward the gift to the Staff Director, Administration (DLA-X) 
for disposition as a gift to the Government in accordance with statute.

Appendix D to Part 1293--Executive Personnel Financial Disclosure Report 
                                (SF 278)

                I. DLA Personnel Required to File SF 278

    A. DLA personnel required to file a Financial Disclosure Report (SF 
278) are listed at Sec. 1293.7(d)(1). These personnel occupy ``covered 
positions.''
    B. A person who is nominated to or assumes a covered position is not 
required to file an SF 278 if the Secretary of Defense or the General 
Counsel, DLA determines that the person is not reasonably expected to 
perform the duties of the position for more than 60 days in the calendar 
year. However, if the person performs the duties of the office or 
position for more than 60 days in the calendar year, an SF 278 shall be 
filed within 15 days after the 61st day of duty.
    C. A person otherwise required to file an SF 278, but who is 
expected to perform the duties of the position for less than 130 days in 
the calendar year, may request a waiver of any or all reporting 
requirements from the Director, Office of Government Ethics, if the 
person is not a full-time employee of the Government, is able to provide 
specially needed services, and does not have outside employment or 
financial interests likely to create a conflict of interest. A request 
for a waiver shall be initially submitted to the General Counsel, DLA.

                           II. Time of Filing

    An SF 278 shall be submitted under the circumstances described 
below.

                          A. Assumption Report

    DLA personnel shall submit a SF 278 to the General Counsel, DLA 
before assuming a covered position. This requirement does not apply if 
the individual has left another covered position within 30 days before 
assuming a new position, or already has filed with respect to nomination 
for the new position.

                            B. Annual Report

    DLA personnel, including special Government employees, occupying a 
covered position for more than 60 days during a calendar year shall 
submit an SF 278 annually. The annual report must be filed with the 
General Counsel, DLA not later than 15 May unless a written extension is 
granted.

                          C. Termination Report

    DLA personnel occupying a covered position shall submit an SF 278 to 
the General Counsel, DLA no sooner than 15 days before and no later than 
30 days after the date of departure from that position unless they 
accept another covered position. The termination report will cover the 
portion of the present calendar year up to the date of termination and, 
if the annual report has not yet been filed, the preceding calendar 
year.

                        III. Contents of Reports

    Instructions for completing SFs 278 are included as part of the 
report forms. Additional guidance for personnel in covered positions is 
available from the General Counsel, DLA.

                  IV. Submission and Review of Reports

    A. Reports will be submitted to the General Counsel, DLA. After 
final review, copies of the reports of military officers assigned to DLA 
will be forwarded by the General Counsel, DLA to the appropriate 
Military Department official.
    B. Final review of an SF 278 is completed when the Genral Counsel, 
DLA has signed

[[Page 304]]

the SF 278, indicating that each item is completed and that the report 
discloses no unresolved conflict or appearance of a conflict of interest 
under applicable laws and regulations.
    1. If the General Counsel, DLA, after reviewing an SF 278, believes 
additional information is required, the reporting individual shall be 
notified of the additional information required and the date by which it 
must be submitted. The reporting individual shall submit the required 
information directly to the General Counsel, DLA.
    2. If the General Counsel, DLA, after reviewing the SF 278, is of 
the opinion, on the basis of information submitted, that the reporting 
person is not in compliance with applicable laws and regualtions, the 
following steps shall be taken:
    a. The person shall be notified in writing of the preliminary 
determination.
    b. After an opportunity for personal consultation, if practicable, 
the General Counsel, DLA shall notify the person in writing of the 
remedial measures that should be taken to bring the person into 
compliance. The notification shall specify a date by which such measures 
must be taken, which, except in unusual circumstances, must be taken 
within 90 days.
    (1) When the General Counsel, DLA determines that a reporting person 
has fully complied with the remedial measures, a notation to that effect 
shall be made in the comment section of the SF 378. The General Counsel, 
DLA shall then sign and date the SF 278 and send written notice of that 
action to the person.
    (2) If steps assuring compliance with applicable laws and 
regulations are not taken by the date established, the General Counsel, 
DLA shall report the matter to the Director, DLA for appropriate action. 
The Office of Government Ethics and the Attorney General shall also be 
notified.
    3. Remedial action may include the following measures:
    a. Disqualification.
    b. Limitation of duties.
    c. Divestiture.
    d. Transfer or reassignment.
    e. Resignation.
    f. Exemption under 18 U.S.C. 208.
    g. Establishment of a qualified blind trust.

                    V. Public Availability of SFs 278

    A. SFs 278 must be made available for public examination upon 
request 15 days after the report is filed unless otherwise exempted 
pursuant to law. Receipt of the report by the General Counsel, DLA for 
final review constitutes official filing and establishes the date from 
which the 15 days shall run. In most cases, this means the reports are 
available to the public before final review is completed. Reporting 
persons are personally responsible for ensuring that their reports are 
accurate, complete, and timely.
    B. Any request for an SF 278 must be in writing and state:
    1. The person's name, occupation, and address.
    2. The name and address of any other person or organization on whose 
behalf the inspection or copy is requested.
    3. That the person is aware that it is unlawful to obtain or use the 
report for:
    a. Any unlawful purpose.
    b. Any commercial purpose, other than by news and communications 
media for dissemination to the general public.
    c. Determining or establishing the credit rating of any individual.
    d. Use, directly or indirectly, in the solicitation of money for any 
political, charitable, or other purpose.

                        VI. Retention of SFs 278

    SFs 278 shall be retained for 6 years from the date of filing.

                             VII. Penalties

    Compliance with the financial disclosure provisions shall be 
enforced by adminstrative, civil, or criminal remedies, which include:

                   A. Action Within the DoD Component

    The Director, DLA may take appropriate action, including a change in 
assigned duties or adverse action, in accordance with applicable law or 
regulation, against any person who fails to file an SF 278, or who 
falsifies or fails to report required information.

                    B. Action by the Attorney General

    The General Counsel, DLA is required to refer to the Attorney 
General the name of any person whom he or she has reasonable cause to 
believe has failed willfully to file an SF 278 on time or has falsified 
or failed willfully to file information required to be reported. Such 
referral does not bar additional administrative or judicial enforcement. 
The Attorney General may bring a civil action in the U.S. District 
Courts against any person who knowingly and willfully falsifies or fails 
to file or report any required information. The court may assess a civil 
penalty not to exceed $5,000. Knowing or willful falsification of 
information required to be filed also may result in criminal prosecution 
under 18 U.S.C. 1001, leading to a fine of not more than $10,000, or 
imprisonment for not more than 5 years, or both.

                          C. Misuse of Reports

    1. The Attorney General may bring a civil action against a person 
who obtains or uses an SF 278 filed under the Ethics in Government Act 
for any of the following reasons:
    a. Any unlawful purpose.

[[Page 305]]

    b. Any commercial purpose, other than by news and communications 
media for dissemination to the general public.
    c. Determining or establishing the credit rating of any individual.
    d. Directly or indirectly, for the solicitation of money for any 
political, charitable, or other purpose.
    2. The court in which such action is brought may assess a penalty in 
any amount not to exceed $5,000. This is in addition to any other legal 
remedy available.

 Appendix E tp Part 1293--Requirements for Submission of DD Form 1555, 
            Statement of Affiliations and Financial Interests

             I. DLA Personnel Required To Submit Statements

    A. DLA personnel required to file Statements of Affiliations and 
Financial Interests (DD Forms 1555) are those indicated in 
Sec. 1293.7(d)(2).
    B. Special Government Employees (as defined in Sec. 1293.4(i)).
    1. Special Government employees, including Reserve military officers 
assigned to positions requiring the submission of a DD Form 1555 shall 
file a DD Form 1555 prior to performing the duties of the position.
    2. The following categories of special Government employees are not 
required to file DD Forms 1555 unless they are specifically notified 
that they must do so:
    a. Physicians, dentists, and allied medical specialists engaged only 
in providing service to patients.
    b. Veterinarians providing only veterinary services.
    c. Lecturers participating only in educational activities.
    d. Chaplains performing only religious services.
    e. Individuals in the motion picture and television fields who are 
utilized only as narrators or actors in DLA productions.
    f. A special Government employee who is not a ``consultant'' or 
``expert'' as those terms are defined in the Federal Personnel Manual, 
chapter 304.

                         II. Review of Positions

    Immediate supervisors shall annually review each civilian and 
military position under their supervision, determine whether the 
position requires the incumbent to file a DD Form 1555, and will notify 
each employee of the determination. The position description of each 
position shall state whether or not the incumbent must file a DD Form 
1555. Any individual may request a review of the determination requiring 
submission of a DD Form 1555 from the Deputy Ethics Official. In the 
event the employee is dissatisfied with this decision, there is an 
appeal right to the Designated Agency Ethics Official, whose decision 
shall be final.

                        III. Manner of Submission

                          A. Time of Submission

    1. Employees will file a DD Form 1555 for review and approval prior 
to performing the duties of a position that requires filing of a DD Form 
1555. Reserve Officers shall file the form upon reporting for duty. If 
an employee has filed a DD Form 1555 by virtue of a previous position, a 
copy of the previously submitted form may be submitted to the new 
supervisor for review rather than filing a new DD Form 1555.
    2. DD Forms 1555 shall annually be filed by 31 October each year for 
all affiliations and financial interests as of the 30th of September of 
that year. Even if no changes occur from the previous year, a new and 
complete DD Form 1555 is required to be filed each year.
    3. Excusable Delay. When required by reason of duty assignment or 
infirmity, a supervisor may grant an extension of time with concurrence 
of the DAEO or Deputy Ethics Official. Any extension in excess of 30 
days requires the concurrence of the Designated Agency Ethics Official. 
Any late DD Forms 1555 shall include appropriate notation of any 
extension of time granted hereunder.

                          B. To Whom Submitted

    1. HQ DLA. a. Heads of PSEs required to file DD Forms 1555 will 
submit them through the General Counsel, DLA to the Director, DLA.
    b. Deputy Heads of PSEs required to file DD Forms 1555 will submit 
them to the Head of the PSE for review and evaluation. After resolution 
of any conflict, the DD Forms 1555 will be forwarded to the General 
Counsel, DLA.
    c. Other officers and employees of HQ DLA, and their management 
support activities, will submit DD Forms 1555 to their immediate 
supervisor for review and evaluation. Upon completion of their review 
and resolution of any conflicts, supervisors will forward the DD Forms 
1555 to the General Counsel, DLA.
    2. Field activities with assigned DLA Counsel. a. Heads of PLFAs 
required to file DD Forms 1555 will submit them through the General 
Counsel, DLA to the Director, DLA.
    b. Deputy Heads of PLFAs required to file DD Forms 1555 will submit 
them to their immediate supervisors for review and evaluation. After 
resolution of any conflict, the forms will be submitted to the General 
Counsel, DLA.
    c. Other officers and employees of PLFAs or subordinate activities 
required to file DD Forms 1555 will submit them to their immediate 
supervisors for review and evaluation. After resolution of any conflict, 
the forms

[[Page 306]]

will be forwarded to the appropriate Deputy Ethics Official.
    d. Counsel for PLFAs will submit DD Forms 1555 to the Head of the 
PLFA for review and evaluation. After resolution of any conflict, the 
forms will be forwarded to the General Counsel, DLA.
    e. Heads of DLA activities subordinate to PLFAs, when required to 
file DD Forms 1555, will submit the forms to the Head of the PLFA, who 
will review and evaluate, and forward to the appropriate Deputy Ethics 
Official after resolution of any conflict.
    f. Counsel for DLA activities subordinate to a PLFA will submit DD 
Forms 1555 to the activity Head for review, evaluation, and resolution 
of any conflict. The forms will be forwarded to the Counsel of the PLFA.
    3. Management Support Activities. a. Heads of Management Support 
Activities will submit DD Forms 1555 to their immediate supervisors for 
review and evaluation. After resolution of any conflict, the forms will 
be submitted to the General Counsel, DLA.
    b. Other officers and employees of Management Support Activities 
will submit them to their immediate supervisors for review and 
evaluation. After resolution of any conflict, the forms will be 
forwarded to the Deputy Ethics Official of the PLFA providing personnel 
services to the Management Support Activity.
    4. Detailed employees. Agreements with other DoD Components and 
Government agencies shall contain a requirement that the other Component 
agency shall, within 60 days, forward to the General Counsel, DLA a copy 
of the detailed individual's DD Form 1555, if required, and notice 
concerning the disposition of any conflict or apparent conflict of 
interest indicated.

                          C. Content of Report

    1. Instructions for completing the DD Form 1555 are included as a 
part of the form. Additional guidance may be obtained from the 
Designated Agency Ethics Official or Deputy Ethics Official.
    2. The interest of a spouse, minor child, or any member of the 
employee's household shall be reported as if it were the interest of the 
employee. The interests of a spouse need not be reported if the employee 
and spouse have:
    a. A final decree of separation,
    b. An interim or interlocutory decree, or
    c. A separation agreement formally executed by the employee and 
spouse in anticipation of its incorporation into a final decree of 
divorce or separation.
    3. DLA personnel are not required to submit on a DD Form 1555 any 
information relating to their connection with or interest in a 
professional society or a charitable, religious, social, fraternal, 
recreational, public service, civic, or political organization, or a 
similar organization not conducted as a business for profit. However, 
educational or other institutions doing research and development or 
related work involving grants of money or contracts with the Government 
must be reported.
    4. Ownership of personal savings or checking accounts in financial 
institutions, shares in credit unions or savings and loan associations, 
life or property insurance policies and shares in widely held 
diversified mutual funds or regulated investment companies need not be 
reported.
    5. An employee need not disclose the assets of, sources of income 
of, or transactions of, a trust if:
    a. The trust is a qualified blind or qualified diversified trust 
certified by the Office of Government Ethics and is otherwise reported 
on the DD Form 1555 by name of trust and date of execution, or
    b. The trust is an ``excepted'' trust, defined as follows:
    (1) A trust that was not created by the DLA employee, or the 
employee's spouse, or dependent child:
    (2) A trust that consists of withholdings or sources of income of 
which the officer or employee, or spouse, or dependent child have no 
knowledge, and
    (3) Which is disclosed as an asset or income source on the report.
    6. DLA personnel shall request submission on their behalf of 
required information known only to other persons; for example, holdings 
of spouse or other members of the household, executor of any estate, or 
trustee. The submissions may be made with a request for confidentiality 
that will be honored even if it includes a limitation on disclosure to 
the DLA employee concerned.
    D. Confidentiality of DD Forms 1555 of DLA personnel. Each DD Form 
1555 shall be held in confidence. Information from a DD Form 1555 may 
not be disclosed except as the Designated Agency Ethics Official or the 
Office of Government Ethics may determine for good cause. Persons 
designated to review the DD Forms 1555 are responsible for maintaining 
the statements in confidence and shall not allow access to or disclosure 
from the DD Forms 1555 except to carry out the purpose of part 1293.
    E. Effect of statements on other requirements. The DD Form 1555 
required of DLA personnel is in addition to, and not in substitution 
for, any similar requirement imposed by statute, Executive Order, or 
regulation. Submission of a DD Form 1555 does not permit DLA personnel 
to participate in matters in which their participation is prohibited by 
statute, Executive Order, or regulation.
    F. Review of DD Forms 1555. 1. The filing employee's immediate 
supervisor reviews the DD Form 1555 to evaluate whether there is a 
conflict or apparent conflict between the employee's private financial 
interests and his or her official responsibilities. The immediate

[[Page 307]]

supervisor records the results of the evaluation in block 13. Heads of 
PSEs and PLFAs will perform the initial review of their deputies' DD 
Forms 1555 before forwarding them to the General Counsel, DLA. Heads of 
PLFAs perform the initial review of the PLFA Counsel's forms. After 
review and completion of the supervisor's statement, the DD Form 1555 
should be forwarded to the Designated Agency Ethics Official or Deputy 
Ethics Official, as appropriate, for final review and filing.
    2. DD Forms 1555 shall be reviewed to assure that:
    a. Each item is completed, and
    b. No interest or position disclosed on the form violates or appears 
to violate any of the following:
    (1) Any applicable provision of chapter 11 of title 18 of the United 
States Code (part 1).
    (2) The ``Ethics in Government Act of 1978,'' as amended, and any 
regulations promulgated thereunder.
    (3) Executive Order 11222 as amended, and any regulations 
promulgated thereunder.
    (4) Any other related statute or regulation applicable to the 
employees of the agency.
    3. The supervisor need not audit the report to ascertain whether the 
disclosures are correct; disclosures are to be taken at ``face value'' 
unless there is a patent omission or ambiguity or the official has 
independent knowledge of matters outside the report. The supervisor's 
signature shall signify that he or she has found that the information in 
the report discloses no conflict of interest under applicable laws and 
regulations and that the report fulfills the requirements set out in 
IIIF2, above.
    4. If the supervisor believes that additional information is 
required, the reporting individual shall be notified of the additional 
information required and the date by which it must be submitted.
    5. Whenever the supervisor's review of a DD Form 1555 discloses a 
conflict or an apparent conflict of interest, the employee concerned 
will be given an opportunity to explain the conflict or apparent 
conflict to the immediate supervisor. Resolution of a conflict or 
apparent conflict will be made under Sec. 1293.7(b). If the conflict or 
apparent conflict cannot be resolved by the supervisor, it will be 
forwarded, along with a copy of the employee's current position 
description, to the Designated Agency Ethics Official or Deputy Ethics 
Official, as appropriate, for resolution.
    6. If the supervisor concludes that the report is completed properly 
and that no item violates, or appears to violate, applicable statute or 
regulation, then such official shall sign and date the report.
    G. Remedial action.
    1. Whenever the designated Agency Ethics Official or Deputy Ethics 
Official concludes that the filing individual is not in compliance with 
applicable laws or regulations, the Designated Agency Ethics Official or 
Deputy Ethics Official shall do the following:
    a. Notify the reporting individual of the preliminary determination.
    b. Afford the reporting individual an opportunity for personal 
consultation, if practicable.
    c. Determine what remedial action should be taken to bring the 
reporting individual into compliance.
    d. Notify the reporting individual of the remedial action required, 
indicating a date by which that action must be taken.
    2. Except in unusual situations, which must be documented fully to 
the satisfaction of the appropriate ethics official, remedial action 
shall be completed within 90 days from the date the reporting individual 
was notified that the action is required.
    3. Remedial action includes any of the following measures:
    a. Disqualification.
    b. Limitation of duties.
    c. Divestiture.
    d. Transfer or reassignment.
    e. Resignation.
    f. Exemption under 18 U.S.C. 208.
    g. Establishment of a qualified blind trust.
    4. When the ethics official determines that a reporting person has 
complied fully with the remedial measures, a notation to that effect 
shall be made in the comment section of the DD Form 1555. The ethics 
official then shall sign and date the form and send written notice of 
that action to the reporting individual.
    5. If steps ensuring compliance with applicable laws and regulation 
are not taken by the date established, the ethics official shall report 
the matter to the General Counsel, DLA for appropriate action.
    H. Retention of statements. DD Forms 1555 shall be retained for 6 
years from the date of filing.
    I. Penalties--1. Administratives penalties. Any individual failing 
to file a report or falsifying or failing to file required information, 
may be subject to any appropriate personnel or other action in 
accordance with applicable law or regulation, including adverse action.
    2. Criminal liability. Any individual who knowingly or willfully 
falsifies information on a report required to be filed under this 
enclosure also may be subject to criminal prosecution under 18 U.S.C. 
1001.

   Appendix F to Part 1293--Reporting Procedures for DoD and Defense 
                           Related Employment

                      I. Personnel Required To File

    The following military officers and civilian employees are required 
to file a Report of

[[Page 308]]

DoD and Defense Related Employment (DD Form 1787):
    A. A retired military officer who served on active duty at least 10 
years and who held, for any period during that service, the pay grade of 
O-4 or above, or a former civilian employee whose pay rate at any time 
during the 3-year period prior to the end of DoD employment was equal to 
or greater than the minimum rate for a GS-13 (GS-12, step 7), and who:
    1. Within the 2-year period immediately following the termination of 
service or employment with a DoD Component, is employed by a defense 
contractor who, during the year before the former officer or employee 
began employment, was awarded $10,000,000 or more in defense contracts; 
and
    2. Is employed by or performs services for the defense contractor 
and at any time during a year directly receives compensation of or is 
salaried at a rate of $25,000 per year or more from the defense 
contractor (compensation is received by a person if it is paid to a 
business entity with which the person is affiliated in exchange for 
services rendered by that person).
    B. Each civilian employee of a DoD Component who:
    1. Is employed at a pay rate equal to or greater than the minimum 
rate for GS-13 (GS-12, step 7),
    2. Within the 2-year period prior to the effective date of service 
or employment with the DoD Component, was employed by a defense 
contractor who, during a year, was awarded $10,000,000 or more in 
defense contracts, and
    3. Was employed by or performed services for the defense contractor 
and at any time during that year received compensation from or was 
salaried at a rate of $25,000 per year or more at any time during 
employment (compensation is received by a person if it is paid to a 
business entity with which the person is affiliated in exchange for 
services rendered by the person).

                          II. Content of Report

    Instructions for completing DD Forms 1787 are included as part of 
the form. A DD Form 1787 appears at the end of this appendix. Additional 
guidance for personnel required to file is available from the Designated 
Agency Ethics Official (DAEO) or Deputy Ethics Official.

                  III. Submission and Review of Reports

                            A. Time of Filing

    1. Current military officers and civilian employees shall file a DD 
Form 1787 within 30 days after entering employment or service with any 
DoD Component.
    2. Former officers and employees shall file an initial report within 
90 days after the date on which the individual began employment with the 
defense contractor.
    3. Former officers and employees shall file subsequent reports each 
time, during the 2-year period after service or employment with the DoD 
Component ended, that the person's duties with the defense contractor 
significantly changes or the person begins employment with another 
defense contractor. Such reports shall be filed within 30 days after the 
date of the change.

                              B. Submission

    1. Civilians shall submit their reports to the General Counsel, DLA
    2. Former military officers shall submit their report in accordance 
with the procedures set forth in the following:
    a. Army-- AR 600-50, Standards of Conduct for Department of the Army 
personnel.
    b. Navy--SECNAVINST 5314.5A, Reporting Procedures on Defense Related 
Employment.
    c. Air Force-- AFR 30-14, Procedures for Reporting on Defense 
Related Employment.
    3. The General Counsel, DLA shall review DD Forms 1787 to assure 
that:
    a. Each item is completed, and
    b. No interest or position disclosed on the form violates or appears 
to violate the following:
    (1) Any applicable provision of chapter 11 of title 18 U.S.C. (part 
1).
    (2) The ``Ethics in Government Act of 1978,'' as amended, and any 
regulations promulgated thereunder.
    (3) E.O. 11222 as amended, and any regulations promulgated 
thereunder.
    (4) Any other related statute or regulation applicable to the 
employees of DLA.
    4. The reports need not be audited to ascertain whether the 
disclosures are correct; disclosures are to be taken at ``face value'' 
unless there is a patent omission or ambiguity or the General Counsel, 
DLA has independent knowledge of matters outside the report.
    5. If the General Counsel, DLA believes that additional information 
is required, the reporting individual shall be notified of the 
additional information required and the date by which it must be 
submitted. The reporting individual shall submit the required 
information directly to the General Counsel, DLA.
    6. If the General Counsel, DLA concludes that the report is 
completed properly and that no item violates, or appears to violate, 
applicable statute or regulation, then the reports shall be signed and 
dated.

                           IV. Remedial Action

    A. If the General Counsel, DLA concludes that the filing individual 
is not in compliance with applicable laws or regulations, he shall:

[[Page 309]]

    1. Notify the reporting individual in writing of the preliminary 
determination;
    2. Afford the reporting individual an opportunity for personal 
consultation, if practicable;
    3. Determine what remedial action should be taken to bring the 
reporting individual into compliance; and
    4. Notify the reporting individual in writing of the remedial action 
required, indicating a date by which that action must be taken.
    B. Except in unusual situations, which must be fully documented to 
the satisfaction of the General Counsel, DLA, remedial action shall be 
completed within 90 days from the date the reporting individual was 
notified that the action is required.
    C. Remedial steps may include the following measures:

    1. Disqualification.
    2. Limitation of duties.
    3. Divestiture.
    4. Transfer or reassignment.
    5. Resignation.
    6. Exemption under 18 U.S.C. 208(b).
    7. Establishment of a qualified blind trust.

    D. When the General Counsel, DLA determines that a reporting person 
has fully complied with the remedial measures, a notation to that effect 
shall be made in the comment section of the DD Form 1787. The General 
Counsel, DLA shall then sign and date the DD Form 1787 and send written 
notice of that action to the reporting individual.
    E. If steps assuring compliance with applicable laws and regulations 
are not taken by the date established, appropriate remedial action shall 
be instituted. The Office of Government Ethics shall be notified of the 
remedial action taken.

                    V. Public Availability of Reports

    DD Forms 1787 must be made available for public examination upon 
request 15 days after the report is filed unless otherwise exempted 
pursuant to law. Receipt of the report for final review constitutes 
official filing and establishes the date from which the 15 days shall 
run. In most cases, this means the reports are available to the public 
before final review is completed. Reporting persons are personally 
responsible for ensuring that their reports are accurate, complete, and 
timely.

                        VI. Retention of Reports

    DD Forms 1787 shall be retained for 6 years from the date of filing.

                             VII. Penalties

                       A. Administrative penalties

    Any individual failing to file a report or falsifying or failing to 
file required information, may be subject to any appropriate personnel 
or other action in accordance with applicable law or regulation, 
including adverse action. Administrative penalty of up to $10,000 may 
also be imposed.

                          B. Criminal Liability

    Any individual who knowingly or willfully falsifies information on a 
report required to be filed under this subpart may be also be subject to 
criminal prosecution under 18 U.S.C. 1001.

            Appendix G--Administrative Enforcement Provisions

                       I. Applicability and Scope

    A. These provisions shall apply to all DLA Activities.
    B. This appendix is adopted pursuant to 18 U.S.C. 207 and 10 U.S.C. 
2397, 2397a, and 2397c which require the Department of Defense to 
develop administrative procedures for the review and disposition of 
reported violations of post employment restrictions and reporting 
requirements.
    C. The procedures set forth in this appendix may be used, at the 
discretion of the General Counsel, DLA, to accomplish administrative 
enforcement of all statutes and regulations which would require or allow 
their use.

                               II. Policy

                  A. Administrative Procedure Act (APA)

    In cases in which an APA hearing is required by statute, APA rules 
shall be used.

                          B. Rules of Evidence

    In the discretion of the hearing examiner, the rules of evidence may 
be relaxed from those established in the Federal Rules of Evidence. 
Evidence must be relevant and material to be considered.

                           C. Burden of Proof

    The DLA bears the burden of proof. A violation must be established 
by substantial evidence.

                        D. Protection of Privacy

    The privacy of suspected individuals or entities shall be protected 
by safeguarding information concerning allegations and evidence, 
especially before initiation of administrative disciplinary action.

                    E. Reporting Suspected Violations

    1. If any DLA officer or employee has reason to suspect that an 
individual or entity has violated a statute or regulation referred to in 
part 1293 the suspicion shall be reported immediately to the General 
Counsel, DLA or to the Counsel of the PLFA affected.

[[Page 310]]

    2. If other individuals have reason to suspect that an individual or 
entity has violated a statute or regulation, the suspicion may be 
reported to any DoD officer or employee.

                          III. Responsibilities

    A. The General Counsel, DLA, shall:
    1. Administer the provisions of this appendix.
    2. Receive reports of alleged violations from the Inspector General, 
Department of Defense (IG, DoD).
    3. Receive memoranda of results of preliminary investigations from 
the IG, DoD.
    4. Review copies of reports and memoranda from the IG, DoD, to 
determine if it is reasonable to believe there may have been a 
violation.
    5. Provide copies of reports and memoranda regarding cases where it 
is reasonable to believe there may have been a violation, to the 
Director, Office of Government Ethics (OGE).
    6. Provide copies of reports and memoranda regarding cases where it 
is reasonable to believe there may have been a violation, to the 
Criminal Division, Department of Justice (DoJ).
    7. Coordinate investigations and administrative disciplinary actions 
with the DoJ Criminal Divisions, unless DoJ advises that criminal 
proceedings will not be pursued.
    8. Initiate administrative disciplinary action, in cases where it is 
reasonable to believe there may have been a violation, by providing the 
suspected individual or entity with notice as described in IVB, below.
    9. Request the Heads of DLA PLFAs or PSEs in which the case arose to 
appoint a Government representative to present evidence of violations.
    10. In cases not subject to the APA, appoint a hearing examiner.
    11. Receive written appeals from suspected individuals or entities.
    12. Make appeal decisions, when appeals are timely submitted, after 
reviewing the findings of facts and decision of the hearing examiner and 
the appeal.
    13. Impose administrative disciplinary sanctions when applicable.
    14. Mail copies of appeal decisions and/or any sanctions to be 
imposed to the suspected individuals of entities along with statements 
notifying of the right to seek judicial review of administrative 
decisions.
    15. Submit written reports of suspected violations, when the 
information regarding the violations is not frivolous, directly to the 
IG, DoD, and not through ordinary DoD Component channels.
    B. The Hearing Examiner shall:
    1. Hear each case in accordance with the hearing procedures 
specified in subparagraph 4, of this section IV.
    2. Make a written report of all findings of fact and conclusions of 
law, including mitigating factors.
    3. Make a written decision and recommendation of administrative 
disciplinary sanctions to be imposed.
    4. Submit the report, the decision, and any recommendations to the 
General Counsel, DLA through the Head of the cognizant PLFA or PSE.
    5. Mail a copy of the report, the decision, and any recommendations 
to the suspected individual and General Counsel, DLA.

                             IV. Procedures

           A. Initiation of Administrative Disciplinary Action

    1. Administrative disciplinary actions are initiated by providing 
suspected individuals or entities with notice of the report of a 
violation and notice of the intention to begin administrative 
disciplinary proceedings at least 20 calendar days prior to the 
beginning of such proceedings.
    2. When hearings are required by statute, a hearing shall be 
conducted before imposition of administrative disciplinary sanctions 
unless the suspected individual or entity waives the hearing in writing 
in accordance with subparagraphs D2c and d, of this section IV.
    3. When hearings are not required by statute, a hearing may be 
requested in writing by the suspected individual or entity in accordance 
with subparagraphs D2e and f, of this section IV.

                          B. Content of Notice

    Notice to initiate administrative disciplinary proceedings shall 
include the following:
    1. A statement of allegations, and the basis thereof, sufficiently 
detailed to enable the suspected individual or entity to prepare an 
adequate defense.
    2. Notification of the right to a hearing when a hearing is required 
by statute.
    3. The procedure for waiving the right to appear at the hearing when 
a hearing is required by statute.
    4. A copy of a written waiver that shall include a statement that 
the signer understands that the signer has the right to appear at a 
hearing and that administrative disciplinary sanctions may be imposed 
even if the signer does not appear at a hearing.
    5. When a hearing is not required by statute, a statement to the 
effect that if the suspected individual or entity fails to request such 
a hearing in writing, the DLA may initiate administrative disciplinary 
action which may result in imposition of administrative disciplinary 
sanctions.
    6. The procedure for requesting a hearing when a hearing is not 
required by statute.

[[Page 311]]

    7. Notice that the failure to appear at a scheduled hearing shall 
constitute a constructive waiver of the right to appear at the hearing.
    8. The date, time, and place of a scheduled hearing; however, 
suspected individuals or entities shall be scheduled to appear for 
hearings in the Federal judicial district in which the individual or 
entity resides or in the Federal judicial district in which the alleged 
violation occurred.
    9. A statement of hearing rights in accordance with subparagraph D 
of this section IV.
    10. A copy of these Administrative Enforcement Provisions.

                          C. Hearing Examiners

    1. Hearing examiners shall be attorneys with not less than 3 years 
experience in the practice of law subsequent to admission to the bar.
    2. A hearing examiner shall be impartial. An individual who has 
participated in the decisions to initiate proceedings shall not serve as 
a hearing examiner in those proceedings.
    3. In cases not subject to the APA, the General Counsel, DLA, shall 
appoint a hearing examiner.
    4. In cases subject to the APA, Administrative Law Judges (ALJ) 
shall be used as hearing examiners. The General Counsel, DLA, shall 
forward a written request to the office of Administrative Law Judges, 
Office of Personnel Management. (See 5 U.S.C. 3344.) The request shall 
contain the following:
    a. The requisite authority requiring an APA hearing for the 
particular statutory violation.
    b. The status of the case.
    c. The tentative hearing data.
    d. The point of contact within the DLA.
    e. An acknowledgment that the request is being made on a 
reimbursable, intermittent basis.

                               D. Hearings

    1. The hearing examiner shall have the power to do the following:
    a. Administer oaths and affirmations.
    b. Issue subpoenas authorized by law.
    c. Rule on offers of proof and recieve relevant evidence.
    d. Take depositions or have depositions taken when justice shall be 
served.
    e. Regulate the course of the hearing.
    f. Hold conferences for the settlement or simplification of the 
issues by comment from the suspected individual or entity and the 
Government representative.
    g. Dispose of procedural requests or similar matters.
    h. Make decisions, in writing, on the merits of the particular case, 
as well as written recommendations of administrative disciplinary 
sanctions.
    2. Suspected individuals and entities shall have hearing rights 
which include the following:
    a. The right to self representation, or to be represented by 
counsel.
    b. The right to introduce evidence and witnesses and the right to 
examine adverse witnesses.
    c. The right to stipulate to facts.
    d. The right to present oral argument.
    e. The right to receive a transcript or recording of the proceedings 
upon request.
    f. Additional rights that may be in the Administrative Procedure 
Act, if applicable.
    3. Before the hearing examiner makes a decision, or the General 
Counsel, DLA, makes an appeal decision, the suspected individual or 
entity and the Government representative may submit the following 
material for consideration:
    a. Proposed findings and conclusions.
    b. Exceptions to the decisions of the hearing examiner, or to the 
tentative decisions of the GC, OSD.
    c. Supporting reasons for the exceptions or proposed findings or 
conclusions.
    4. The record shall reflect the ruling on each finding, conclusion, 
or exception. All decisions by the hearing examiner or the General 
Counsel, DLA, shall be a part of the record, along with the reasons and 
basis for such findings and decisions.

                               E. Appeals

    1. Within 20 days following the date on the report and 
recommendations from the hearing examiner, the suspected individual or 
entity may file an appeal with the General Counsel, DLA. An appeal shall 
be in writing, and shall set forth all errors of act, law, or both, 
together with the reasons, alleged to exist in the report from the 
hearing examiner.
    2. Extensions of time to file an appeal may be granted at the 
discretion of the General Counsel, DLA, upon receipt of written request 
for an extension from the individual or entity concerned.
    3. The General Counsel, DLA shall make a written appeal decision if 
any appeal is submitted timely, after reviewing the report of findings 
of facts, the decision, and recommendations from the hearing examiner.
    4. If the appeal decision is not in accordance with the report of 
findings of facts, the decision, or recommendations from the hearing 
examiner, the reasons shall be specified.
    5. The decision of the General Counsel, DLA, shall be the final 
administrative determination. The appeal decision shall be mailed to the 
suspected individual or entity along with a statement, if applicable, 
that the individual or entity may seek judicial review of the 
administrative determinations.

[[Page 312]]

                       F. Administrative Sanctions

    1. The General Counsel, DLA, may take appropriate disciplinary 
action when indicated by the outcome of a case involving a violation of 
18 U.S.C. 207 by:
    a. Prohibiting the individual or entity from making on behalf of any 
other person except the United States, any formal or informal appearance 
before, or any oral or written communication with the intent to 
influence, to the Department of Defense, its officers or employees, on 
any matter of business for a period not to exceed 5 years. This may be 
enforced by directing DoD officers and employees to refuse to 
participate in any such appearance, or to accept any such communication.
    b. Barring the individual or entity from employment by the 
Department of Defense for a period not to exceed 5 years.
    2. The General Counsel, DLA, may take appropriate disciplinary 
action whenever indicated by the outcome of a case involving violations 
of 10 U.S.C. 2397, 2397a, or 2397c by:
    a. Imposing and administrative penalty, not to exceed $10,000.
    b. With respect to violations of 10 U.S.C. 2397a, imposing an 
additional administrative penalty of a particular amount if the 
individual is determined to have accepted or continued employment with a 
defense contractor during the 10-year period beginning with the date of 
separation from Government service.
    3. The General Counsel, DLA, may take other appropriate disciplinary 
action when indicated by the outcome of a case in accordance with the 
laws or regulations violated.

                           G. Judicial Review

    Any individual or entity found in violation as described, and 
against whom an administrative sanction is imposed, may seek judicial 
review of the final administrative determination.

[[Page 313]]



                  CHAPTER XVI--SELECTIVE SERVICE SYSTEM




  --------------------------------------------------------------------
Part                                                                Page
1600-1601

[Reserved]

1602            Definitions.................................         315
1605            Selective Service System organization.......         316
1609            Uncompensated personnel.....................         322
1615            Administration of registration..............         323
1618            Notice to registrants.......................         324
1621            Duty of registrants.........................         325
1624            Inductions..................................         325
1627            Volunteers for induction....................         329
1630            Classification rules........................         330
1633            Administration of classification............         336
1636            Classification of conscientious objectors...         338
1639            Classification of registrants preparing for 
                    the Ministry............................         342
1642            Classification of registrants deferred 
                    because of hardship to dependents.......         344
1645            Classification of ministers of religion.....         346
1648            Classification by local board...............         348
1651            Classification by District Appeal Board.....         350
1653            Appeal to the President.....................         352
1656            Alternative service.........................         354
1657            Overseas registrant processing..............         363
1659            Extraordinary expenses of registrants.......         364
1662            Freedom of Information Act (FOIA) procedures         365
1665            Privacy Act procedures......................         369
1690

[Reserved]

1697            Salary offset...............................         374
1698            Advisory opinions...........................         378
1699            Enforcement of Nondiscrimination on the 
                    Basis of Handicap in Programs or 
                    Activities Conducted by Selective 
                    Service System..........................         379

Cross References: Regulation governing standards for discharge under the 
  Selective Service Act of 1948: See part 41 of this title.

[[Page 315]]

                       PARTS 1600-1601 [RESERVED]



PART 1602--DEFINITIONS--Table of Contents




Sec.
1602.1  Definitions to govern.
1602.2  Administrative classification.
1602.3  Aliens and nationals.
1602.4  Area office.
1602.5  Area office staff.
1602.6  Board.
1602.7  Classification.
1602.8  Classifying authority.
1602.9  Computation of time.
1602.10  County.
1602.11  District appeal board.
1602.12  Governor.
1602.13  Judgmental Classification.
1602.14  Local board.
1602.15  Local board of jurisdiction.
1602.16  MEPS.
1602.17  Military service.
1602.18  National Appeal Board.
1602.19  Numbers.
1602.20  Registrant.
1602.21  Selective Service Law.
1602.22  Singular and plural.
1602.23  State.
1602.24  Claim.
1602.25  Director.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 42 FR 4643, Feb. 1, 1982, unless otherwise noted.



Sec. 1602.1  Definitions to govern.

    The definitions contained in section 16 of the Military Selective 
Service Act, and the definitions contained in this part shall govern in 
the interpretation of the regulations of this chapter.



Sec. 1602.2  Administrative classification.

    A reclassification action relating to a registrant's claim for Class 
1-C, 1-D-D, 1-D-E, 1-H, 1-O-S, 1-W, 3-A-S, 4-A-A, 4-A, 4-B, 4-C, 4-F, 4-
G, 4-T, or 4-W. These classes shall be identified as administrative 
classes.

[52 FR 24454, July 1, 1987]



Sec. 1602.3  Aliens and nationals.

    (a) The term alien means any person who is not a citizen or national 
of the United States.
    (b) The term national of the United States means:
    (1) A citizen of the United States, or
    (2) A person, though not a citizen of the United States, who owes 
allegiance to the United States.



Sec. 1602.4  Area office.

    The Selective Service Office which is responsible for all 
administrative and operational support for the one or more local boards 
within its jurisdiction.



Sec. 1602.5  Area office staff.

    The compensated employees, civilian and military, of the Selective 
Service System employed in an area office will be referred to as the 
area office staff.



Sec. 1602.6  Board.

    The word board when used alone, unless the context otherwise 
indicates, includes a local board, district appeal board, and the 
National Appeal Board and panels thereof.



Sec. 1602.7  Classification.

    Classification is the exercise of the power to determine claims or 
questions with respect to inclusion for or exemption or deferment from 
training and service under Selective Service Law.



Sec. 1602.8  Classifying authority.

    The term classifying authority refers to any official or board who 
is authorized in Sec. 1633.1 to classify a registrant.



Sec. 1602.9  Computation of time.

    Unless otherwise specified the period of days allowed a registrant 
or other person to perform any act or duty required of him shall be 
counted as beginning on the day following that on which the notice is 
issued.



Sec. 1602.10  County.

    The word county includes, where applicable, counties, independent 
cities, and similar subdivisions, such as the independent cities of 
Virginia and the parishes of Louisiana.



Sec. 1602.11  District appeal board.

    A district appeal board or a panel thereof of the Selective Service 
System is a group of not less than three civilian members appointed by 
the President to act on cases of registrants in

[[Page 316]]

accord with the provisions of part 1651 of this chapter.

[52 FR 24454, July 1, 1987]



Sec. 1602.12  Governor.

    The word Governor includes, where applicable, the Governor of each 
of the States of the United States, the Mayor of the District of 
Columbia, the Governor of Puerto Rico, the Governor of the Virgin 
Islands, and the Governor of Guam.



Sec. 1602.13  Judgmental Classification.

    A classification action relating to a registrant's claim for Class 
1-A-O, 1-O, 2-D, 3-A, or 4-D.



Sec. 1602.14  Local board.

    A local board or a panel thereof of the Selective Service System is 
a group of not less than three civilian members appointed by the 
President after nomination by a Governor to act on cases of registrants 
in accord with the provisions of part 1648 of this chapter.

[52 FR 24454, July 1, 1987]



Sec. 1602.15  Local board of jurisdiction.

    The local board of jurisdiction is the local board to which a 
registrant is assigned and which has authority, in accord with the 
provisions of this chapter, to determine his claim or to issue to him an 
order. His local board and registrant's local board refer to the local 
board of jurisdiction.

[52 FR 24454, July 1, 1987]



Sec. 1602.16  MEPS.

    A Military Entrance Processing Station is a military installation to 
which registrants are ordered to report for examination or induction.



Sec. 1602.17  Military service.

    The term military service includes service in the Army, the Navy, 
the Air Force, the Marine Corps, and the Coast Guard.



Sec. 1602.18  National Appeal Board.

    The National Appeal Board or a panel thereof of the Selective 
Service System is a group of not less than three civilian members 
appointed by the President to act on cases of registrants in accord with 
the provisions of part 1653 of this chapter.

[52 FR 24454, July 1, 1987]



Sec. 1602.19  Numbers.

    Cardinal numbers may be expressed by Arabic or Roman symbols.



Sec. 1602.20  Registrant.

    A registrant is a person registered under the Selective Service Law.



Sec. 1602.21  Selective Service Law.

    The term Selective Service Law includes the Military Selective 
Service Act, all rules and regulations issued thereunder, and 
Proclamations of the President pertaining to registration under that 
Act.



Sec. 1602.22  Singular and plural.

    Words importing the singular number shall include the plural number, 
and words importing the plural number shall include the singular, except 
where the context clearly indicates otherwise.



Sec. 1602.23  State.

    The word State includes, where applicable, the several States of the 
United States, the City of New York, the District of Columbia, Puerto 
Rico, the Virgin Islands, and Guam.



Sec. 1602.24  Claim.

    A claim is a request for postponement of induction or classification 
into a class other than 1-A.

[52 FR 24454, July 1, 1987]



Sec. 1602.25  Director.

    Director is the Director of Selective Service.

[52 FR 24454, July 1, 1987]



PART 1605--SELECTIVE SERVICE SYSTEM ORGANIZATION--Table of Contents




                         National Administration

Sec.
1605.1  Director of Selective Service.
1605.6  National Appeal Board.

                          Region Administration

1605.7  Region Manager.

[[Page 317]]

1605.8  Staff of Region Headquarters for Selective Service.

                          State Administration

1605.11  Governor.
1605.12  State Director of Selective Service.
1605.13  Staff of State Headquarters for Selective Service.
1605.14  State Director of Selective Service for New York City.

                         District Appeal Boards

1605.21  Area.
1605.22  Composition and appointment of district appeal boards.
1605.23  Designation.
1605.24  Jurisdiction.
1605.25  Disqualification.
1605.26  Organization and meetings.
1605.27  Minutes of meetings.
1605.28  Signing official papers.

                              Local Boards

1605.51  Area.
1605.52  Composition of local boards.
1605.53  Designation.
1605.54  Jurisdiction.
1605.55  Disqualification.
1605.56  Organization and meetings.
1605.58  Minutes of meetings.
1605.59  Signing official papers.

                       Area Office Administration

1605.60  Area.
1605.61  Staff of area offices for selective service.

                              Interpreters

1605.81  Interpreters.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 47 FR 4644, Feb. 1, 1982, unless otherwise noted.

                         National Administration



Sec. 1605.1  Director of Selective Service.

    The Director of Selective Service shall be responsible directly to 
the President. The Director of Selective Service is hereby authorized 
and directed:
    (a) To prescribe such rules and regulations as he shall deem 
necessary for the administration of the Selective Service System, the 
conduct of its officers and employees, the distribution and performance 
of its business, and the custody, use, and preservation of its records, 
papers, and property.
    (b) To issue such public notices, orders, and instructions, as shall 
be necessary for carrying out the functions of the Selective Service 
System.
    (c) To obligate and authorize expenditures from funds appropriated 
for carrying out the functions of the Selective Service System.
    (d) To appoint and to fix, in accordance with provisions of chapter 
51 and subchapter III of chapter 53 of title 5 U.S.C., relating to 
classification and General Schedule pay rates, the compensation of such 
officers, agents, and employees as shall be necessary for carrying out 
the functions of the Selective Service System.
    (e) To procure such space as he may deem necessary for carrying out 
the functions of the Selective Service System by lease pursuant to 
existing statutes.
    (f) To obtain by purchase, loan, or gift such equipment, supplies, 
printing, binding, and blankbook work for the Selective Service System 
as he may deem necessary to carry out the functions of the Selective 
Service System.
    (g) To perform such other duties as shall be required of him under 
the Selective Service Law or which may be delegated to him by the 
President.
    (h) To delegate any of his authority to such officers, agents, or 
persons as he may designate and to provide for the subdelegation of any 
such authority.



Sec. 1605.6  National Appeal Board.

    (a) There is hereby created and established within the Selective 
Service System a civilian agency of appeal which shall be known as the 
National Appeal Board. The President shall appoint not less than three 
members to the National Appeal Board, and he shall designate one member 
as chairman.
    (b) The President shall appoint members of the National Appeal Board 
from among citizens of the United States who:
    (1) Are not active or retired members of the Armed Forces or any 
reserve component thereof;
    (2) Have not served as a member of the National Appeal Board for a 
period of more than five years;
    (3) Are at least 18 years of age;
    (4) Are able to devote sufficient time to duties of the Board; and

[[Page 318]]

    (5) Are willing to fairly and uniformly apply Selective Service Law.
    (c)(1) A majority of the members of the board shall constitute a 
quorum for the transaction of business, and a majority of the members 
present at any meeting at which a quorum is present, shall decide any 
question.
    (2) The National Appeal Board may sit en banc, or upon the request 
of the Director or as determined by the chairman of the National Appeal 
Board, in panels, each panel to consist of at least three members. The 
Chairman of the National Appeal Board shall designate the members of 
each panel and he shall designate one member of each panel as chairman. 
A majority of the members of a panel shall constitute a quorum for the 
transaction of business, and a majority of the members present at any 
meeting at which a quorum is present, shall decide any question. Each 
panel of the National Appeal Board shall have full authority to act on 
all cases assigned to it.
    (3) The National Appeal Board or a panel thereof shall hold meetings 
in Washington, DC, and upon request of the Director or as determined by 
the Chairman of the National Appeal Board, at any other place.
    (d) The National Appeal Board or panel thereof shall classify each 
registrant whose classification has been appealed to the President under 
part 1653 of this chapter.
    (e) No member of the National Appeal Board shall act on the case of 
a registrant who is the member's first cousin or closer relation either 
by blood, marriage, or adoption, or who is the member's employer, 
employee or fellow employee or stands in the relationship of superior or 
subordinate of the member in connection with any employment, or is a 
partner or close business associate of the member, or is a fellow member 
or employee of the National Appeal Board. A member of the National 
Appeal Board must disqualify himself in any matter in which we would be 
restricted for any reason in making an impartial decision.
    (f) Each member of the National Appeal Board while on the business 
of the National Appeal Board away from his home or regular place of 
business shall receive actual travel expenses and per diem in lieu of 
subsistence in accordance with rates established by Federal Travel 
Regulations.
    (g) The Director shall pay the expenses of the members of the 
National Appeal Board in accord with applicable Federal Travel 
Regulations and shall furnish that Board and its panels necessary 
personnel, suitable office space, necessary facilities and services.

[52 FR 8890, Mar. 20, 1987]

                          Region Administration



Sec. 1605.7  Region Manager.

    (a) Subject to the direction and control of the Director of 
Selective Service, the Region Manager of Selective Service for each 
region shall be in immediate charge of the Region Headquarters and shall 
be responsible for carrying out the region functions of the Selective 
Service System in the various States assigned to the region.
    (b) The Region Manager will perform such duties as are prescribed by 
the Director of Selective Service.



Sec. 1605.8  Staff of Region Headquarters for Selective Service.

    (a) Subject to applicable law, and within the limits of available 
funds, the staff of each region for Selective Service shall consist of 
as many officers, either military or civilian, as shall be authorized by 
the Director of Selective Service.
    (b) In accordance with limitations imposed by the Director of 
Selective Service, the Region Manager is authorized to appoint such 
civilian personnel as he considers are required in the operation of the 
Region Headquarters.

                          State Administration



Sec. 1605.11  Governor.

    The Governor is authorized to recommend a person to be appointed by 
the President as State Director of Selective Service for his State, who 
shall represent the Governor in all Selective Service matters.



Sec. 1605.12  State Director of Selective Service.

    (a) The State Director of Selective Service for each State, subject 
to the direction and control of the Director of

[[Page 319]]

Selective Service, shall be in immediate charge of the State 
Headquarters for Selective Service in his State. The State Headquarters 
for Selective Service shall be an office of record for Selective Service 
operations only, and no records other than Selective Service records 
shall be maintained in such office.
    (b) The State Director of Selective Service will perform such duties 
as are prescribed by the Director of Selective Service.



Sec. 1605.13  Staff of State Headquarters for Selective Service.

    (a) Subject to applicable law and within the limits of available 
funds, the staff of each State Headquarters for Selective Service shall 
consist of as many officers, either military or civilian, as shall be 
authorized by the Director of Selective Service.
    (b) In accordance with limitations imposed by the Director of 
Selective Service, the State Director of Selective Service is authorized 
to appoint such civilian personnel as he considers are required in the 
operation of the State Headquarters for Selective Service.



Sec. 1605.14  State Director of Selective Service for New York City.

    The Governor of the State of New York is authorized to recommend a 
person to be appointed by the President as State Director of Selective 
Service for New York City, who shall represent the Governor in all 
Selective Service matters within the City of New York. Subject to the 
direction and control of the Director of Selective Service, the State 
Director of Selective Service for New York City shall be in immediate 
charge of the State Headquarters for Selective Service for New York City 
and shall perform such duties as are prescribed by the Director of 
Selective Service. The State Director of Selective Service for the State 
of New York shall have no jurisdiction in Selective Service matters 
within the City of New York. The State headquarters of Selective Service 
for New York City shall be an office of record for Selective Service 
operations only, and no records other than Selective Service records 
shall be maintained in such office.

                         District Appeal Boards



Sec. 1605.21  Area.

    The Director of Selective Service shall establish one or more 
district appeal boards in each of the Federal Judicial Districts in the 
several states of the United States, the District of Columbia, Guam, 
Puerto Rico, and the Virgin Islands. The Director of Selective Service 
may establish panels of appeal boards.



Sec. 1605.22  Composition and appointment of district appeal boards.

    The Director of Selective Service will prescribe the number of 
members for the district appeal boards. The President shall appoint 
members of district appeal boards from among citizens of the United 
States who are residents of the area for which the respective boards 
have jurisdiction. The Director of Selective Service shall furnish 
necessary personnel, suitable office space, facilities and services to 
support each district appeal board.



Sec. 1605.23  Designation.

    The Director of Selective Service shall assign each district appeal 
board within a Federal Judicial District a specific identification by 
which it shall be known. If a district appeal board consists of more 
than one panel, each panel shall have a specific identifying number. 
Such numbers shall be assigned in numerical sequence beginning with 
numeral 1.



Sec. 1605.24  Jurisdiction.

    The district appeal board shall have jurisdiction to review and to 
affirm or change any local board decision appealed to it when:
    (a) An appeal is submitted by a registrant from a local board in its 
area; or
    (b) An appeal is submitted to it from a local board not in the 
appeal board area by a registrant whose principal place of employment or 
residence is located within the jurisdiction of the appeal board; or
    (c) An appeal is submitted or transferred to it by the Director of 
Selective Service to assure the fair and equitable administration of the 
Law.

[[Page 320]]



Sec. 1605.25  Disqualification.

    (a) No member of a district appeal board shall act on the case of a 
registrant who is the member's first cousin or closer relation, either 
by blood, marriage, or adoption, or who is the member's employer, 
employee, or fellow employee, or stands in the relationship of superior 
or subordinate of the member in connection with any employment, or is a 
partner or close business associate of the member, or is a fellow member 
or employee of the board.
    (b) A member of a district appeal board must disqualify himself in 
any matter in which he would be restricted for any reason in making an 
impartial decision.
    (c) Whenever a quorum of the district appeal board or a panel 
thereof cannot act on the case of a registrant that it has been 
assigned, and there is no other panel of the district appeal board to 
which the case may be transferred, the district appeal board shall 
transmit such case to the director of Selective Service for transfer to 
another district appeal board.



Sec. 1605.26  Organization and meetings.

    Each district appeal board, or panel thereof, shall elect a chairman 
and a vice-chairman at least every two years. A majority of the members 
of the board when present at any meeting shall constitute a quorum for 
the transaction of business. A majority of the members present at any 
meeting at which a quorum is present shall decide any question. Every 
member, unless disqualified, shall vote on every question or 
classification. In case of a tie vote on a question or classification, 
the board shall postpone action until the next meeting. If the question 
or classification remains unresolved at the next meeting, the file will 
be transferred for classification in accord with Sec. 1605.25(c). If any 
member is absent so long as to hamper the work of the board, the 
chairman, a member of the board or panel concerned, or an area office 
employee shall report that fact to the Director of Selective Service and 
such action as appropriate shall be taken. If, through death, 
resignation, or other causes, the membership of the board falls below 
the prescribed number of members, the board or panel shall continue to 
function, provided a quorum of the prescribed membership is present at 
each official meeting.



Sec. 1605.27  Minutes of meetings.

    A Selective Service compensated employee will keep the minutes of 
each appeal board meeting. In the absence of a compensated employee the 
minutes will be kept by an appeal board member.



Sec. 1605.28  Signing official papers.

    Official documents issued and minutes of meetings maintained by a 
district appeal board may be signed by any member of the board, or by 
any compensated employee of the Selective Service System authorized to 
perform administrative duties for the board, except when otherwise 
prescribed by the Director of Selective Service.

                              Local Boards



Sec. 1605.51  Area.

    (a) The Director of Selective Service shall divide each State into 
local board areas and establish local boards. There shall be at least 
one local board in each county except where the Director of Selective 
Service establishes an intercounty board. When more than one local board 
is established within the same geographical jurisdiction, registrants 
residing in that area will be assigned among the boards as prescribed by 
the Director of Selective Service. The Director of Selective Service may 
establish panels of local boards.
    (b) [Reserved]

[47 FR 4644, Feb. 1, 1982, as amended at 52 FR 24454, July 1, 1987]



Sec. 1605.52  Composition of local boards.

    The Director of Selective Service shall prescribe the number of 
members of local boards.



Sec. 1605.53  Designation.

    The Director of Selective Service shall assign each local board 
within a State a specific identifying number by which it shall be known. 
Such identifying numbers shall be assigned in numerical sequence 
beginning with the numeral 1.

[[Page 321]]



Sec. 1605.54  Jurisdiction.

    The local board shall have full authority to perform all acts within 
its jurisdiction authorized by law, to include the acting on any claim 
presented to it when:
    (a) The claim is submitted by a registrant who is assigned to it; or
    (b) The claim is transferred to it from another board in the manner 
provided in these regulations; or
    (c) The claim is submitted or tranferred to it by the Director of 
Selective Service to assure the fair and equitable administration of the 
Law.



Sec. 1605.55  Disqualification.

    (a) No member of a local board shall act on the case of a registrant 
who is the member's first cousin or closer relation, either by blood, 
marriage, or adoption, or who is the member's employer, employee, or 
fellow employee, or stands in the relationship of superior or 
subordinate of the member in connection with any employment, or is a 
partner or close business associate of the member, or a fellow member or 
employee of the area office.
    (b) A member of the local board must disqualify himself in any 
matter in which he would be restricted, for any reason, in making an 
impartial decision.
    (c) Whenever a quorum of a local board cannot act on the case of a 
registrant, the area office supervisor shall cause such case to be 
transferred to another board within the area office. In those instances 
where only one board exists in an area office, the case should be 
transmitted to the nearest area office for transfer to a board under its 
jurisdiction.



Sec. 1605.56  Organization and meetings.

    Each local board shall elect a chairman and vice-chairman at least 
every two years. A majority of the membership of the board shall 
constitute a quorum for the transaction of business. A majority of the 
members present at any meeting at which a quorum is present shall decide 
any question or classification. Every member present, unless 
disqualified, shall vote on every question or classification. In case of 
a tie vote on any question or classification, the board shall postpone 
action on the question or classification until it can be decided by a 
majority vote at the next meeting. If the question or classification 
remains unresolved at the next meeting, the file will be transferred for 
classification in accord with Sec. 1605.55(c). If any member is absent 
so long as to hamper the work of the board, the chairman, a member of 
the board, or a Selective Service compensated employee shall report that 
fact to the Director of Selective Service and appropriate action shall 
be taken. If through death, resignation, or other cause, the membership 
of a board falls below the prescribed number, it shall continue to 
function provided a quorum of the prescribed membership is present at 
each official meeting.



Sec. 1605.58  Minutes of meetings.

    A compensated employee of the appropriate area office will keep the 
minutes of each meeting of a local board. In the absence of a 
compensated employee the minutes will be kept by a board member.



Sec. 1605.59  Signing official papers.

    Official papers issued by a local board may be signed by any member 
of the board or compensated employee of the area office, or any 
compensated employee of the Selective Service System whose official 
duties require him to perform administrative duties at the area office 
except when otherwise prescribed by the Director of Selective Service.

                       Area Office Administration



Sec. 1605.60  Area.

    (a) The Director of Selective Service shall prescribe the number of 
area offices to be established and shall define the boundaries thereof.
    (b) The area office shall be an office of record and responsible for 
all administrative and operational support of the one or more local 
boards within its jurisdiction.



Sec. 1605.61  Staff of area offices for selective service.

    Subject to applicable law and within the limits of available funds, 
the staff of each area office shall consist of as many compensated 
employees, either

[[Page 322]]

military or civilian, as shall be authorized by the Director of 
Selective Service.

                              Interpreters



Sec. 1605.81  Interpreters.

    (a) The local board, district appeal board and the National 
Selective Service Appeal Board are authorized to use interpreters when 
necessary.
    (b) The following oath shall be administered by a member of the 
board or a compensated employee of the System to an interpreter each 
time he or she interprets:

    Do you swear (or affirm) that you will truly interpret in the matter 
now in hearing?

    (c) Any interpreter who fails to respond in the affirmative shall 
not be permitted to function in this capacity.

[47 FR 4644, Feb. 1, 1982, as amended at 52 FR 24454, July 1, 1987]



PART 1609--UNCOMPENSATED PERSONNEL--Table of Contents




Sec.
1609.1  Uncompensated positions.
1609.2  Citizenship.
1609.3  Eligibility.
1609.4  Oath of office.
1609.5  Suspension.
1609.6  Removal.
1609.7  Use of information.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq; E.O. 11623.

    Source: 47 FR 4647, Feb. 1, 1982, unless otherwise noted.



Sec. 1609.1  Uncompensated positions.

    Members of civilian review boards, local boards, and district appeal 
boards and all other persons volunteering their services to assist in 
the administration of the Selective Service Law shall be uncompensated. 
No person serving without compensation shall accept remuneration from 
any source for services rendered in connection with Selective Service 
matters.

[52 FR 24454, July 1, 1987]



Sec. 1609.2  Citizenship.

    No person shall be appointed to any uncompensated position in the 
Selective Service System who is not a citizen of the United States.



Sec. 1609.3  Eligibility.

    (a) The President, upon the recommendation of the respective 
Governors, will consider for appointment as a member of a local board, 
any person who:
    (1) Is within the age limits prescribed by the Military Selective 
Service Act; and
    (2) Is a citizen of the United States; and
    (3) Is a resident of the county in which the local board has 
jurisdiction; and
    (4) Is not an active or retired member of the Armed Forces or any 
reserve component thereof; and
    (5) Has not served as a member of a Selective Service board for a 
period of more than 20 years; and
    (6) Is able to perform such duties as necessary during standby 
status; and
    (7) Is able to devote sufficient time to board affairs; and
    (8) Is willing to fairly and uniformly apply Selective Service Law.
    (b) The President, upon the recommendation of the Director of 
Selective Service, will consider for appointment as a member of a 
district appeal board any person who:
    (1) Is within the age limits prescribed by the Military Selective 
Service Act; and
    (2) Is a citizen of the United States; and
    (3) Is a resident of the Federal Judicial District in which the 
district appeal board has jurisdiction; and
    (4) Is not an active or retired member of the Armed Forces or any 
reserve component thereof; and
    (5) Has not served as a member of a Selective Service board for a 
period of more than 20 years; and
    (6) Is able to perform such duties as necessary during standby 
status; and
    (7) Is able to devote sufficient time to the district appeal board 
affairs; and
    (8) Is willing to fairly and uniformly apply Selective Service Law.

[[Page 323]]



Sec. 1609.4  Oath of office.

    Every person who undertakes to render voluntary uncompensated 
service in the administration of the Selective Service Law shall execute 
an Oath of Office and Waiver of Pay before he enters upon his duties.



Sec. 1609.5  Suspension.

    The Director of Selective Service may suspend from duty any 
uncompensated person engaged in the administration of the Selective 
Service Law pending his consideration of the advisability of removing 
such person.



Sec. 1609.6  Removal.

    (a) The Director of Selective Service may remove any uncompensated 
person engaged in the administration of the Selective Service Law.
    (b) The Governor may recommend to the Director of Selective Service 
the removal, for cause, of the State Director or any uncompensated 
person engaged in the administration of the Selective Service Law in his 
State. The Director of Selective Service shall make such investigation 
of the Governor's recommendation as he deems necessary, and upon 
completion of his investigation, he shall take such action as he deems 
proper.



Sec. 1609.7  Use of information.

    Any information or records obtained by compensated or uncompensated 
personnel during the performance of their official duties, including 
proceedings before the boards, shall be restricted to official use by 
the personnel of the Selective Service System except as specifically 
authorized by law.



PART 1615--ADMINISTRATION OF REGISTRATION--Table of Contents




Sec.
1615.1  Registration.
1615.2  Responsibility of Director of Selective Service in registration.
1615.3  Registration procedures.
1615.4  Duty of persons required to register.
1615.5  Persons not to be registered.
1615.6  Selective service number.
1615.7  Evidence of registration.
1615.8  Cancellation of registration.
1615.9  Registration card or form.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623, 36 FR 19963, 3 CFR, 1971-1975 Comp., p. 614, as 
amended by E.O. 12608, 52 FR 34617, 3 CFR, 1987 Comp., p. 245.

    Source: 45 FR 48130, July 18, 1980, unless otherwise noted.



Sec. 1615.1  Registration.

    (a) Registration under selective service law consists of:
    (1) Completing a registration card or other method of registration 
prescribed by the Director of Selective Service by a person required to 
register; and
    (2) The recording of the registration information furnished by the 
registrant in the records (master computer file) of the Selective 
Service System. Registration is completed when both of these actions 
have been accomplished.
    (b) The Director of Selective Service will furnish to each 
registrant a verification notice that includes a copy of the information 
pertaining to his registration that has been recorded in the records of 
the Selective Service System together with a correction form. If the 
information is correct, the registrant should take no action. If the 
information is incorrect, the registrant should forthwith furnish the 
correct information to the Director of Selective Service. If the 
registrant does not receive the verification notice within 90 days after 
he completed a method of registration prescribed by the Director, he 
shall advise in writing the Selective Service System, P.O. Box 94638, 
Palatine, IL 60094-4638.
    (c) The methods of registration prescribed by the Director include 
completing a Selective Service Registration Card at a classified Post 
Office, registration on the Selective Service Internet web site (http://
www.sss.gov), telephonic registration, registration on approved Federal 
and State Government forms, registration through high school and college 
registrars, and Selective Service remainder mailback card.

[45 FR 48130, July 18, 1980, as amended at 65 FR 47670, Aug. 3, 2000; 65 
FR 60101, Oct. 10, 2000]

[[Page 324]]



Sec. 1615.2  Responsibility of Director of Selective Service in registration.

    Whenever the President by proclamation or other public notice fixes 
a day or days for registration, the Director of Selective Service shall 
take the necessary steps to prepare for registration and, on the day or 
days fixed, shall supervise the registration of those persons required 
to present themselves for and submit to registration. The Director of 
Selective Service shall also arrange for and supervise the registration 
of those persons who present themselves for registration at times other 
than on the day or days fixed for any registration.



Sec. 1615.3  Registration procedures.

    Persons required by selective service law and the Proclamation of 
the President to register shall be registered in accord with procedures 
prescribed by the Director of Selective Service.



Sec. 1615.4  Duty of persons required to register.

    A person required by selective service law to register has the duty:
    (a) To complete the registration process by a method prescribed by 
the Director of Selective Service and to record thereon his name, date 
of birth, sex, Social Security Account Number (SSAN), current mailing 
address, permanent residence, telephone number, date signed, and 
signature, if requested; and
    (b) To submit for inspection, upon request, evidence of his identity 
to a person authorized to accept the registration information. Evidence 
of identity may be a birth certificate, motor vehicle operator's 
license, student's identification card, United States Passport, or a 
similar document.

[45 FR 48130, July 18, 1980, as amended at 65 FR 60101, Oct. 10, 2000]



Sec. 1615.5  Persons not to be registered.

    No person who is not required by selective service law or the 
Proclamation of the President to register shall be registered.



Sec. 1615.6  Selective service number.

    Every registrant shall be given a selective service number. The 
Social Security Account Number will not be used for this purpose.



Sec. 1615.7  Evidence of registration.

    The Director of Selective Service Shall issue to each registrant 
written evidence of his registration. The Director of Selective Service 
will replace that evidence upon written request of the registrant, but 
such request will not be granted more often than once in any period of 
six months.



Sec. 1615.8  Cancellation of registration.

    The Director of Selective Service may cancel the registration of any 
particular registrant or of a registrant who comes within a specified 
group of registrants.



Sec. 1615.9  Registration card or form.

    For the purposes of these regulations, the terms Registration Card 
and Registration Form are synonomous.



PART 1618--NOTICE TO REGISTRANTS--Table of Contents




Sec.
1618.1  Abandonment of rights or privileges.
1618.2  Filing of documents.
1618.4  Transmission of orders and other official papers to registrants.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 47 FR 4648, Feb. 1, 1982, unless otherwise noted.



Sec. 1618.1  Abandonment of rights or privileges.

    If a registrant fails to claim and exercise any right or privilege 
within the required time, he shall be deemed to have abandoned the right 
or privilege unless the Director of Selective Service, for good cause, 
waives the time limit.



Sec. 1618.2  Filing of documents.

    A document other than a registration card received by an element of 
the Selective Service System will be considered to have been filed on 
the date that it is received: Provided, That a document that is received 
which was transmitted by the United States Postal Service (USPS) and was 
enclosed in a

[[Page 325]]

cover that bears a legible USPS postmark date will be deemed to have 
been received on that date.



Sec. 1618.4  Transmission of orders and other official papers to registrants.

    Personnel of the Selective Service System will transmit orders or 
other official papers addressed to a registrant by handing them to him 
personally or mailing them to him to the current mailing address last 
reported by him in writing to the Selective Service System.



PART 1621--DUTY OF REGISTRANTS--Table of Contents




Sec.
1621.1  Reporting by registrants of their current status.
1621.2  Duty to report for and submit to induction.
1621.3  Duty to report for and submit to examination.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.



Sec. 1621.1  Reporting by registrants of their current status.

    Until otherwise notified by the Director of Selective Service, it is 
the duty of every registrant who registered after July 1, 1980:
    (a) To notify the System within 10 days of any change in the 
following items of information that he provided on his registration 
form: name, current mailing address and permanent residence address; and
    (b) To submit to the classifying authority, all information 
concerning his status within 10 days after the date on which the 
classifying authority mails him a request therefor, or within such 
longer period as may be fixed by the classifying authority; and
    (c) Who has a postponement of induction, or has been deferred or 
exempted from training and service, to notify the System immediately of 
any changes in facts or circumstances relating to the postponement, 
deferment or exemption; and
    (d) Who has a postponement of examination, to notify the System 
immediately of any changes in facts or circumstances relating to the 
postponement.

[52 FR 24454, July 1, 1987]



Sec. 1621.2  Duty to report for and submit to induction.

    When the Director of Selective Service orders a registrant for 
induction, it shall be the duty of the registrant to report for and 
submit to induction at the time and place ordered unless the order has 
been canceled. If the time when the registrant is ordered to report for 
induction is postponed, it shall be the continuing duty of the 
registrant to report for and submit to induction at such time and place 
as he may be reordered. Regardless of the time when or the circumstances 
under which a registrant fails to report for induction when it is his 
duty to do so, it shall thereafter be his continuing duty from day to 
day to report for and submit to induction at the place specified in the 
order to report for induction.

[47 FR 4648, Feb. 1, 1982]



Sec. 1621.3  Duty to report for and submit to examination.

    When the Director orders a registrant for examination, it shall be 
the duty of the registrant to report for and submit to examination at 
the time and place ordered unless the order has been canceled. If the 
time when the registrant is ordered to report for examination is 
postponed, it shall be the continuing duty of the registrant to report 
for and submit to examination at such time and place as he may be 
reordered. Regardless of the time when, or the circumstances under which 
a registrant fails to report for examination when it is his duty to do 
so, it shall thereafter be his continuing duty from day to day to report 
for and submit to examination at the place specified in the order to 
report for examination.

[52 FR 8890, Mar. 20, 1987]



PART 1624--INDUCTIONS--Table of Contents




Sec.
1624.1  Random selection procedures for induction.
1624.2  Issuance of induction orders.
1624.3  Age selection groups.
1624.4  Selection and/or rescheduling of registrants for induction.
1624.5  Order to report for induction.
1624.6  Postponement of induction.

[[Page 326]]

1624.7  Expiration of deferment or exemption.
1624.8  Transfer for induction.
1624.9  Induction into the Armed Forces.
1624.10  Order to report for examination.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.: E.O. 11623.

    Source: 47 FR 4648, Feb. 1, 1982, unless otherwise noted.



Sec. 1624.1  Random selection procedures for induction.

    (a) The Director of Selective Service shall from time to time 
establish a random selection sequence for induction by a drawing to be 
conducted in the place and on a date the Director shall fix. The random 
selection method shall use 365 days, or when appropriate, 366 days to 
represent the birthdays (month and day only) of all registrants who, 
during the specified calendar year(s) attain their 18th year of birth. 
The drawing, commencing with the first day selected, and continuing 
until all 365 days or, when appropriate 366 days are drawn, shall be 
accomplished impartially. The random sequence number thus determined for 
any registrant shall apply to him so long as he remains subject to 
induction for military training and service by random selection.
    (b) The date of birth of the registrant that appears on his 
Selective Service Registration Record on the day before the lottery is 
conducted to establish his random selection sequence will be conclusive 
as to his date of birth in all matters pertaining to his relations with 
the Selective Service System.



Sec. 1624.2  Issuance of induction orders.

    The Director of Selective Service, upon receipt of a call from the 
Secretary of Defense for persons to be inducted into the Armed Forces in 
accord with Sec. 1624.4, shall issue orders to report for induction to 
registrants whose registration records are in the master computer file 
at the beginning of any day on which orders are issued. Orders shall be 
issued in such numbers and at such times as will assure that such call 
or requisition is filled. The names contained in the Selective Service 
System data base on a given day will constitute the valid list of 
registrants from which induction orders can be issued on that day.



Sec. 1624.3  Age selection groups.

    Age selection groups are established as follows:
    (a) The age 20 selection group for each calendar year consists of 
registrants who have attained or will attain the age of 20 in that year.
    (b) The age 21 selection group for each calendar year consists of 
registrants who have attained or will attain the age of 21 in that year 
and, in like manner, each age selection group will be so designated 
through age group 25.
    (c) The age 26 through 34 selection groups consist of registrants 
who meet the following three criteria:
    (1) They have attained or will attain the age of 26 through 34, 
respectively, during the calendar year; and
    (2) They have been previously ordered to report for induction but 
have not been inducted; and
    (3) They have been classified in one of the following classes:
    (i) Class 1-D-D.
    (ii) Class 2-D.
    (iii) Class 3-A.
    (iv) Class 4-B.
    (v) Class 4-F.
    (d) The age 19 selection group for each calendar year consists of 
registrants who have attained the age of 19 in that year.
    (e) The age 18 selection group shall consist of registrants who have 
attained the age of 18 years and six months and who have not attained 
the age of 19 years in the order of their dates of birth with the oldest 
being selected first.



Sec. 1624.4  Selection and/or rescheduling of registrants for induction.

    A registrant in Class 1-A or a registrant subsequently classified 1-
A-0 shall be selected and ordered or rescheduled to report for induction 
in the following categories and in the order indicated: Provided, That a 
registrant who has been identified in accord with the procedures 
prescribed by the Director of Selective Service as one who will become a 
member of one of the following categories on the next January 1, may, 
prior to January 1, be selected

[[Page 327]]

and ordered to report for induction on a date after January 1 as a 
member of such category.
    (a) Volunteers for induction in the order in which they volunteered.
    (b) Registrants whose postponements have expired in the order of 
expiration.
    (c) Registrants who previously have been ordered to report for 
induction and whose exemptions or deferments have expired, in the order 
of their random sequence number (RSN) established by random selection 
procedures in accord with Sec. 1624.1
    (d) Registrants in the age 20 selection group for the current 
calendar year in the order of their random sequence number (RSN) 
established by random selection procedures in accord with Sec. 1624.1.
    (e) Registrants in each succeeding age selection group commencing 
with age 21 selection group and terminating with the age 34 selection 
group, in turn, within the group, in the order of their random sequence 
number (RSN) established by random selection procedures in accord with 
Sec. 1624.1.
    (f) Registrants in the age 19 selection group for the current 
calendar year in the order of their random sequence number (RSN) 
established by random selection procedures in accord with Sec. 1624.1.
    (g) Registrants in the age 18 year and six months selection group 
and who have not attained the age of 19 in the order of their date of 
birth with the oldest being selected first.

[47 FR 4648, Feb. 1, 1982, as amended at 52 FR 24455, July 1, 1987]



Sec. 1624.5  Order to report for induction.

    (a) Immediately upon determining which persons are to be ordered for 
induction, the Director of Selective Service shall issue to each person 
selected an Order to Report for Induction. The order will be sent to the 
current address most recently provided by the registrant to the 
Selective Service System. The date specified to report for induction 
shall be at least 10 days after the date on which the Order to Report 
for Induction is issued. The filing of a claim for reclassification in 
accord with Sec. 1633.2 of this chapter delays the date the registrant 
is required to report for induction until not earlier than the tenth day 
after the claim is determined to have been abandoned or is finally 
determined is finally determined in accord with the provisions of this 
chapter. A claim is finally determined when the registrant does not have 
the right to appeal the last classification action with respect to the 
claim or he fails to exercise his right to appeal.
    (b) Any person who has been ordered for induction who is distant 
from the address to which the order was sent must either report at the 
time and place specified in the order, or voluntarily submit himself for 
induction processing at another MEPS on or before the day that he was 
required to report in accordance with his induction order.
    (c) The Director of Selective Service may direct the cancellation of 
any Order to Report for Induction at any time.
    (d) Any Order to Report for Induction issued by the Director of 
Selective Service to a registrant who is an alien, who has not resided 
in the United States for one year will be void. Such order will be 
deemed only to be an order to produce evidence of his status. When an 
alien registrant has been within the United States for two or more 
periods (including periods before his registration) and the total of 
such periods equals one year, he shall be deemed to have resided in the 
United States for one year. In computing the length of such periods, any 
portion of one day shall be counted as a day. Upon establishing a one 
year residency, the alien registrant will be assigned to the age 
selection group corresponding to his age.

[47 FR 4648, Feb. 1, 1982, as amended at 52 FR 24455, July 1, 1987]



Sec. 1624.6  Postponement of induction.

    (a) [Reserved]
    (b) In the case of the death of a member of the registrant's 
immediate family, extreme emergency involving a member of the 
registrant's immediate family, serious illness or injury of the 
registrant, or other emergency beyond the registrant's control, the 
Director, after the Order to Report for Induction has been issued, may 
postpone for a

[[Page 328]]

specific time the date when such registrant shall be required to report. 
The period of postponement shall not exceed 60 days from the date of the 
induction order. When necessary, the Director may grant one further 
postponement, but the total postponement shall not exceed 90 days from 
the reporting date on the induction order.
    (c)(1) Any registrant who is satisfactorily pursuing a full-time 
course of instruction at a high school or similar institution of 
learning and is issued an order to report for induction shall, upon 
presentation of appropriate facts in the manner prescribed by the 
Director of Selective Service, have his induction postponed:
    (i) Until the time of his graduation therefrom; or
    (ii) Until he attains the twentieth anniversary of his birth; or
    (iii) Until the end of his last academic year, even if he has 
attained the twentieth anniversary of his birth; or
    (iv) Until he ceases satisfactorily to pursue such course of 
instruction, whichever is the earliest.
    (2) Any registrant who, while satisfactorily pursuing a full-time 
course of instruction at a college, university, or similar institution 
of learning, is ordered to report for induction shall, upon the 
presentation of appropriate facts in the manner prescribed by the 
Director of Selective Service, have his induction postponed:
    (i) Until the end of the semester or term, or in the case of his 
last academic year, the end of the academic year; or
    (ii) Until he ceases to satisfactorily pursue such course of 
instruction, whichever is the earlier.
    (3) A postponement authorized by this subsection may be terminated 
by the Director of Selective Service for cause upon no less than 10 days 
notice to the registrant.
    (d) The Director of Selective Service may authorize a delay of 
induction for any registrant whose date of induction conflicts with a 
religious holiday historically observed by a recognized church, 
religious sect or religious organization of which he is a member. Any 
registrant so delayed shall report for induction on the next business 
day following the religious holiday.
    (e) [Reserved]
    (f) The Director of Selective Service may authorize a postponement 
of induction to a registrant when:
    (1) The registrant qualifies and is scheduled for a State or 
National examination in a profession or occupation which requires 
certification before being authorized to engage in the practice of that 
profession or occupation; or
    (2) The registrant has been accepted in the next succeeding class as 
a cadet at the U.S. Military Academy, or the U.S. Air Force Academy, or 
the U.S. Coast Guard Academy; or as a midshipman at the U.S. Naval 
Academy, or the U.S. Merchant Marine Academy; or
    (3) The registrant is a ROTC applicant who has been designated to 
participate in the next succeeding ROTC field training program prior to 
enrollment in the ROTC; or
    (4) The registrant has been accepted as a ROTC scholarship student 
in the next succeeding ROTC program at a college or university.
    (g) The Director of Selective Service shall issue to each registrant 
whose induction is postponed a written notice thereof.
    (h) No registrant whose induction has been postponed shall be 
inducted into the Armed Forces during the period of any such 
postponement. A postponement of induction shall not render invalid the 
Order to Report for Induction which has been issued to the registrant, 
but shall operate only to postpone the reporting date, and the 
registrant shall report on the new date scheduled without having issued 
to him a new Order to Report for Induction.
    (i) Any registrant receiving a postponement under the provisions of 
this section, shall, after the expiration of such postponement, be 
rescheduled to report for induction at the place to which he was 
originally ordered.
    (j) The initial determination of claims for all postponements is 
made by area office compensated personnel. After a denial of a claim for 
a student postponement, the registrant may request the local board to 
consider the claim. Such registrant shall be afforded an opportunity to 
appeal before

[[Page 329]]

the board in accord with the procedures of Secs. 1648.4 and 1648.5.

[47 FR 4648, Feb. 1, 1982, as amended at 52 FR 24455, July 1, 1987]



Sec. 1624.7  Expiration of deferment or exemption.

    The Director shall issue an Order to Report for Induction to a 
registrant who is liable for induction whenever his deferment or 
exemption expires.

[52 FR 24455, July 1, 1987]



Sec. 1624.8  Transfer for induction.

    The Director of Selective Service may direct that a registrant or 
registrants in a specified group of registrants be transferred for 
induction to such MEPS as he may designate.



Sec. 1624.9  Induction into the Armed Forces.

    Registrants in classes 1-A and 1-A-0, who have been ordered for 
induction and found qualified under standards prescribed by the 
Secretary of Defense, will be inducted at the MEPS into the Armed 
Forces.



Sec. 1624.10  Order to report for examination.

    (a) The Director of Selective Service may order any registrant in 
Class 1-A who has filed a claim for classification in a class other than 
Class 1-A or whose induction has been postponed, to report for an Armed 
Forces examination to determine acceptability for military service. The 
date specified to report for examination shall be at least 7 days after 
the date on which the Order to Report for Examination is issued. Such 
registrant will not be inducted until his claim for reclassification has 
been decided or abandoned.
    (b) The reporting date for examination may be postponed for any 
reason a reporting date for induction may be postponed in accord with 
Sec. 1624.6 (b), (d) or (f)(1).
    (c) If a registrant fails to report for or complete an examination, 
the local board will determine that he has abandoned his claim.
    (d) If a registrant is determined not acceptable for military 
service, he will be reclassified in Class 4-F.
    (e) If a registrant is determined acceptable for military service, 
the processing of his claim will be completed.

[52 FR 24455, July 1, 1987]



PART 1627--VOLUNTEERS FOR INDUCTION--Table of Contents




Sec.
1627.1  Who may volunteer.
1627.2  Registration of volunteers.
1627.3  Classification of volunteers.

    Authority: Military Selective Service Act, 50 U.S.C. App 451 et 
seq.: E.O. 11623.

    Source: 47 FR 4650, Feb. 1, 1982, unless otherwise noted.



Sec. 1627.1  Who may volunteer.

    Any registrant who has attained the age of 17 years, who has not 
attained the age of 26 years, and who has not completed his active duty 
obligation under the Military Selective Service Act, when inductions are 
authorized, may volunteer for induction into the Armed Forces unless he;
    (a) Is classified in Class 4-F or is eligible for Class 4-F; or
    (b) Has been found temporarily unacceptable with reexamination 
believed justified (RBJ) and the period of time specified for his return 
for examination has not been terminated and the basis for his temporary 
rejection continues to exist; or
    (c) Is an alien who has not resided in the United States for a 
period of at least one year; or
    (d) Has not attained the age of 18 years and does not have the 
consent of his parent or guardian for his induction.



Sec. 1627.2  Registration of volunteers.

    (a) If a person who is required to be registered but who has failed 
to register volunteers for induction, he shall be registered.
    (b) In registering a volunteer, the area office shall follow the 
procedure set forth in Sec. 1615.3 of this chapter.



Sec. 1627.3  Classification of volunteers.

    When a registrant who is eligible to volunteer files an Application 
for Voluntary Induction, he shall be classified in Class 1-A and 
processed for induction.

[[Page 330]]



PART 1630--CLASSIFICATION RULES--Table of Contents




Sec.
1630.2  Classes.
1630.10  Class 1-A: Available for unrestricted military service.
1630.11  Class 1-A-0: Conscientious objector available for noncombatant 
          military service only.
1630.12  Class 1-C: Member of the Armed Forces of the United States, the 
          National Oceanic and Atmospheric Administration or the Public 
          Health Service.
1630.13  Class 1-D-D: Deferment for certain members of a reserve 
          component or student taking military training.
1630.14  Class 1-D-E: Exemption of certain members of a reserve 
          component or student taking military training.
1630.15  Class 1-H: Registrant not subject to processing for induction.
1630.16  Class 1-O: Conscientious objector to all military service.
1630.17  Class 1-O-S: Conscientious objector to all military service 
          (separated).
1630.18  Class 1-W: Conscientious objector ordered to perform 
          alternative service.
1630.26  Class 2-D: Registrant deferred because of study preparing for 
          the ministry.
1630.30  Class 3-A: Registrant deferred because of hardship to 
          dependents.
1630.31  Class 3-A-S: Registrant deferred because of hardship to 
          dependents (separated).
1630.40  Class 4-A: Registrant who has completed military service.
1630.41  Class 4-B: Official deferred by law.
1630.42  Class 4-C: Alien or dual national.
1630.43  Class 4-D: Minister of religion.
1630.44  Class 4-F: Registrant not acceptable for military service.
1630.45  Class 4-G: Registrant exempted from service because of the 
          death of his parent or sibling while serving in the Armed 
          Forces or whose parent or sibling is in a captured or missing 
          in action status.
1630.46  Class 4-T: Treaty alien.
1630.47  Class 4-W: Registrant who has completed alternative service in 
          lieu of induction.
1630.48  Class 4-A-A: Registrant who has performed military service for 
          a foreign nation.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq., E.O. 11623.

    Source: 47 FR 4651, Feb. 1, 1982, unless otherwise noted.



Sec. 1630.2  Classes.

    Each registrant shall be classified in one of the classes prescribed 
in this part.



Sec. 1630.10  Class 1-A: Available for unrestricted military service.

    (a) All registrants available for unrestricted military service 
shall be in Class 1-A.
    (b) All registrants in the selection groups as determined by the 
Director of Selective Service are available for unrestricted Military 
Service, except those determined by a classifying authority to be 
eligible for exemption or deferment from military service or for 
noncombatant or alternative service, or who have random sequence numbers 
(RSNs) determined by the Director not to be required to fill calls by 
the Secretary of Defense.



Sec. 1630.11  Class 1-A-0: Conscientious objector available for noncombatant military service only.

    In accord with part 1636 of this chapter any registrant shall be 
palced in Class 1-A-0 who has been found, by reason of religious, 
ethical, or moral belief, to be conscientiously opposed to participation 
in combatant military tranining and service in the Armed Forces.



Sec. 1630.12  Class 1-C: Member of the Armed Forces of the United States, the National Oceanic and Atmospheric Administration or the Public Health Service.

    In Class 1-C shall be placed:
    (a) Every registrant who is or who becomes by enlistment or 
appointment, a commissioned officer, a warrant officer, a pay clerk, an 
enlisted man or an aviation cadet of the Regular Army, the Navy, the Air 
Force, the Marine Corps, the Coast Guard, the National Oceanic and 
Atmospheric Administration or the Public Health Service.
    (b) Every registrant who is a cadet, United States Military Academy; 
or midshipman, United States Naval Academy; or a cadet, United States 
Air Force Academy; or cadet, United States Coast Guard Academy.
    (c) Every registrant who by induction becomes a member of the Army 
of the United States, the United States Navy, the United States Marine 
Corps, the Air Force of the United States, or the United States Coast 
Guard.
    (d) Exclusive of periods for training only, every registrant who is 
a member

[[Page 331]]

of a reserve component of the Armed Forces and is on active duty, and 
every member of the reserve of the Public Health Service on active duty 
and assigned to staff the various offices and bureaus of the Public 
Health Service including the National Institutes of Health, or assigned 
to the Coast Guard, the Bureau of Prisons of the Department of Justice, 
Environmental Protection Agency, or the National Oceanic and Atmospheric 
Administration or who are assigned to assist Indian tribes, groups, 
bands, or communities pursuant to the Act of August 5, 1954 (68 Stat. 
674), as amended.



Sec. 1630.13  Class 1-D-D: Deferment for certain members of a reserve component or student taking military training.

    In Class 1-D-D shall be placed any registrant who:
    (a)(1) Has been selected for enrollment or continuance in the Senior 
(entire college level) Army Reserve Officer's Training Corps, or the Air 
Force Reserve Officer's Training Corps, or the Naval Reserve Officer's 
Training Corps, or the Naval and Marine Corps officer candidate program 
of the Navy, or the platoon leader's class of the Marine Corps, or the 
officer procurement programs of the Coast Guard and the Coast Guard 
Reserve, or is appointed an ensign, U.S. Naval Reserve while undergoing 
professional training; and
    (2) Has agreed in writing to accept a commission, if tendered, and 
to serve subject to order of the Secretary of the military department 
having jurisdiction over him (or the Secretary of Transportation with 
respect to the U.S. Coast Guard), not less than 2 years on active duty 
after receipt of a commission; and
    (3) Has agreed to remain a member of a regular or reserve component 
until the eighth anniversary of his receipt of a commission. Such 
registrant shall remain eligible for Class 1-D-D until completion or 
termination of the course of instruction and so long thereafter as he 
continues in a reserve status upon being commissioned except during any 
period he is eligible for Class 1-C under the provision of Sec. 1630.12; 
or
    (b) Is a fully qualified and accepted aviation cadet applicant of 
the Army, Navy, or Air Force, who has signed an agreement of service and 
is within such numbers as have been designated by the Secretary of 
Defense. Such registrant shall be retained in Class 1-D-D during the 
period covered by such agreement but in no case in excess of four 
months; or
    (c) Is other than a registrant referred to in paragraph (a) or (d) 
of this section who:
    (1) Prior to the issuance of orders for him to report for induction; 
or
    (2) Prior to the date scheduled for his induction and pursuant to a 
proclamation by the Governor of a State to the effect that the 
authorized strength of any unit of the National Guard of that State 
cannot be maintained by the enlistment or appointment of persons who 
have not been issued orders to report for induction; or
    (3) Prior to the date scheduled for his induction and pursuant to a 
determination by the President that the strength of the Ready Reserve of 
the Army Reserve, Naval Reserve, Marine Corps Reserve, Air Force 
Reserve, or Coast Guard Reserve cannot be maintained by the enlistment 
or appointment of persons who have not been issued orders to report for 
induction:

enlists or accepts an appointment before attaining the age of 26 years, 
in the Ready Reserve of any Reserve component of the Armed Forces, the 
Army National Guard, or the Air National Guard. Such registrant shall 
remain eligible for Class 1-D-D so long as he serves satisfactorily as a 
member of an organized unit of such Ready Reserve or National Guard, or 
satisfactorily performs such other Ready Reserve service as may be 
prescribed by the Secretary of Defense, or serves satisfactorily as a 
member of the Ready Reserve of another reserve component, the Army 
National Guard, or the Air National Guard, as the case may be; or
    (d) At any time has enlisted in the Army Reserve, the Naval Reserve, 
the Marine Corps Reserve, the Air Force Reserve, or the Coast Guard 
Reserve and who thereafter has been commissioned therein upon graduation 
from an Officer's Candidate School of such

[[Page 332]]

Armed Force and has not has been ordered to active duty as a 
commissioned officer. Such registrant shall remain eligible for Class 1-
D-D so long as he performs satisfactory service as a commissioned 
officer in an appropriate unit of the Ready Reserve, as determined under 
regulations prescribed by the Secretary of the department concerned; or
    (e) Is serving satisfactorily as a member of a reserve component of 
the Armed Forces and is not eligible for Class 1-D-D under the 
provisions of any other paragraph of this section: Provided: That, for 
the purpose of this paragraph, a member of a reserve component who is in 
the Standby Reserve or the Retired Reserve shall be deemed to be serving 
satisfactorily unless the Armed Forces of which he is a member informs 
the Selective Service System that he is not serving satisfactorily.

[52 FR 24455, July 1, 1987]



Sec. 1630.14  Class 1-D-E: Exemption of certain members of a reserve component or student taking military training.

    In Class 1-D-E shall be placed any registrant who:
    (a) Is a student enrolled in an officer procurement program at a 
military college the curriculum of which is approved by the Secretary of 
Defense; or
    (b) Has been enlisted in the Delayed Entry Program (DEP) at least 
ten days prior to his scheduled induction date; or
    (c) Has been transferred to a reserve component of the Army, Navy, 
Air Force, Marine Corps or Coast Guard after a period of extended active 
duty, which was not for training only.



Sec. 1630.15  Class 1-H: Registrant not subject to processing for induction.

    In Class 1-H shall be placed any registrant who is not eligible for 
Class 1-A and is not currently subject to processing for induction.



Sec. 1630.16  Class 1-O: Conscientious objector to all military service.

    (a) Any registrant whose acceptability for military service has been 
satisfactorily determined and who, in accord with part 1636 of this 
chapter, has been found, by reason of religious, ethical, or moral 
belief, to be conscientiously opposed to participation in both combatant 
and noncombatant training and service in the Armed Forces shall be 
classified in Class 1-O.
    (b) Upon the written request of the registrant filed with his claim 
for classification in Class 1-O, the local board will consider his claim 
for classification in Class 1-O before he is examined. If the local 
board determines that the registrant would qualify for Class 1-O if he 
were acceptable for military service, it will delay such classification 
until he is found acceptable for military service. Upon the written 
request of such registrant, he will be deemed acceptable for military 
service without examination only for the purpose of paragraph (a) of 
this section.

[52 FR 8891, Mar. 20, 1987; 52 FR 12641, Apr. 17, 1987]



Sec. 1630.17  Class 1-O-S: Conscientious objector to all military service (separated).

    Any registrant who has been separated from the Armed Forces 
(including their reserve components) by reason of conscientious 
objection to participation in both combatant and noncombatant training 
and service in the Armed Forces shall be classified in Class 1-O-S 
unless his period of military service qualifies him for Class 4-A. A 
registrant in Class 1-O-S will be required to serve the remainder of his 
obligation under the Military Selective Service Act in Alternative 
Service.

[52 FR 8891, Mar. 20, 1987]



Sec. 1630.18  Class 1-W: Conscientious objector ordered to perform alternative service.

    In Class 1-W shall be placed any registrant who has been ordered to 
perform alternative service contributing to the mainenance of the 
national health, safety, or interest.

[52 FR 24456, July 1, 1987]



Sec. 1630.26  Class 2-D: Registrant deferred because of study preparing for the ministry.

    In accord with part 1639 of this chapter any registrant shall be 
placed in Class 2-D who has requested such deferment and:

[[Page 333]]

    (a) Who is preparing for the ministry under the direction of a 
recognized church or religious organization; and
    (b) Who is satisfactorily pursuing a full-time course of instruction 
required for entrance into a recognized theological or divinity school 
in which he has been pre-enrolled; or
    (c) Who is satisfactorily pursuing a full-time course of instruction 
in or at the direction of a recognized theological or divinity school; 
or
    (d) Who having completed theological or divinity school is a student 
in a full-time graduate program or is a full-time intern. The 
registrant's studies must be related to and lead to entry into service 
as a regular or duly ordained minister of religion, and satisfactory 
progress in these studies as required by the school in which the 
registrant is enrolled must be maintained for continued eligibility for 
the deferment.



Sec. 1630.30  Class 3-A: Registrant deferred because of hardship to dependents.

    (a) In accord with part 1642 of this chapter any registrant shall be 
classified in Class 3-A:
    (1) Whose induction would result in extreme hardships to his wife 
when she alone is dependent upon him for support; or
    (2) Whose deferment is advisable because his child(ren), parent(s), 
grrandparent(s), brother(s), or sister(s) is dependent upon him for 
support; or
    (3) Whose deferment is advisable because his wife and his 
child(ren), parent(s), grandparent(s), brother(s), or sister(s) are 
dependent upon him for support.
    (b) The classification of each registrant in Class 3-A will not be 
granted for a period longer than 365 days.

[52 FR 24456, July 1, 1987]



Sec. 1630.31  Class 3-A-S: Registrant deferred because of hardship to dependents (separated).

    Any registrant who has been separated from active military service 
by reason of dependency or hardship shall be placed in Class 3-A-S 
unless his period of military service qualifies him for Class 4-A or 1-
D-E. No registrant shall be retained in Class 3-A-S for more than six 
months.

[52 FR 24456, July 1, 1987]



Sec. 1630.40  Class 4-A: Registrant who has completed military service.

    (a) In Class 4-A shall be placed any registrant other than a 
registrant eligible for classification in Class 1-C, 1-D-D, or 1-D-E who 
is within any of the following categories:
    (1) A registrant who was discharged or transferred to a reserve 
component of the Armed Forces for the convenience of the Government 
after having served honorably on active duty for a period of not less 
than six months in the Army, the Navy, the Air Force, the Marine Corps, 
or the Coast Guard; or
    (2) A registrant who has served honorably on active duty for a 
period of not less than one year in the Army, the Navy, the Air Force, 
the Marine Corps, or the Coast Guard; or
    (3) A registrant who has served on active duty for a period of not 
less than twenty-four months as a commissioned officer in the National 
Oceanic and Atmospheric Administration or the Public Health Service, 
provided that such period of active duty in the Public Health Service as 
a commissioned Reserve Officer shall have been performed by the 
registrant while assigned to staff any of the various offices and 
bureaus of the Public Health Service including the National Institutes 
of Health, or while assigned to the Coast Guard, or the Bureau of 
Prisons of the Department of Justice, Environmental Protection Agency, 
or the National Oceanic and Atmospheric Administration, or who are 
assigned to assist Indian tribes, groups, bands or communities pursuant 
to the Act of August 5, 1954 (68 Stat. 674), as amended;
    (4) [Reserved]
    (5) A registrant who has completed six years of satisfactory service 
as a member of one or more of the Armed Forces including the Reserve 
components thereof.
    (b) For the purpose of computation of periods of active duty 
referred to in paragraphs (a) (1), (2), or (3) of this section, no 
credit shall be allowed for:
    (1) Periods of active duty training performed as a member of a 
reserve component pursuant to an order or call

[[Page 334]]

to active duty solely for training purposes; or
    (2) Periods of active duty in which the service consisted solely of 
training under the Army specialized training program, the Army Air Force 
college training program, or any similar program under the jurisdiction 
of the Navy, Marine Corps, or Coast Guard; or
    (3) Periods of active duty as a cadet at the United States Military 
Academy, United States Air Force Academy, or United States Coast Guard 
Academy, or as a midshipman at the United States Naval Academy, or in a 
preparatory school after nomination as a principal, alternate, or 
candidate for admission to any such academies; or
    (4) Periods of active duty in any of the Armed Forces while being 
processed for entry into or separation from any educational program or 
institute referred to in paragraph (b) (2) or (3) of this section; or
    (5) Periods of active duty of members of the Reserve of the Public 
Health Service other than when assigned to staff any of the various 
offices and bureaus of the Public Health Service, including the National 
Institute of Health, or the Coast Guard or the Bureau of Prisons of the 
Department of Justice, Environmental Protection Agency, or the 
Environmental Science Services Administration, or who are assigned to 
assist Indian tribes, groups, bands, communities pursuant to the Act of 
August 5, 1954 (68 Stat. 674), as amended.

[47 FR 4651, Feb. 1, 1982, as amended at 52 FR 24456, July 1, 1987]



Sec. 1630.41  Class 4-B: Official deferred by law.

    In Class 4-B shall be placed any registrant who is the Vice 
President of the United States, a governor of a State, Territory or 
possession, or any other official chosen by the voters of the entire 
State, Territory or Possession; a member of a legislative body of the 
United States or of a State, Territory or Possession; a judge of a court 
of record of the United States or of a State, Territory or Possession, 
or the District of Columbia.



Sec. 1630.42  Class 4-C: Alien or dual national.

    In Class 4-C shall be placed any registrant who:
    (a) Establishes that he is a national of the United States and of a 
country with which the United States has a treaty or agreement that 
provides that such person is exempt from liability for military service 
in the United States.
    (b) Is an alien and who has departed from the United States prior to 
being issued an order to report for induction or alternative service 
that has not been canceled. If any registrant who is classified in Class 
4-C pursuant to this paragraph returns to the United States he shall be 
classified anew.
    (c) Is an alien and who has registered at a time when he was 
required by the Selective Service Law to present himself for and submit 
to registration and thereafter has acquired status within one of the 
groups of persons exempt from registration.
    (d) Is an alien lawfully admitted for permanent residence as defined 
in paragraph (2) of section 101(a) of the Immigration and Nationality 
Act, as amended (66 Stat. 163, 8 U.S.C. 1101), and who by reason of 
occupational status is subject to adjustment to nonimmigrant status 
under paragraph (15)(A), (15)(E), or (15)(G) or section 101(a) but who 
executes a waiver in accordance with section 247(b) of that Act of all 
rights, privileges, exemptions, and immunities which would otherwise 
accrue to him as a result of that occupational status. A registrant 
placed in Class 4-C under the authority of this paragraph shall be 
retained in Class 4-C only for so long as such occupational status 
continues.
    (e) Is an alien and who has not resided in the United States for one 
year, including any period of time before his registration. When such a 
registrant has been within the United States for two or more periods and 
the total of such period equals one year, he shall be deemed to have 
resided in the United States for one year. In computing the length of 
such periods, any portion of one day shall be counted as a day.

[[Page 335]]



Sec. 1630.43  Class 4-D: Minister of religion.

    In accord with part 1645 of this chapter any registrant shall be 
placed in Class 4-D who is a:
    (a) Duly ordained minister of religion; or
    (b) Regular minister of religion.



Sec. 1630.44  Class 4-F: Registrant not acceptable for military service.

    In Class 4-F shall be placed any registrant who is found by the 
Secretary of Defense, under applicable physical, mental or 
administrative standards, to be not acceptable for service in the Armed 
Forces; except that no such registrant whose further examination or re-
examination is determined by the Secretary of Defense to be justified 
shall be placed in Class 4-F until such further examination has been 
accomplished and such registrant continues to be found not acceptable 
for military service.

[52 FR 24456, July 1, 1987]



Sec. 1630.45  Class 4-G: Registrant exempted from service because of the death of his parent or sibling while serving in the Armed Forces or whose parent or 
          sibling is in a captured or missing in action status.

    In Class 4-G shall be placed any registrant who, except during a 
period of war or national emergency declared by Congress, is:
    (a) A surviving son or brother:
    (1) Whose parent or sibling of the whole blood was killed in action 
or died in the line of duty while serving in the Armed Forces of the 
United States after December 31, 1959, or died subsequent to such date 
as a result of injuries received or disease incurred in the line of duty 
during such service; or
    (2) Whose parent or sibling of the whole blood is in a captured or 
missing status as a result of such service in the Armed Forces during 
any period of time; or
    (b) The sole surviving son of a family in which the father or one or 
more siblings were killed in action before January 1, 1960 while serving 
in the Armed Forces of the United States, or died after that date due to 
injuries received or disease incurred in the line of duty during such 
service before Janaury 1, 1960.

[47 FR 4651, Feb. 1, 1982, as amended at 52 FR 24456, July 1, 1987]



Sec. 1630.46  Class 4-T: Treaty alien.

    In Class 4-T shall be placed any registrant who is an alien who 
established that he is exempt from military service under the terms of a 
treaty or international agreement between the United States and the 
country of which he is a national, and who has made application to be 
exempted from liability for training and service in the Armed Forces of 
the United States.



Sec. 1630.47  Class 4-W: Registrant who has completed alternative service in lieu of induction.

    In Class 4-W shall be placed any registrant who subsequent to being 
ordered to perform alternative service in lieu of induction has been 
released from such service after satisfactorily performing the work for 
a period of 24 months, or has been granted an early release by the 
Director of Selective Service after completing at least 6 months of 
satisfactory service.



Sec. 1630.48  Class 4-A-A: Registrant who has performed military service for a foreign nation.

    In Class 4-A-A shall be placed any registrant who, while an alien, 
has served on active duty for a period of not less than 12 months in the 
armed forces of a nation determined by the Department of State to be a 
nation with which the United States is associated in mutual defense 
activities and which grants exemptions from training and service in its 
armed forces to citizens of the United States who have served on active 
duty in the Armed Forces of the United States for a period of not less 
than 12 months; Provided: That all information which is submitted to the 
Selective Service System concerning the registrant's service in the 
armed forces of a foreign nation shall be written in the English 
language.

[52 FR 24456, July 1, 1987]

[[Page 336]]



PART 1633--ADMINISTRATION OF CLASSIFICATION--Table of Contents




Sec.
1633.1  Classifying authority.
1633.2  Claim for other than Class 1-A.
1633.3  Submission of claims.
1633.4  Information relating to claims for deferment or exemption.
1633.5  Securing information.
1633.6  Consideration of classes.
1633.7  General principles of classification.
1633.8  Basis of classification.
1633.9  Explanation of classification action.
1633.10  Notification to registrant of classification action.
1633.11  Assignment of registrant to a local board.
1633.12  Reconsideration of classification.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 47 FR 4654, Feb. 1, 1982, unless otherwise noted.



Sec. 1633.1  Classifying authority.

    The following officials are authorized to classify registrants into 
the indicated classes established by part 1630 of this chapter:
    (a) The Director of Selective Service may in accord with the 
provisions of this chapter classify a registrant into any class for 
which he is eligible except Classes 1-A-0, 1-0, 2-D, 3-A, and 4-D: 
Provided, That, the Director may not reclassify a registrant other than 
a volunteer for induction, into Class 1-A out of another class prior to 
the expiration of the registrant's entitlement to such classification. 
The Director may, before issuing an induction order to a registrant, 
appropriately classify him if the Secretary of Defense has certified him 
to be a member of an armed force or reserve component thereof.
    (b) The National Selective Service Appeal Board may in accord with 
part 1653 of this chapter classify a registrant into any class for which 
he is eligible.
    (c) A district appeal board may in accord with part 1651 of this 
chapter classify a registrant into any class for which he is eligible.
    (d) A local board may in accord with part 1648 of this chapter 
classify a registrant into Class 1-A-0, 1-0, 2-D, 3-A, or 4-D for which 
he is eligible.
    (e) A local board may also classify a registrant into Class 1-C, 1-
D-D, 1-D-E, 1-O-S, 1-W, 3-A-S, 4-A, 4-A-A, 4-B, 4-C, 4-F, 4-G, 4-T or 4-
W for which he is eligible upon request by the registrant for a review 
of a classification denial action under Sec. 1633.1(f). No individual 
shall be classified into Class 4-F unless the Secretary of Defense has 
determined that he is unacceptable for military service.
    (f) Compensated employees of an area office may in accord with 
Sec. 1633.2 may classify a registrant into an administrative class for 
which he is eligible. No individual shall be classified into Class 4-F 
unless the Secretary of Defense has determined that he is unacceptable 
for military service.

[47 FR 4654, Feb. 1, 1982, as amended at 52 FR 24456, July 1, 1987]



Sec. 1633.2  Claim for other than Class 1-A.

    (a) Any registrant who has received an order to report for induction 
may, prior to the day he is scheduled to report, submit to the Selective 
Service System a claim that he is eligible to be classified into any 
class other than Class 1-A. The registrant may assert a claim that he is 
eligible for more than one class other than Class 1-A. The registrant 
cannot subsequently file a claim with respect to a class for which he 
was eligible prior to the day he was originally scheduled to report. 
Information and documentation in support of claims for reclassification 
and postponement of induction shall be filed in accordance with 
instructions from the Selective Service System.
    (b) Any registrant who has received an order to report for induction 
that has not been canceled may, at any time before his induction, submit 
a claim that he is eligible to be classified into any class other than 
Class 1-A based upon events over which he has no control that occurred 
on or after the day he was originally scheduled to report for induction.
    (c)(1) Claims will be filed with the area office supporting the 
local board of jurisdiction.
    (2) Claims will be considered by the local board identified in 
paragraph (c)(1) or its supporting area office as prescribed in this 
part.

[[Page 337]]

    (d) The initial determination of claims for all administrative 
classifications are made by area office compensated personnel. After a 
denial of a claim for an administrative classification the registrant 
may request the local board to consider the claim.
    (e) The initial determination of a judgmental classification is made 
by a local board.
    (f) A registrant may request and shall be granted a personal 
appearance whenever a local or appeal board considers his claim for 
reclassification. Personal appearances will be held in accord with parts 
1648, 1651 and 1653 of this chapter.
    (g) A registrant who has filed a claim for classification in Class 
1-A-O or Class 1-0 shall be scheduled for a personal appearance in 
accord with Sec. 1648.4 before his claim is considered.
    (h) If granted, a deferment or exemption supersedes the original 
order to report for induction. When a deferment or exemption expires or 
ends, a new order to report for induction will be issued.

[52 FR 24457, July 1, 1987]



Sec. 1633.3  Submission of claims.

    Except as otherwise expressly provided by the Director, no document 
relating to any registrant's claims or potential claims will be retained 
by the Selective Service System and no file relating to a registrant's 
possible classification status will be established prior to that 
registrant being ordered to report for induction.



Sec. 1633.4  Information relating to claims for deferment or exemption.

    The registrant shall be entitled to present all relevant written 
information which he believes to be necessary to assist the classifying 
authority in determining his proper classification; such information may 
include documents, affidavits, and depositions. The affidavits and 
depositions shall be as concise and brief as possible.



Sec. 1633.5  Securing information.

    The classifying authority is authorized to request and receive 
information whenever such information will assist in determining the 
proper classification of a registrant.



Sec. 1633.6  Consideration of classes.

    Claims of a registrant will be considered in inverse order of the 
listing of the classes below. When grounds are established to place a 
registrant in one or more of the classes listed in the following table, 
the registrant shall be classified in the lowest class for which he is 
determined to be eligible, with Class 1-A-O considered the highest class 
and Class 1-H considered the lowest class, according to the following 
table:

    Class 1-A-O: Conscientious Objector Available for Noncombatant 
Military Service Only.
    Class 1-O: Conscientious Objector to all Military Service.
    Class 1-O-S: Conscientious Objector to all Military Service 
(Separated).
    Class 2-D: Registrant Deferred Because of Study Preparing for the 
Ministry.
    Class 3-A: Registrant Deferred Because of Hardship to Dependents.
    Class 3-A-S: Registrant Deferred Because of Hardship to Dependents 
(Separated).
    Class 4-D: Minister of Religion.
    Class 1-D-D: Deferment for Certain Members of a Reserve Component or 
Student Taking Military Training.
    Class 4-B: Official Deferred by Law.
    Class 4-C: Alien or Dual National.
    Class 4-G: Registrant Exempted From Service Because of the Death of 
his Parent or Sibling While Serving in the Armed Forces or Whose Parent 
or Sibling is in a Captured or Missing in Action Status.
    Class 4-A: Registrant Who Has Completed Military Service.
    Class 4-A-A: Registrant Who Has Performed Military Service For a 
Foreign Nation.
    Class 4-W: Registrant Who Has Completed Alternative Service in Lieu 
of Induction.
    Class 1-D-E: Exemption of Certain Members of a Reserve Component or 
Student Taking Military Training.
    Class 1-C: Member of the Armed Forces of the United States, the 
National Oceanic and Atmospheric Administration, or the Public Health 
Service.
    Class 1-W: Conscientious Objector Ordered to Perform Alternative 
Service in Lieu of Induction.
    Class 4-T: Treaty Alien.
    Class 4-F-: Registrant Not Acceptable for Military Service.
    Class 1-H: Registrant Not Subject to Processing for Induction.

[52 FR 24457, July 1, 1987]

[[Page 338]]



Sec. 1633.7  General principles of classification.

    (a) Each classified registrant in a selection group is available for 
unrestricted military service until his eligibility for noncombatant 
service, alternative service, or deferment or exemption from service has 
been determined by a classifying authority.
    (b) The classifying authority in considering a registrant's claim 
for classification shall not discriminate for or against him because of 
his race, creed, color or ethnic background and shall not discriminate 
for or against him because of his membership or activity in any labor, 
political, religious, or other organization.

[47 FR 4654, Feb. 1, 1982, as amended at 52 FR 24457, July 1, 1987]



Sec. 1633.8  Basis of classification.

    The registrant's classification shall be determined on the basis of 
the official forms of the Selective Service System and other written 
information in his file, oral statements, if made by the registrant at 
his personal appearance before the board, and oral statements, if made 
by the registrant's witnesses at his personal appearance. Any 
information in any written summary of the oral information presented at 
a registrant's personal appearance that was prepared by an official of 
the Selective Service System or by the registrant will be placed in the 
registrant's file. The file shall be subject to review by the registrant 
during normal business hours.



Sec. 1633.9  Explanation of classification action.

    Whenever a classifying authority denies the request of a registrant 
for classification into a particular class or classifies a registrant in 
a class other than that which he requested, it shall record the reasons 
therefor in the registrant's file.



Sec. 1633.10  Notification to registrant of classification action.

    The Director will notify the registrant of any classification 
action.

[52 FR 24457, July 1, 1987]



Sec. 1633.11  Assignment of registrant to a local board.

    (a) A registrant is assigned to the local board that has 
jurisdiction over his permanent address that he last furnished the 
Selective Service System prior to the issuance of his induction order.
    (b) The Director may change a registrant's assignment when he deems 
it necessary to assure the fair and equitable administration of the 
Selective Service Law.

[52 FR 24457, July 1, 1987]



Sec. 1633.12  Reconsideration of classification.

    No classification is permanent. The Director of Selective Service 
may order the reconsideration of any classification action when the 
facts, upon which the classification is based, change or when he finds 
that the registrant made a misrepresentation of any material fact 
related to his claim for classification. No action may be taken under 
the preceding sentence of this paragraph unless the registrant is 
notified in writing of the impending action and the reasons thereof, and 
is given an opportunity to respond in writing within 10 days of the 
mailing of the notice. If the Director orders a reconsideration of a 
classification in accord with this paragraph, the claim will be treated 
in all respects as if it were the original claim for that 
classification.



PART 1636--CLASSIFICATION OF CONSCIENTIOUS OBJECTORS--Table of Contents




Sec.
1636.1  Purpose; definitions.
1636.2  The claim of conscientious objection.
1636.3  Basis for classification in Class 1-A-0.
1636.4  Basis for classification in Class 1-0.
1636.5  Exclusion from Class 1-A-0 and Class 1-0.
1636.6  Analysis of belief.
1636.7  Impartiality.
1636.8  Considerations relevant to granting or denying a claim for 
          classification as a conscientious objector.
1636.9  Types of decisions.
1636.10  Statement of reasons for denial.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

[[Page 339]]


    Source: 47 FR 4655, Feb. 1, 1982, unless otherwise noted.



Sec. 1636.1  Purpose; definitions.

    (a) The provisions of this part govern the consideration of a claim 
by a registrant for classification in Class 1-A-0 (Sec. 1630.11 of this 
chapter), or Class 1-0 (Sec. 1630.17 of this chapter).
    (b) The definitions of this paragraph shall apply in the 
interpretation of the provisions of this part:
    (1) Crystallization of a Registrant's Beliefs. The registrant's 
becoming conscious of the fact that he is opposed to participation in 
war in any form.
    (2) Noncombatant Service. Service in any unit of the Armed Forces 
which is unarmed at all times; any other military assignment not 
requiring the bearing of arms or the use of arms in combat or training 
in the use of arms.
    (3) Noncombatant Training. Any training which is not concerned with 
the study, use, or handling of arms or other implements of warfare 
designed to destroy human life.



Sec. 1636.2  The claim of conscientious objection.

    A claim to classification in Class 1-A-0 or Class 1-0, must be made 
by the registrant in writing. Claims and documents in support of claims 
may only be submitted after the registrant has received an order to 
report for induction or after the Director has made a specific request 
for submission of such documents. All claims or documents in support of 
claims received prior to a registrant being ordered to report for 
induction or prior to the Director's specific request for such 
documentation will be returned to the registrant and no file or record 
of such submission will be established.



Sec. 1636.3  Basis for classification in Class 1-A-0.

    (a) A registrant must be conscientiously opposed to participation in 
combatant training and service in the Armed Forces.
    (b) A registrant's objection may be founded on religious training 
and belief; it may be based on strictly religious beliefs, or on 
personal beliefs that are purely ethical or moral in source or content 
and occupy in the life of a registrant a place parallel to that filled 
by belief in a Supreme Being for those holding more traditionally 
religious views.
    (c) A registrant's objection must be sincere.

[47 FR 4655, Feb. 1, 1982, as amended at 52 FR 24457, July 1, 1987]



Sec. 1636.4  Basis for classification in Class 1-0.

    (a) A registrant must be conscientiously opposed to participation in 
war in any form and conscientiously opposed to participation in both 
combatant and noncombatant training and service in the Armed Forces.
    (b) A registrant's objection may be founded on religious training 
and belief; it may be based on strictly religious beliefs, or on 
personal beliefs that are purely ethical or moral in source or centent 
and occupy in the life of a registrant a place parallel to that filled 
by belief in a Supreme Being for those holding more traditionally 
religious views.
    (c) A registrant's objection must be sincere.



Sec. 1636.5  Exclusion from Class 1-A-0 and Class 1-0.

    A registrant shall be excluded from Class 1-A-0 or Class 1-0:
    (a) Who asserts beliefs which are of a religious, moral or ethical 
nature, but who is found not to be sincere in his assertions; or
    (b) Whose stated objection to participation in war does not rest at 
all upon moral, ethical, or religious principle, but instead rests 
solely upon considerations of policy, pragmatism, expediency, or his own 
self-interest or well-being; or
    (c) Whose objection to participation in war is directed against a 
particular war rather than against war in any form (a selective 
objection). If a registrant objects to war in any form, but also 
believes in a theocratic, spiritual war between the forces of good and 
evil, he may not by reason of that belief alone be considered a 
selective conscientious objector.



Sec. 1636.6  Analysis of belief.

    (a) A registrant claiming conscientious objection is not required to 
be a

[[Page 340]]

member of a peace church or any other church, religious organization, or 
religious sect to qualify for a 1-A-0 or 1-0 classification; nor is it 
necessary that he be affiliated with any particular group opposed to 
participation in war in any form.
    (b) The registrant who identifies his beliefs with those of a 
traditional church or religious organization must show that he basically 
adheres to beliefs of that church or religious organization whether or 
not he is actually affiliated with the institution whose teachings he 
claims as the basis of his conscientious objection. He need not adhere 
to all beliefs of that church or religious organization.
    (c) A registrant whose beliefs are not religious in the traditional 
sense, but are based primarily on moral or ethical principle should hold 
such beliefs with the same strength or conviction as the belief in a 
Supreme Being is held by a person who is religious in the traditional 
sense. Beliefs may be mixed; they may be a combination of traditional 
religious beliefs and nontraditional religious, moral or ethical 
beliefs. The registrant's beliefs must play a significant role in his 
life but should be evaluated only insofar as they pertain to his stated 
objection to his participation in war.
    (d) Where the registrant is or has been a member of a church, 
religious organization, or religious sect, and where his claim of a 
conscientious objection is related to such membership, the board may 
properly inquire as to the registrant's membership, the religious 
teachings of the church, religious organization, or religious sect, and 
the registrant's religious activity, insofar as each relates to his 
objection to participation in war. The fact that the registrant may 
disagree with or not subscribe to some of the tenets of his church or 
religious sect does not necessarily discredit his claim.
    (e)(1) The history of the process by which the registrant acquired 
his beliefs, whether founded on religious, moral, or ethical principle 
is relevant to the determination whether his stated opposition to 
participation in war in any form is sincere.
    (2) The registrant must demonstrate that his religious, ethical, or 
moral convictions were acquired through training, study, contemplation, 
or other activity comparable to the processes by which traditional 
religious convictions are formulated. He must show that these religious, 
moral, or ethical convictions, once acquired, have directed his life in 
the way traditional religious convictions of equal strength, depth, and 
duration have directed the lives of those whose beliefs are clearly 
founded in traditional religious conviction.
    (f) The registrant need not use formal or traditional language in 
describing the religious, moral, or ethical nature of his beliefs. Board 
members are not free to reject beliefs because they find them 
incomprehensible or inconsistent with their own beliefs.
    (g) Conscientious objection to participation in war in any form, if 
based on moral, ethical, or religious beliefs, may not be deemed 
disqualifying simply because those beliefs may influence the registrant 
concerning the Nation's domestic or foreign policy.

[47 FR 4655, Feb. 1, 1982, as amended at 52 FR 24457, July 1, 1987]



Sec. 1636.7  Impartiality.

    Boards may not give preferential treatment to one religion over 
another, and all beliefs whether of a religious, ethical, or moral 
nature are to be given equal consideration.



Sec. 1636.8  Considerations relevant to granting or denying a claim for classification as a conscientious objector.

    (a) After the registrant has submitted a claim for classification as 
a conscientious objector and his file is complete, a determination of 
his sincerity will be made based on:
    (1) All documents in the registrant's file folder; and
    (2) The oral statements of the registrant at his personal 
appearance(s) before the local and/or appeal board; and
    (3) The oral statements of the registrant's witnesses, if any, at 
his personal appearance(s) before the local board; and
    (4) The registrant's general demeanor during his personal 
appearance(s).

[[Page 341]]

    (b) The registrant's stated convictions should be a matter of 
conscience.
    (c) The board should be convinced that the registrant's personal 
history since the crystallization of his conscientious objection is not 
inconsistent with his claim and demonstrates that the registrant's 
objection is not solely a matter of expediency. A recent crystallization 
of beliefs does not in itself indicate expediency.
    (d) The information presented by the registrant should reflect a 
pattern of behavior in response to war and weapons which is consistent 
with his stated beliefs. Instances of violent acts or conviction for 
crimes of violence, or employment in the development or manufacturing of 
weapons of war, if the claim is based upon or supported by a life of 
nonviolence, may be indicative of inconsistent conduct.
    (e) The development of a registrant's opposition to war in any form 
may bear on his sincerity. If the registrant claims a recent 
crystallization of beliefs, his claim should be supported by evidence of 
a religious or educational experience, a traumatic event, an historical 
occasion, or some other special situation which explains when and how 
his objection to participation in war crystallized.
    (f) In the event that a registrant has previously worked in the 
development of or manufacturing of weapons of war or has served as a 
member of a military reserve unit, it should be determined whether such 
activity was prior to the stated crystallization of the registrant's 
conscientious objector beliefs. Inconsistent conduct prior to the actual 
crystallization of conscientious objector beliefs is not necessarily 
indicative of insincerity. But, inconsistent conduct subsequent to such 
crystallization may indicate that registrant's stated objection is not 
sincere.
    (g) A registrant's behavior during his personal appearance before a 
board may be relevant to the sincerity of his claim.
    (1) Evasive answers to questions by board members or the use of 
hostile, belligerent, or threatening words or actions, for example, may 
in proper circumstances be deemed inconsistent with a claim in which the 
registrant bases his objection on a belief in nonviolence.
    (2) Care should be exercised that nervous, frightened, or 
apprehensive behavior at the personal appearance is not misconstrued as 
a reflection of insincerity.
    (h) Oral response to questions posed by board members should be 
consistent with the written statements of the registrant and should 
generally substantiate the submitted information in the registrant's 
file folder; any inconsistent material should be explained by the 
registrant. It is important to recognize that the registrant need not be 
eloquent in his answers. But, a clear inconsistency between the 
registrant's oral remarks at his personal appearance and his written 
submission to the board may be adequate grounds, if not satisfactorily 
explained, for concluding that his claim is insincere.
    (i) The registrant may submit letters of reference and other 
supporting statements of friends, relatives and acquaintances to 
corroborate the sincerity of his claim, although such supplemental 
documentation is not essential to approval of his claim. A finding of 
insincerity based on these letters or supporting statements must be 
carefully explained in the board's decision, specific mention being made 
of the particular material relied upon for denial of classification in 
Class 1-A-0 or Class 1-0.

[47 FR 4655, Feb. 1, 1982, as amended at 52 FR 24457, July 1, 1987; 60 
FR 13908, Mar. 15, 1995]



Sec. 1636.9  Types of decisions.

    The following are the types of decisions which may be made by a 
board when a claim for classification in Class 1-A-0 or Class 1-0 has 
been considered.
    (a) Decision to grant a claim for classification in Class 1-A-0 or 
Class 1-0, as requested, based on a determination that the truth or 
sincerity of the registrant's claim is not refuted by any information 
contained in the registrant's file or obtained during his personal 
appearance.
    (b) Decision to deny a claim for classification in Class 1-A-0 or 
Class 1-0 based on all information before the board, and a finding that 
such information fails to meet the tests specified in

[[Page 342]]

Sec. 1636.3 or 1636.4 of this part. If supported by information 
contained in the registrant's file or obtained during his personal 
appearance the board may find that the facts presented by the registrant 
in support of his claim are untrue.

[47 FR 4655, Feb. 1, 1982, as amended at 53 FR 25328, July 6, 1988]



Sec. 1636.10  Statement of reasons for denial.

    (a) Denial of a conscientious objector claim by a board must be 
accompanied by a statement specifying the reason(s) for such denial as 
prescribed in Secs. 1633.9, 1651.4 and 1653.3 of this chapter. The 
reason(s) must, in turn, be supported by evidence in the registrant's 
file.
    (b) If a board's denial is based on statements by the registrant or 
on a determination that the claim is inconsistent or insincere, this 
should be fully explained in the statement of reasons accompanying the 
denial.



PART 1639--CLASSIFICATION OF REGISTRANTS PREPARING FOR THE MINISTRY--Table of Contents




Sec.
1639.1  Purpose; definitions.
1639.2  The claim for Class 2-D.
1639.3  Basis for classification in Class 2-D.
1639.4  Exclusion from Class 2-D.
1639.5  Impartiality.
1639.6  Considerations relevant to granting or denying claims for Class 
          2-D.
1639.7  Types of decisions.
1639.8  Statement of reason for denial.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 47 FR 4657, Feb. 1, 1982, unless otherwise noted.



Sec. 1639.1  Purpose; definitions.

    (a) The provisions of this part shall govern the consideration of a 
claim by a registrant for classification in Class 2-D (Sec. 1630.26 of 
this chapter).
    (b) The definitions of this paragraph shall apply to the 
interpretation of the provisions of this part:
    (1) The term ministry refers to the vocation of a duly ordained 
minister of religion or regular minister of religion as defined in part 
1645 of this chapter.
    (2) The term recognized church or religious organization refers to a 
church or religious organization established on the basis of a community 
of faith and belief, doctrines and practices of a religious character, 
and which engages primarily in religious activities.
    (3) The term recognized theological or divinity school refers to a 
theological or divinity school whose graduates are acceptable for 
ministerial duties either as an ordained or regular minister by the 
church or religious organization sponsoring a registrant as a 
ministerial student.
    (4) The term graduate program refers to a program in which the 
registrant's studies are officially approved by his church or religious 
organization for entry into service as a regular or duly ordained 
minister of religion.
    (5) The term full-time intern applies to a program that must run 
simultaneous with or immediately follow the completion of the 
theological or divinity training and is required by a recognized church 
or religious organization for entry into the ministry.
    (6) The term satisfactorily pursuing a full-time course of 
instruction means maintaining a satisfactory academic record as 
determined by the institution while receiving full-time instructions in 
a structured learning situation. A full-time course of instruction does 
not include instructions received pursuant to a mail order program.



Sec. 1639.2  The claim for Class 2-D.

    A claim to classification in Class 2-D must be made by the 
registrant in writing, such document being placed in his file folder.



Sec. 1639.3  Basis for classification in Class 2-D.

    (a) In Class 2-D shall be placed any registrant who is preparing for 
the ministry under the direction of a recognized church or religious 
organization; and
    (1) Who is satisfactorily pursuing a full-time course of instruction 
required for entrance into a recognized theological or divinity school 
in which he has been pre-enrolled or accepted for admission; or
    (2) Who is satisfactorily pursuing a full-time course of instruction 
in a recognized theological or divinity school; or

[[Page 343]]

    (3) Who, having completed theological or divinity school, is a 
student in a full-time graduate program or is a full-time intern, and 
whose studies are related to and lead toward entry into service as a 
regular or duly ordained minister of religion. Satisfactory progress in 
these studies as determined by the school in which the registrant is 
enrolled, must be maintained for qualification for the deferment.
    (b) The registrant's classification shall be determined on the basis 
of the written information in his file folder, oral statements, if made 
by the registrant at his personal appearance before a board, and oral 
statements, if made by the registrant's witnesses at his personal 
appearance.

[47 FR 4657, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1639.4  Exclusion from Class 2-D.

    A registrant shall be excluded from Class 2-D when:
    (a) He fails to establish that the theological or divinity school is 
a recognized school; or
    (b) He fails to establish that the church or religious organization 
which is sponsoring him is so recognized; or
    (c) He ceases to be a full-time student; or
    (d) He fails to maintain satisfactory academic progress.



Sec. 1639.5  Impartiality.

    Boards may not give precedence to any religious organization or 
school over another, and all are to be given equal consideration.



Sec. 1639.6  Considerations relevant to granting or denying claims for Class 2-D.

    (a) The registrant's claim for Class 2-D must include the following:
    (1) A statement from a church or religious organization that the 
registrant is preparing for the ministry under its direction; and
    (2) Current certification to the effect that the registrant is 
satisfactorily pursuing a full-time course of instruction required for 
entrance into a recognized theological or divinity school in which he 
has been pre-enrolled; or
    (3) Current certification to the effect that the registrant is 
satisfactorily pursuing a full-time course of instruction in a 
recognized theological or divinity school; or
    (4) Current certification to the effect that the registrant, having 
completed theological or divinity school, is satisfactorily pursuing a 
full-time graduate program or is a full-time intern, whose studies are 
related to and lead toward entry into service as a regular or duly 
ordained minister of religion.
    (b) A board may require the registrant to obtain from the church, 
religious organization, or school detailed information in order to 
determine whether or not the theological or divinity school is in fact a 
recognized school or whether or not the church or religious organization 
which is sponsoring the registrant is recognized.

[47 FR 4657, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1639.7  Types of decisions.

    (a) A board may grant a classification into Class 2-D until the end 
of the academic school year.
    (b) Upon the expiration of a 2-D classification, a board shall 
review any request for extension of the classification in the same 
manner as the first request for Class 2-D. This section does not relieve 
a registrant of his duties under Sec. 1621.1 of this chapter.
    (c) The board may deny a claim for Class 2-D when the evidence fails 
to merit any of the criteria established in this section.

[47 FR 4657, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1639.8  Statement of reason for denial.

    (a) Denial of a claim for a ministerial student deferment by a board 
must be accompanied by a statement specifying the reason(s) for such 
denial as prescribed in Secs. 1633.9, 1651.4 and 1653.3 of this chapter. 
The reason(s) must in turn, be supported by evidence in the registrant's 
file.
    (b) If a board's denial is based on statements by the registrant or 
his witnesses at a personal appearance, this must be fully explained in 
the statement of reasons accompanying the denial.

[[Page 344]]



PART 1642--CLASSIFICATION OF REGISTRANTS DEFERRED BECAUSE OF HARDSHIP TO DEPENDENTS--Table of Contents




Sec.
1642.1  Purpose; definitions.
1642.2  The claim for classification in Class 3-A.
1642.3  Basis for classification in Class 3-A.
1642.4  Ineligibility for Class 3-A.
1642.5  Impartiality.
1642.6  Considerations relevant to granting or denying claims for Class 
          3-A.
1642.7  Types of decisions.
1642.8  Statement of reason for denial.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq. E.O. 11623.

    Source: 47 FR 4658, Feb. 1, 1982, unless otherwise noted.



Sec. 1642.1  Purpose; definitions.

    (a) The provisions of this part govern the consideration of a claim 
by a registrant for classification in Class 3-A (Sec. 1630.30 of this 
chapter).
    (b) The following definitions apply to the interpretation of the 
provisions of this part.
    (1) The term dependent shall apply to the wife, child, parent, 
grandparent, brother or sister of a registrant.
    (2) The term child includes an unborn child, a stepchild, a foster 
child or a legally adopted child, who is legitimate or illegitimate, but 
shall not include any person 18 years of age or older unless he or she 
is physically or mentally handicapped.
    (3) The term parent shall include any person who has stood in the 
place of a parent to the registrant for at least 5 years preceding the 
18th anniversary of the registrant's date of birth and is now supported 
in good faith by the registrant.
    (4) The term brother or sister shall include a person having one or 
both parents in common with the registrant, who is either under 18 years 
of age or is physically or mentally handicapped.
    (5) The term support includes but is not limited to financial 
assistance.
    (6) Hardship is the unreasonable deprivation of a dependent of the 
financial assistance, personal care or companionship furnished by the 
registrant when that deprivation would be caused by the registrant's 
induction.



Sec. 1642.2  The claim for classification in Class 3-A.

    A claim for classification in Class 3-A must be made by the 
registrant in writing. Prior to the consideration of the claim, the 
registrant shall submit supporting documentation, such documents being 
placed in his file folder.



Sec. 1642.3  Basis for classification in Class 3-A.

    (a) In Class 3-A shall be placed any registrant:
    (1) Whose induction would result in extreme hardship to his wife 
when she alone is dependent upon him for support; or
    (2) Whose deferment is advisable because his child(ren), parent(s), 
grandparent(s), brother(s), or sister(s) is dependent upon him for 
support; or
    (3) Whose deferment is advisable because his wife and child(ren), 
parent(s), grandparent(s), brother(s), or sister(s) are dependent upon 
him for support.
    (b) In its consideration of a claim by a registrant for 
classification in Class 3-A, the board will first determine whether the 
registrant's wife, child(ren), parent(s), grandparent(s), brother(s), or 
sister(s) is dependent upon the registrant for support. Support may be 
financial assistance, personal care or companionship. If financial 
assistance is the basis of support, the registrant's contribution must 
be a substantial portion of the necessities of the dependent. Under most 
circumstances 40 to 50% of the cost of the necessities may be considered 
substantial. If that determination is affirmative, the board will 
determine whether the registrant's induction would result in extreme 
hardship to his wife when she is the only dependent, or whether the 
registrant's deferment is advisable because his child(ren), parent(s), 
grandparent(s), brother(s), or sister(s) is dependent upon him for 
support, or because his wife and his child(ren), parent(s), 
grandparent(s), brother(s), or sister(s) are dependent upon him for 
support. A deferment is advisable whenever the registrant's induction 
would result in hardship to his dependents.
    (c) The registrant's classification shall be determined on the basis 
of the written information in his file, oral

[[Page 345]]

statements, if made by the registrant at his personal appearance before 
a board, and oral statements, if made by the registrant's witnesses at 
his personal appearances.

[52 FR 24458, July 1, 1987]



Sec. 1642.4  Ineligibility for Class 3-A.

    (a) A registrant is ineligible for Class 3-A when:
    (1) He assumed an obligation to his dependents specifically for the 
purpose of evading training and service; or
    (2) He acquired excessive financial obligations primarily to 
establish his dependency claim; or
    (3) His dependents would not be deprived of reasonable support if 
the registrant is inducted; or
    (4) There are other persons willing and able to assume the support 
of his dependents; or
    (5) The dependents would suffer only normal anguish of separation 
from the registrant if he is inducted; or
    (6) The hardship to a dependent is based solely on financial 
conditions and can be removed by payment and allowances which are 
payable by the United States to the dependents of persons who are 
serving in the Armed Forces; or
    (7) The hardship to the dependent is based upon considerations that 
can be eliminated by payments and allowances which are payable by the 
United States to the dependents of persons who are serving in the Armed 
Forces.
    (b) [Reserved]

[47 FR 4658, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1642.5  Impartiality.

    (a) Boards shall consider all questions in a claim for 
classification in Class 3-A with equal consideration of race, creed, 
color, sex or ethnic background.
    (b) Boards may not give precedence to one type of dependency 
hardship over another.

[52 FR 24458, July 1, 1987]



Sec. 1642.6  Considerations relevant to granting or denying claims for Class 3-A.

    (a) The registrant's claim for Class 3-A must include the following, 
with documentation, as applicable:
    (1) Registrant's and his dependent's marital status;
    (2) Physician's statement concerning any dependent who is physically 
or mentally handicapped;
    (3) Employment status of registrant and his dependents; and
    (b) Each case must be weighed carefully and decided on its own 
merits.



Sec. 1642.7  Types of decisions.

    (a) A board may grant a classification into Class 3-A for such 
period of time it deems appropriate but in no event the period exceed 
one year.
    (b) Upon the expiration of a 3-A classification a board shall review 
any request for an extension of the classification as if it were the 
first request for that classification, and the fact that the registrant 
was placed in Class 3-A under apparently similar circumstances will not 
be a factor in the decision of the board. This section does not relieve 
a registrant from his duties under Sec. 1621.1 of this chapter.
    (c) [Reserved]
    (d) A board shall deny a claim for Class 3-A when the evidence fails 
to meet the criteria established in this part.

[47 FR 4658, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1642.8  Statement of reason for denial.

    (a) Denial of a claim for Class 3-A by a board must be accompanied 
by a statement specifying the reason(s) for such denial as prescribed in 
Secs. 1633.9, 1651.4 and 1653.3 of this chapter. The reason must in 
turn, be supported by evidence in the registrant's file.
    (b) If a board's denial is based on statements by the registrant or 
his witnesses at a personal appearance, this must be fully explained in 
the statement of reasons accompanying the denial.

[[Page 346]]



PART 1645--CLASSIFICATION OF MINISTERS OF RELIGION--Table of Contents




Sec.
1645.1  Purpose; definitions.
1645.2  The claim for minister of religion classification.
1645.3  Basis for classification in Class 4-D.
1645.4  Exclusion from Class 4-D.
1645.5  Impartiality.
1645.6  Considerations relevant to granting or denying a claim for Class 
          4-D.
1645.7  Evaluation of claim.
1645.8  Types of decisions.
1645.9  Statement of reason for denial.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.

    Source: 47 FR 4660, Feb. 1, 1982, unless otherwise noted.



Sec. 1645.1  Purpose; definitions.

    (a) The provisions of this part govern the consideration of a claim 
by a registrant for classification in Class 4-D (Sec. 1630.43 of this 
chapter).
    (b) The definitions of this paragraph shall apply in the 
interpretation of the provisions of this part:
    (1) The term duly ordained minister of religion means a person:
    (i) Who has been ordained in accordance with the ceremonial ritual 
or discipline of a church, religious sect, or organization established 
on the basis of a community of faith and belief, doctrines and practices 
of a religious character; and
    (ii) Who preaches and teaches the doctrines of such church, sect, or 
organization; and
    (iii) Who administers the rites and ceremonies thereof in public 
worship; and
    (iv) Who, as his regular and customary vocation, preaches and 
teaches the principles of religion; and
    (v) Who administers the ordinances of public worship as embodied in 
the creed or principles of such church, sect, or organization.
    (2) The term regular minister of religion means one who as his 
customary vocation preaches and teaches the principles of religion of a 
church, a religious sect, or organization of which he is a member, 
without having been formally ordained as a minister of religion, and who 
is recognized by such church, sect, or organization as a regular 
minister.
    (3) The term regular or duly ordained minister of religion does not 
include:
    (i) A person who irregularly or incidentally preaches and teaches 
the principles of religion of a church, religious sect, or organization; 
or
    (ii) Any person who has been duly ordained a minister in accordance 
with the ceremonial rite or discipline of a church, religious sect or 
organization, but who does not regularly, as a bona fide vocation, teach 
and preach the principles of religion and administer the ordinances of 
public worship, as embodied in the creed or principles of his church, 
sect, or organization.
    (4) The term vocation denotes one's regular calling or full-time 
profession.



Sec. 1645.2  The claim for minister of religion classification.

    A claim to classification in Class 4-D must be made by the 
registrant in writing, such document being placed in his file folder.



Sec. 1645.3  Basis for classification in Class 4-D.

    In accordance with part 1630 of this chapter any registrant shall be 
placed in Class 4-D who is a:
    (a) Duly ordained minister of religion; or
    (b) Regular minister of religion.



Sec. 1645.4  Exclusion from Class 4-D.

    A registrant is excluded from Class 4-D when his claim clearly shows 
that:
    (a) He is not a regular minister or a duly ordained minister; or
    (b) He is a duly ordained minister of religion in accordance with 
the ceremonial rite or discipline of a church, religious sect or 
organization, but who does not regularly as his bona fide vocation, 
teach and preach the principles of religion and administer the 
ordinances of public worship, as embodied in the creed or principles of 
his church, sect, or organization; or
    (c) He is a regular minister of religion, but does not regularly, as 
his bona fide vocation, teach and preach the principles of religion; or
    (d) He is not recognized by the church, sect, or organization as a 
regular minister of religion; or

[[Page 347]]

    (e) He is a duly ordained minister of religion but does not 
administer the ordinances of public worship, as embodied in the creed of 
his church, sect, or organization.



Sec. 1645.5  Impartiality.

    Boards may not give preferential treatment to one religion or sect 
over another and no preferential treatment will be given a duly ordained 
minister over a regular minister.



Sec. 1645.6  Considerations relevant to granting or denying a claim for Class 4-D.

    (a) The board shall first determine whether the registrant is 
requesting classification in Class 4-D because he is a regular minister 
of religion or because he is a duly ordained minister of religion.
    (b) If the registrant claims to be a duly ordained minister of 
religion, the board will:
    (1) Determine whether the registrant has been ordained, in 
accordance with the ceremonial ritual or discipline of a church, 
religious sect, or organization established on the basis of a community 
of faith and belief, doctrines and practices of religious character, to 
preach and teach the doctrines of such church, sect, or organization and 
to administer the rites and ceremonies thereof in public worship; and
    (2) Determine whether the registrant as his regular, customary, and 
bona fide vocation, preaches and teaches the principles of religion and 
administers the ordinances of public worship, as embodied in the creed 
or principles of the church, sect, or organization by which the 
registrant was ordained.
    (c) If the registrant claims to be a regular minister of religion, 
the board will:
    (1) Determine whether the registrant as his customary and regular 
calling or customary and regular full-time profession, preaches and 
teaches the principles of religion of a church, a religious sect, or 
organization of which he is a member, without having been formally 
ordained as a minister of religion; and
    (2) Determine whether the registrant is recognized by such church, 
sect, or organization as a regular minister.
    (d) If the board determines that the registrant is a regular 
minister of religion or duly ordained minister of religion he shall be 
classified in Class 4-D.



Sec. 1645.7  Evaluation of claim.

    (a) In evaluating a claim for classification in Class 4-D, the board 
will not consider:
    (1) The training or abilities of the registrant for duty as a 
minister; or
    (2) The motive or sincerity of the registrant in serving as a 
minister.
    (b) The board should be careful to ascertain the actual duties and 
functions of registrants seeking classification in Class 4-D, such 
classification being appropriate only for leaders of the various 
religious groups, not granted to members of such groups generally.
    (c) Preaching and teaching the principles of one's sect, if 
performed part-time or half-time, occasionally or irregularly, are 
insufficient to establish eligiblity for Class 4-D. These activities 
must be regularly performed and must comprise the registrant's regular 
calling or full-time profession. The mere fact of some secular 
employment on the part of a registrant requesting classification in 
Class 4-D does not in itself make him ineligible for that class.
    (d) The board should request the registrant to furnish any 
additional information that it believes will be of assistance in the 
consideration of the registrant's claim for classification in Class 4-D.



Sec. 1645.8  Types of decisions.

    (a) If the board determines that the registrant is a regular 
minister of religion or a duly ordained minister of religion, he shall 
be classified in Class 4-D.
    (b) The board will deny a claim for Class 4-D when the evidence 
fails to meet the criteria established in this part.



Sec. 1645.9  Statement of reason for denial.

    (a) Denial of a 4-D claim by a board must be accompanied by a 
statement specifying the reason(s) for such denial as prescribed in 
Secs. 1633.9, 1651.4 and 1653.3 of this chapter. The reason(s)

[[Page 348]]

must in turn, be supported by evidence in the registrant's file.
    (b) If the board's denial is based on statements by the registrant 
or his witnesses at a personal appearance or on documentation in the 
registrant's file, such basis will be fully explained in the statement 
of reasons accompanying the denial.



PART 1648--CLASSIFICATION BY LOCAL BOARD--Table of Contents




Sec.
1648.1  Authority of local board.
1648.3  Opportunity for personal appearances.
1648.4  Appointment for personal appearances.
1648.5  Procedures during personal appearance before the local board.
1648.6  Registrants transferred for classification.
1648.7  Procedures upon transfer for classification.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.



Sec. 1648.1  Authority of local board.

    A local board shall consider and determine all claims which it 
receives in accord with Sec. 1633.2 or Sec. 1648.6 of this chapter. No 
action shall be taken by the board in the absence of a quorum of its 
prescribed membership.

[52 FR 24458, July 1, 1987]



Sec. 1648.3  Opportunity for personal appearances.

    (a) A registrant who has filed a claim for classification in Class 
1-A-O or Class 1-O shall be scheduled for a personal appearance in 
accord with Sec. 1648.4 before his claim is considered.
    (b) A registrant who has filed a claim for classification in Class 
2-D, Class 3-A, or Class 4-D, shall, upon his written request, be 
afforded an opportunity to appear in person before the board before his 
claim for classification is considered.
    (c) Any registrant who has filed a claim for classification in an 
administrative class and whose claim has been denied, shall be afforded 
an opportunity to appear before the board if he requests that the denial 
of such claim be reviewed by the board.

[47 FR 4661, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1648.4  Appointment for personal appearances.

    (a) Not less than 10 days (unless the registrant requests an earlier 
appointment) in advance of the meeting at which he may appear, the 
registrant shall be informed of the time and place of such meeting and 
that he may present evidence, including witnesses, bearing on his 
classification.
    (b) Should the registrant who has filed a claim for classification 
in Class 1-A-O or Class 1-O fail to appear at his scheduled personal 
appearance, the board will not consider his claim for classification in 
Class 1-A-O or Class 1-O. The board shall consider any written 
explanation of such failure that has been filed within 5 days (or 
extension thereof granted by the board) after such failure to appear. It 
the board determines that the registrant's failure to appear was for 
good cause it shall reschedule the registrant's personal appearance. If 
the board does not receive a timely written explanation of the 
registrant's failure to appear for his scheduled personal appearance or 
if the board determines that the registrant's failure to appear was not 
for good cause, the registrant will be deemed to have abandoned his 
claim for Class 1-A-O or 1-O and will be notified that his claim will 
not be considered. The board will notify the registrant in writing of 
its action under this paragraph.
    (c) Whenever a registrant who has filed a claim for a class other 
than Class 1-A-0 or Class 1-0 for whom a personal appearance has been 
scheduled, fails to appear in accord with such schedule, the board shall 
consider any written explanation of such failure that has been filed 
within 5 days (or extension thereof granted by the board) after such 
failure to appear. If the board determines that the registrant's failure 
to appear was for good cause it shall reschedule the registrant's 
personal appearance. If the board does not receive a timely written 
explanation of the registrant's failure to appear for his scheduled 
personal appearance or if

[[Page 349]]

the board determines that the registrant's failure to appear was not for 
good cause, the registrant will be deemed to have abandoned his request 
for personal appearance and the board will proceed to classify him on 
the basis of the material in his file. The board will notify the 
registrant in writing of its action under this paragraph.

[47 FR 4661, Feb. 1, 1982, as amended at 52 FR 24458, July 1, 1987]



Sec. 1648.5  Procedures during personal appearance before the local board.

    (a) A quorum of the prescribed membership of a board shall be 
present during all personal appearances. Only those members of the board 
before whom the registrant appears shall classify him.
    (b) At any such appearance, the registrant may present evidence, 
including witnesses; discuss his classification; direct attention to any 
information in his file; and present such further information as he 
believes will assist the board in determing his proper classification. 
The information furnished should be as concise as possible.
    (c) The registrant may present the testimony of not more than three 
witnesses unless it is the judgment of the board that the testimony of 
additional witnesses is warranted. The registrant may summarize in 
writing, the oral information that he or his witnesses presented. Such 
summary shall be placed in the registrant's file.
    (d) A summary will be made of all oral testimony given by the 
registrant and his witnesses at his personal appearance and such summary 
shall be placed in the registrant's file.
    (e) If the registrant does not speak English adequately he may 
appear with a person to act as interpreter for him. The interpreter 
shall be sworn in accordance with Sec. 1605.81(b). Such interpreter will 
not be deemed to be a witness unless he testifies in behalf of the 
registrant.
    (f) During the personal appearance only the registrant or his 
witnesses may address the board or respond to questions of the board and 
only the registrant and the board will be allowed to address questions 
to witnesses. A registrant may, however, be accompanied by an advisor of 
his choosing and may confer with the advisor before responding to an 
inquiry or statement by the board: Provided, That, those conferences do 
not substantially interfere with or unreasonably delay the orderly 
process of the personal appearance.
    (g) If, in the opinion of the board, the informal, administrative 
nature of the personal appearance is unduly disrupted by the presence of 
an advisor, the board chairman may require the advisor to leave the 
hearing room. In such case, the board chairman shall put a statement of 
reasons for his action in the registrant's file.
    (h) The making of verbatim transcripts, and the using of cameras or 
other recording devices are prohibited in proceedings before the board. 
This does not prevent the registrant or Selective Service from making a 
written summary of all testimony presented.
    (i) Proceedings before the local boards shall be open to the public 
only upon the request of or with the permission of the registrant. The 
board chairman may limit the number of persons attending the hearing in 
order to maintain order. If during the hearing the presence on 
nonparticipants in the proceeding becomes disruptive, the chairman may 
close the hearing.

[47 FR 4661, Feb. 1, 1982, as amended at 52 FR 24459, July 1, 1987]



Sec. 1648.6  Registrants transferred for classification.

    (a) Before a board of jurisdiction has undertaken the classification 
of a registrant, the file may, at his request, be transferred for 
classification to a local board nearer to his current address than is 
the local board of jurisdiction.
    (b) The Director of Selective Service may transfer a registrant to 
another board for classification at any time when:
    (1) A board cannot act on the registrant's claim because of 
disqualification under the provisions of Sec. 1605.55 of this chapter; 
or
    (2) He deems such transfer to be necessary in order to assure 
equitable administration of the Selective Service Law.

[47 FR 4661, Feb. 1, 1982, as amended at 52 FR 24459, July 1, 1987]

[[Page 350]]



Sec. 1648.7  Procedures upon transfer for classification.

    A board to which a registrant is transferred for classification 
shall classify the registrant in the same manner it would classify a 
registrant assigned to it. When the classification has been decided by 
the transfer board, the file will be returned to the local board of 
jurisdiction in the manner prescribed by the Director.

[47 FR 4661, Feb. 1, 1982]



PART 1651--CLASSIFICATION BY DISTRICT APPEAL BOARD--Table of Contents




Sec.
1651.1  Who may appeal to a district appeal board.
1651.2  Time within which registrants may appeal.
1651.3  Procedures for taking an appeal.
1651.4  Review by district appeal board.
1651.5  File to be returned after appeal to the district appeal board is 
          decided.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq. E.O. 11623.

    Source: 47 FR 4662, Feb. 1, 1982, unless otherwise noted.



Sec. 1651.1  Who may appeal to a district appeal board.

    (a) The Director of Selective Service may appeal from any 
determination of a local board when he deems it necessary to assure the 
fair and equitable administration of the Selective Service Law: 
Provided, That, no such appeal will be taken after the expiration of the 
appeal period prescribed in Sec. 1651.2.
    (b) The registrant may appeal to a district appeal board the denial 
of his claim for a judgmental classification by the local board. The 
registrant may appeal to a district appeal board the denial of his claim 
for an administrative classification by the local board whenever its 
decisions is not unanimous.

[47 FR 4662, Feb. 1, 1982, as amended at 52 FR 24459, July 1, 1987]



Sec. 1651.2  Time within which registrants may appeal.

    The registrant who wishes to appeal must file the appeal with his 
local board within 15 days after the date he is mailed a notice of 
classification action. The registrant who wishes a personal appearance 
before the district appeal board must file the request at the same time 
he files the appeal.



Sec. 1651.3  Procedures for taking an appeal.

    (a) When the Director of Selective Service appeals to a district 
appeal board he shall place in the registrant's file a written statement 
of his reasons for taking such appeal. When an appeal is taken by the 
Director, the registrant will be notified that the appeal has been 
taken, the reason therefor, and that the registrant may appear in person 
before the appeal board in accord with Sec. 1651.4(e).
    (b) The registrant may appeal the classification action of the local 
board by filing with it a written notice of appeal. The registrant's 
notice of appeal need not be in a particular form but must include the 
name of the registrant and his request. Any notice shall be liberally 
construed so as to permit the appeal.
    (c) The registrant may also request an opportunity to appear in 
person before the district appeal board and such appeal will be 
considered by the board having jurisdiction over the local board which 
last classified him.
    (d) The registrant may attach to his appeal a statement specifying 
the reasons he believes the classification action that he is appealing 
is inappropriate, directing attention to any information in his file, 
and setting out any information relevant to his claim.



Sec. 1651.4  Review by district appeal board.

    (a) An appeal to the district appeal board is determined by the 
classification of the registrant in a class other than 1-A or by its 
refusal to take such action. No action shall be taken by the board in 
the absence of a quorum of its prescribed membership.
    (b) Prior to the adjudication of an appeal, the clerk of the appeal 
board or any compensated employee authorized to perform the 
administrative duties of the board shall review the file to insure that 
no procedural errors have occurred during the history of the current 
claim. Files containing procedural errors will be returned to the local

[[Page 351]]

board that classified the registrant for any additional processing 
necessary to correct such errors.
    (c) Files containing procedural errors that were not detected during 
the initial screening but which subsequently surfaced during processing 
by the appeal board, will be acted on and the board will take such 
action necessary to correct the errors and process the appeal to 
completion.
    (d) A board shall consider appeals in the order of their having been 
filed.
    (e) Upon receipt of the registrant's file, a board shall ascertain 
whether the registrant has requested a personal appearance before the 
board. If no such request has been made, the board may classify the 
registrant on the bases of the material in his file.
    (f) Not less than 10 days (unless the registrant requests an earlier 
appointment) in advance of the meeting at which his classification will 
be considered, the board shall inform any registrant with respect to 
whom the Director of Selective Service has appealed or who has requested 
a personal appearance that he may appear at such meeting and present 
written evidence bearing on his classification.
    (g) During the personal appearance, only the registrant may address 
the board or respond to questions of the board. The registrant will not 
be permitted to present witnesses at the personal appearance before the 
district appeal board. A registrant may, however, be accompanied by an 
advisor of his choosing and may confer with the advisor before 
responding to an inquiry or statement by the board: Provided, That, 
those conferences do not substantially interfere with or unreasonably 
delay the orderly process of the personal appearance.
    (h) If, in the opinion of the board, the informal, administrative 
nature of the hearing is unduly disrupted by the presence of an advisor 
during the personal appearance, the board chairman may require the 
advisor to leave the hearing room. In such case, the board chairman 
shall put a statement of reasons for his action in the registrant's 
file.
    (i) Whenever a registrant who has filed a claim for whom a personal 
appearance has been scheduled, fails to appear in accord with such 
schedule, the board shall consider any written explanation of such 
failure that has been filed within 5 days (or extension thereof granted 
by the board) after such failure to appear. If the board determines that 
the registrant's failure to appear was for good cause it shall 
reschedule the registrant's personal appearance. If the board does not 
receive a timely written explanation of the registrant's failure to 
appear for his scheduled personal appearance or if the board determines 
that the registrant's failure to appear was not for good cause, the 
registrant will be deemed to have abandoned his request for personal 
appearance and he will be classified on the basis of the material in his 
file. The board will notify the registrant in writing of its action 
under this paragraph.
    (j) A quorum of the prescribed membership of a board shall be 
present during all personal appearances. Only those members of the board 
before whom the registrant appears shall classify him.
    (k) At any personal appearance, the registrant may: Present his oral 
testimony; point out the class or classes in which he thinks he should 
have been placed; and direct attention to any information in his file. 
The registrant may present any additional written information he 
believes will assist the board in determining his proper classification. 
The information furnished should be as concise as possible.
    (l) The registrant may summarize in writing the oral information 
that he presented. Such summary shall be placed in the registrant's 
file.
    (m) A summary will be made of oral testimony given by the registrant 
at his personal appearance and such summary shall be placed in the 
registrant's file.
    (n) A district appeal board shall classify a registrant who has 
requested a personal appearance after he:
    (1) Has appeared before the board; or
    (2) Has withdrawn his request to appear; or
    (3) Has abandoned his right to an opportunity to appear; or
    (4) Has failed to appear.

[[Page 352]]

    (o) In considering a registrant's appeal, a board shall not receive 
or consider any information other than the following:
    (1) Information contained in the registrant's file; and
    (2) Oral statements by the registrant during the registrant's 
personal appearance; and
    (3) Written evidence submitted by the registrant to the board during 
his personal appearance.
    (p) In the event a board classifies the registrant in a class other 
than that which he requested, it shall record its reasons therefor in 
the file.
    (q) The making of verbatim transcripts, and the using of cameras or 
other recording devices are prohibited in proceedings before the board. 
This does not prevent the registrant or Selective Service from making a 
written summary of his testimony.
    (r) Proceedings before the appeal boards shall be open to the public 
only upon the request of or with the permission of the registrant. The 
board chairman may limit the number of persons attending the hearing in 
order to maintain order. If during the hearing the presence of non-
participants in the proceedings becomes disruptive the chairman may 
close the hearing.

[47 FR 4662, Feb. 1, 1982, as amended at 52 FR 24459, July 1, 1987]



Sec. 1651.5  File to be returned after appeal to the district appeal board is decided.

    When the appeal to a district appeal board has been decided, the 
file shall be returned as prescribed by the Director of Selective 
Service.



PART 1653--APPEAL TO THE PRESIDENT--Table of Contents




Sec.
1653.1  Who may appeal to the President.
1653.2  Procedures for taking an appeal to the President.
1653.3  Review by the National Appeal Board.
1653.4  File to be returned after appeal to the President is decided.

    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.: E.O. 11623.

    Source: 47 FR 4663, Feb. 1, 1982, unless otherwise noted.



Sec. 1653.1  Who may appeal to the President.

    (a) The Director of Selective Service may appeal to the President 
from any non-unanimous determination of a district appeal board when he 
deems it necessary to assure the fair and equitable administration of 
the Selective Service Law: Provided, That, no such appeal will be taken 
after the expiration of the appeal period prescribed in paragraph (b) of 
this section.
    (b) When a registrant has been classified by a district appeal board 
and one or more members of the board dissented from that classification, 
he may within 15 days after a notice thereof has been mailed, appeal to 
the President and may request a personal appearance before the National 
Selective Service Appeal Board.



Sec. 1653.2  Procedures for taking an appeal to the President.

    (a) When the Director of Selective Service appeals to the President 
he shall place in the registrant's file a written statement of his 
reasons for taking such appeal. When an appeal is taken by the Director 
the registrant will be notified that the appeal has been taken, the 
reasons therefor, and that the registrant may appear in person before 
the National Board in accord with Sec. 1653.1(b).
    (b) An appeal to the President by the registrant shall be taken by 
filing a written notice of appeal with the local board that classified 
him. He may at the same time file a written request to appear before the 
National Selective Service Appeal Board. Such notice need not be in any 
particular form but must state the name of the registrant and the fact 
that he wishes the President to review the determination.



Sec. 1653.3  Review by the National Appeal Board.

    (a) An appeal to the President is determined by the National Appeal 
Board by its classification of the registrant in a class other than 1-A 
or by its refusal to take such action. No action shall be taken by the 
board in the absence of a quorum of its prescribed membership.
    (b) Prior to the adjudication of an appeal, the clerk of the appeal 
board or any compensated employee authorized

[[Page 353]]

to perform the administrative duties of the board shall review the file 
to insure that no procedural errors have occurred during the history of 
the current claim. Files containing procedural errors will be returned 
to the board where the errors occurred for any additional processing 
necessary to correct such errors.
    (c) Files containing procedural errors that were not detected during 
the initial screening but which subsequently surfaced during processing 
by the appeal board, will be acted on and the board will take such 
action necessary to correct the errors and process the appeal to 
completion.
    (d) The board shall consider appeals in the order of their having 
been filed.
    (e) Upon receipt of the registrant's file, the board shall ascertain 
whether the registrant has requested a personal appearance before the 
board. If no such request has been made, the board may classify the 
registrant on the basis of the material in his file.
    (f) The board shall proceed to classify any registrant who has not 
requested a personal appearance after the specified time in which to 
request a personal appearance has elapsed.
    (g) Not less than 10 days in advance of the meeting at which his 
claim will be considered, the board shall inform any registrant with 
respect to whom the Director of Selective Service has appealed or who 
has requested a personal appearance that he may appear at such meeting 
and present written evidence bearing on his classification.
    (h) During the personal appearance only the registrant may address 
the board or respond to questions of the board. The registrant will not 
be permitted to present witnesses at the personal appearance before the 
National Appeal Board. A registrant may, however, be accompanied by an 
advisor of his choosing and may confer with the advisor before 
responding to an inquiry or statement by the board: Provided, That, 
those conferences do not substantially interfere with or unreasonably 
delay the orderly process of the personal appearance.
    (i) If, in the opinion of the board, the informal, administrative 
nature of the personal appearance is unduly disrupted by the presence of 
an advisor, the board chairman may require the advisor to leave the 
hearing room. In such a case, the board chairman shall put a statement 
of reasons for his action in the registrant's file.
    (j) Whenever a registrant who has filed a claim for whom a personal 
appearance has been scheduled fails to appear in accord with such 
schedule, the board shall consider any written explanation of such 
failure that has been filed within five days (or extension thereof 
granted by the board) after such failure to appear. If the board 
determines that the registrant's failure to appear was for good cause it 
shall reschedule the registrant's personal appearance. If the board does 
not receive a timely written explanation of the registrant's failure to 
appear for his scheduled personal appearance or if the board determines 
that the registrant's failure to appear was not for good cause, the 
registrant will be deemed to have abandoned his request for personal 
appearance and the board will proceed to classify him on the basis of 
the material in his file. The registrant will be notified in writing of 
its action under this paragraph.
    (k) A quorum of the prescribed membership of a board shall be 
present during all personal appearances. Only those members of the board 
before whom the registrant appears shall classify him.
    (l) At any such appearance, the registrant may: Present oral 
testimony; point out the class or classes in which he thinks he should 
have been placed; and direct attention to any information in his file. 
The registrant may present such further written information as he 
believes will assist the board in determining his proper classification. 
The information furnished should be as concise as possible.
    (m) The registrant may summarize in writing the oral information 
that he presented and any such summary shall be placed in his file.
    (n) A summary will be made of the oral testimony given by the 
registrant at his personal appearance and such summary shall be placed 
in the registrant's file.
    (o) The board shall classify a registrant who has requested a 
personal appearance after he:

[[Page 354]]

    (1) Has appeared before the National Board; or
    (2) Has withdrawn his request to appear; or
    (3) Has waived his right to an opportunity to appear; or
    (4) Has failed to appear.
    (p) Whenever the National Board or the panel thereof to which a case 
has been assigned cannot act on the case of a registrant, and there is 
no other panel of the National Board to which the case may be 
transferred, the decision of the District Appeal Board will be final.
    (q) In considering a registrant's appeal, the board shall not 
receive or consider any information other than the following:
    (1) Information contained in the registrant's file; and
    (2) Oral statements by the registrant at the registrant's personal 
appearance; and
    (3) Written evidence submitted by the registrant to the board during 
his personal appearance.
    (r) In the event that the board classifies the registrant in a class 
other than that which he requested, it shall record its reasons therefor 
in his file.
    (s) The making of verbatim transcripts, and the using of cameras or 
other recording devices are prohibited in proceedings before the board. 
This does not prevent the registrant or Selective Service from making a 
written summary of his testimony.
    (t) Proceedings before the National Appeal Board are closed to the 
public.

[47 FR 4663, Feb. 1, 1982, as amended at 52 FR 24459, July 1, 1987]



Sec. 1653.4  File to be returned after appeal to the President is decided.

    When the appeal to the President has been decided, the file shall be 
returned as prescribed by the Director of Selective Service.



PART 1656--ALTERNATIVE SERVICE--Table of Contents




Sec.
1656.1  Purpose; definitions.
1656.2  Order to perform alternative service.
1656.3  Responsibility for administration.
1656.4  Alternative Service Office: jurisdiction and authority.
1656.5  Eligible employment.
1656.6  Overseas assignments.
1656.7  Employer responsibilities.
1656.8  Employment agreements.
1656.9  Alternative service worker's responsibilities.
1656.10  Job placement.
1656.11  Job performance standards and sanctions.
1656.12  Job reassignment.
1656.13  Review of alternative service job assignments.
1656.14  Postponement of reporting date.
1656.15  Suspension of order to perform alternative service because of 
          hardship to dependents.
1656.16  Early release--grounds and procedures.
1656.17  Administrative complaint process.
1656.18  Computation of creditable time.
1656.19  Completion of alternative service.
1656.20  Expenses for emergency medical care.

    Authority: Sec. 6(j) Military Selective Service Act; 50 U.S.C. App. 
456(j).

    Source: 48 FR 16676, Apr. 19, 1983, unless otherwise noted.



Sec. 1656.1  Purpose; definitions.

    (a) The provisions of this part govern the administration of 
registrants in Class 1-W and the Alternative Service Program.
    (b) The definitions of this paragraph shall apply in the 
interpretation of the provisions of this part:
    (1) Alternative Service (AS). Civilian work performed in lieu of 
military service by a registrant who has been classified in Class 1-W.
    (2) Alternative Service Office (ASO). An office to administer the 
Alternative Service Program in a specified geographical area.
    (3) Alternative Service Office Manager (ASOM). The head of the ASO.
    (4) Alternative Service Work. Civilian work which contributes to the 
maintenance of the national health, safety or interest, as the Director 
may deem appropriate.
    (5) Alternative Service Worker (ASW). A registrant who has been 
found to be qualified for service and has been ordered to perform 
alternative service (Class 1-W).
    (6) Civilian Review Board. A board to review appeals by ASWs of job 
assignments.
    (7) Creditable Time. Time that is counted toward an ASWs fulfillment 
of his alternative service obligation.

[[Page 355]]

    (8) Director. The Director of Selective Service, unless used with a 
modifier.
    (9) Employer. Any institution, firm, agency or corporation engaged 
in lawful activity in the United States, its territories or possessions, 
or in the Commonwealth of Puerto Rico, that has been approved by 
Selective Service to employ ASWs.
    (10) Job Assignment. A job with an eligible employer to which an ASW 
is assigned to perform his alternative service.
    (11) Job Bank. A current inventory of alternative service job 
openings.
    (12) Job Matching. A comparison of the ASW's work experience, 
education, training, special skills, and work preferences with the 
requirements of the positions in the job bank.
    (13) Job Placement. Assignment of the ASW to alternative service 
work.
    (14) Open Placement. The assignment of ASWs without employer 
interview to employers who have agreed to employ all ASWs assigned to 
them up to an agreed number.



Sec. 1656.2  Order to perform alternative service.

    (a) The local board of jurisdiction shall order any registrant who 
has been classified in Class 1-O or 1-O-S to perform alternative service 
at a time and place to be specified by the Director.
    (b) When the local board orders a registrant to perform alternative 
service, it shall be the duty of the registrant to report for and 
perform alternative service at the time and place ordered unless the 
order has been canceled. If the time when the registrant is ordered to 
report for alternative service is postponed, it shall be the continuing 
duty of the registrant to report for and perform alternative service at 
such time and place as he may be reordered. Regardless of the time when 
or the circumstances under which a registrant fails to report for and 
perform alternative service when it is his duty to do so, it shall 
thereafter be his continuing duty from day to day to report for and 
perform alternative service at the place specified in the order to 
report for and perform alternative service.
    (c) The Director may authorize a delay of reporting for alternative 
service for any registrant whose date of induction conflicts with a 
religious holiday historically observed by a recognized church, 
religious sect or religious organization of which he is a member. Any 
registrant so delayed shall report for alternative service on the next 
business day following the religious holiday.
    (d)(1) Any registrant who is satisfactorily pursuing a full-time 
course of instruction at a high school or similar institution of 
learning and is issued an order to perform alternative service shall, 
upon presentation of appropriate facts in the manner prescribed by the 
Director of Selective Service, have his date to report to perform 
alternative service postponed:
    (i) Until the time of his graduation therefrom; or
    (ii) Until he attains the twentieth anniversary of his birth; or
    (iii) Until the end of his last academic year, even if he has 
attained the twentieth anniversary of his birth; or
    (iv) Until he ceases satisfactorily to pursue such course of 
instruction, whichever is the earliest.
    (2) Any registrant who, while satisfactorily pursuing a full-time 
course of instruction at a college, university or similar institution of 
learning, is ordered to perform alternative service shall, upon the 
presentation of appropriate facts in the manner prescribed by the 
Director of Selective Service, have his date to report to perform 
alternative service.
    (i) Until the end of the semester or term, or in the case of his 
last academic year, the end of the academic year; or
    (ii) Until he ceases to satisfactorily pursue such course of 
instruction, whichever is the earlier.
    (e) After the order to perform alternative service has been issued, 
the Director may postpone for a specific time the date when such 
registrant is required to report in the following circumstances:
    (1) In the case of the death of a member of the registrant's 
immediate family, extreme emergency involving a member of the 
registrant's immediate family, serious illness or injury of the 
registrant, or other emergency beyond the registrant's control. The 
period of postponement shall not exceed 60 days

[[Page 356]]

from the date of the order to perform alternative service. When 
necessary, the Director may grant one further postponement but the total 
postponement shall not exceed 90 days from the reporting date on the 
order to perform alternative service.
    (2) When the registrant qualifies and is scheduled for a State or 
National examination in a profession or occupation which requires 
certification before being authorized to engage in the practice of that 
profession or occupation.
    (f) The Director shall issue to each registrant whose reporting date 
to perform alternative service is postponed a written notice thereof.
    (g) A postponement of reporting date to perform alternative service 
shall not render invalid the order to report for alternative service 
which has been issued to the registrant, but shall operate only to 
postpone the reporting date, and the registrant shall report on the new 
date scheduled without having issued to him a new order to report for 
alternative service.
    (h) Any registrant receiving a postponement under the provisions of 
this section, shall, after the expiration of such postponement, be 
rescheduled to report for alternative service at the place to which he 
was originally ordered.

[52 FR 8891, Mar. 20, 1987]



Sec. 1656.3  Responsibility for administration.

    (a) The Director in the administration of the Alternative Service 
Program shall establish and implement appropriate procedures to:
    (1) Assure that the program complies with the Selective Service Law;
    (2) Provide information to ASWs about their rights and duties;
    (3) Find civilian work for ASWs;
    (4) Place ASWs in jobs approved for alternative service;
    (5) Monitor the work performance of ASWs placed in the program;
    (6) Order reassignment and authorize job separation;
    (7) Issue certificates of completion;
    (8) Specify the location of Alternative Service Offices;
    (9) Specify the geographical area in which the ASOs shall have 
jurisdiction over ASWs;
    (10) Establish Civilian Review Boards and panels and provide for the 
selection and appointment of members thereof;
    (11) Refer to the Department of Justice, when appropriate, any ASW 
who fails to perform satisfactorily his alternative service;
    (12) Perform all other functions necessary for the administration of 
the Alternative Service Program; and
    (13) Delegate any of his authority to such office, agent or person 
as he may designate and provide as appropriate for the subdelegation of 
such authority.
    (b) The Region Director shall be responsible for the administration 
and operation of the Alternative Service Program in his Region as 
prescribed by the Director.
    (c) The State Director shall perform duties for the administration 
and operation of the Alternative Service Program in his State as 
prescribed by the Director.
    (d) The ASOM shall perform duties for the administration and 
operation of the Alternative Service Program as prescribed by the 
Director.
    (1) The ASO shall be an office of record that is responsible for the 
administration and operation of the Alternative Service Program in its 
assigned geographical area of jurisdiction.
    (2) The staff of each ASO shall consist of as many compensated 
employees as shall be authorized by the Director.
    (3) Appointment of civilians to ASO positions requiring direct 
dealing with ASWs will be made as soon as feasible.
    (e) The manager of an area office shall perform duties for 
Alternative Service as prescribed by the Director.



Sec. 1656.4  Alternative Service Office: jurisdiction and authority.

    (a) Jurisdiction over the ASW will be transferred from the area 
office immediately after his classification in Class 1-W to the ASO that 
administers the Alternative Service Program in the area in which he is 
assigned to perform alternative service.
    (b) The ASO shall:
    (1) Evaluate and approve jobs and employers for Alternative Service;

[[Page 357]]

    (2) Order the ASW to report for alternative service work;
    (3) Issue such orders as are required to schedule the ASW for job 
interviews;
    (4) Issue such orders as are required to schedule the ASW for job 
placement;
    (5) Monitor the ASW's job performance;
    (6) Issue a certificate of satisfactory completion of the ASW's 
Alternative Service obligation;
    (7) Return the ASW to the jurisdiction of the area office from which 
he was directed to perform Alternative Service; and
    (8) Perform such other actions the Director may authorize as 
necessary to administer the Alternative Service Program.



Sec. 1656.5  Eligible employment.

    (a) The Director will determine in accordance with the Selective 
Service Law which civilian employment programs or activities are 
appropriate for Alternative Service work.
    (1) Employers which are considered appropriate for Alternative 
Service assignments are limited to:
    (i) The U.S. Government or a state, territory or possession of the 
United States or a political subdivision thereof, the District of 
Columbia or the Commonwealth of Puerto Rico;
    (ii) Organizations, associations or corporations primarily engaged 
either in a charitable activity conducted for the benefit of the general 
public or in carrying out a program for the improvement of the public 
health, welfare or environment, including educational and scientific 
activities in support thereof, when such activity or program is not 
principally for the benefit of the members of such organization, 
association or corporation or for increasing the membership thereof.
    (2) Employment programs or activities generally considered to be 
appropriate for Alternative Service work include:
    (i) Health care services, including but not limited to hospitals, 
nursing homes, extended care facilities, clinics, mental health 
programs, hospices, community outreach programs and hotlines;
    (ii) Educational services, including but not limited to teachers, 
teacher's aides, counseling, administrative support, parent counseling, 
recreation, remedial programs and scientific research;
    (iii) Environmental programs, including but not limited to 
conservation and firefighting, park and recreational activities, 
pollution control and monitoring systems, and disaster relief;
    (iv) Social services, including but not limited to sheltered or 
handicapped workshops, vocational training or retraining programs, 
senior citizens activities, crisis intervention and poverty relief;
    (v) Community services, including but not limited to fire 
protection, public works projects, sanitation services, school or public 
building maintenance, correctional facility support programs, juvenile 
rehabilitation programs, and
    (vi) Agricultural work.
    (b) An organization desiring to employ ASWs is encouraged to submit 
a request in writing to the Director or an ASOM for approval. Such 
requests will be considered at any time.
    (c) Selective Service shall negotiate employment agreements with 
prospective employers with the objective of obtaining an adequate number 
of agreements to assure the timely placement of all ASWs. Participating 
employers will provide prospective job listings to Selective Service.
    (d) Selective Service shall also negotiate employment agreements 
with eligible employers wherein the employer will agree to hire a 
specified number of ASWs for open placement positions.
    (e) A registrant classfied in Class 1-O or Class 1-O-S may seek his 
own alternative service work by identifying a job with an employer he 
believes would be appropriate for Alternative Service assignments and by 
having the employer advise the ASO in writing that he desires to employ 
the ASW. The acceptability of the job and employer so identified will be 
evaluated in accordance with Sec. 1656.5(a).

[48 FR 16676, Apr. 19, 1983, as amended at 51 FR 17627, May 14, 1986; 52 
FR 8892, Mar. 20, 1987; 54 FR 27001, June 27, 1989]

[[Page 358]]



Sec. 1656.6  Overseas assignments.

    Alternative Service job assignments outside the United States, its 
territories or possessions or the Commonwealth of Puerto Rico, will be 
allowed when:
    (a) The employer is deemed eligible to employ ASWs and is based in 
the United States, its territories or possessions, or the Commonwealth 
of Puerto Rico;
    (b) The job meets the criteria listed in Sec. 1656.5(a);
    (c) The ASW and the employer submit a joint application to Selective 
Service for the ASW to be employed in a specific job;
    (d) The employer satisfies Selective Service that the employer has 
the capability to supervise and monitor the overseas work of the ASW; 
and
    (e) International travel is provided without expense to Selective 
Service.



Sec. 1656.7  Employer responsibilities.

    Employers participating in the Alternative Service Program are 
responsible for:
    (a) Complying with the employment agreement with Selective Service;
    (b) Providing a clear statement of duties, responsibilities, 
compensation and employee benefits to the ASW;
    (c) Providing full-time employment for ASWs;
    (d) Assuring that wages, hours and working conditions of ASWs 
confrom with Federal, state and local laws;
    (e) Providing adequate supervision of ASWs in their employ; and
    (f) Providing nondiscriminatory treatment of ASWs in their employ.



Sec. 1656.8  Employment agreements.

    (a) Nature of Agreement. Before any ASW is placed with an employer, 
Selective Service and the employer shall enter into an employment 
agreement that specifies their respective duties and responsibilities 
under the Alternative Service Program.
    (b) Restrictions on Selective Service. The Selective Service System 
shall not act in any controversy involving ASW's wages, hours and 
working conditions except to the extent any of these subjects is 
specifically covered in Sec. 1656.7, Sec. 1656.9, or the employment 
agreement between Selective Service and the employer.
    (c) Investigating and Negotiating. Whenever there is evidence that 
an employer appears to be in violation of Sec. 1656.7, Selective Service 
will investigate the matter. If the investigation produces substantial 
evidence of violations of Sec. 1656.7, Selective Service will resolve 
the matter.
    (d) Termination of Employment Agreement. If a resolution of a 
dispute cannot be reached by negotiation within a reasonable time, the 
Selective Service System shall terminate the employment agreement and 
shall reassign the ASW.



Sec. 1656.9  Alternative service worker's responsibilities.

    (a) A registrant classified in Class 1-W is required to comply with 
all orders issued under this part.
    (b) A registrant classified in Class 1-W is liable to perform 24 
months of creditable time toward completion of Alternative Service, 
unless released earlier by the Director.



Sec. 1656.10  Job placement.

    (a) Selective Service will maintain a job bank for the exclusive 
purpose of placing ASWs in alternative service jobs.
    (b) An ASW who has identified his own job in accordance with 
Sec. 1656.5(e) of this part may be assigned by the ASO in that job 
pending review of the job by Selective Service. If the job is then 
approved as Alternative Service Work in accordance with Sec. 1656.5(a) 
the ASW will receive creditable time beginning with the date he was 
placed on the job by Selective Service. If the job is not approved he 
will not receive creditable time and will be placed by Selective Service 
in a position approved for Alternative Service Work. Selective Service 
must review the job within 30 calendar days of the time it assigned the 
ASW to begin work. If the elapsed time from date of placement to the 
date of Selective Service review exceeds 30 days, the ASW will receive 
creditable time from the date of placement regardless of the final 
determination of employer eligibility made by Selective Service. If the 
placement is

[[Page 359]]

ultimately determined to be inappropriate for Alternative Service the 
ASW will be reassigned in accordance with Sec. 1656.12.
    (c) In making job interview referrals and in making assignments of 
ASWs to jobs, Selective Service will consider the compatibility of the 
ASW's skills, work experience, and preferences with the qualification 
criteria for the job.
    (d) When An ASW is hired, the ASO will issue a Job Placement Order 
specifying the employer, the time, date and place to report for his 
alternative service work.
    (e) The ASO will normally place the ASW in an alternative service 
job within 30 calendar days after classification in Class 1-W.



Sec. 1656.11  Job performance standards and sanctions.

    (a) Standards of Performance. An ASW is responsible for adhering to 
the standards of conduct, attitude, appearance and performance demanded 
by the employer of his other employees in similar jobs. If there are no 
other employees, the standards shall conform to those that are 
reasonable and customary in a similar job.
    (b) Failure to Perform. An ASW will be deemed to have failed to 
perform satisfactorily whenever:
    (1) He refuses to comply with an order of the Director issued under 
this part;
    (2) He refuses employment by an approved employer who agrees to hire 
him;
    (3) His employer terminates the ASW's employment because his 
conduct, attitude, appearance or performance violates reasonable 
employer standards; or
    (4) He quits or leaves his job without reasonable justification, and 
has not submitted an appeal of his job assignment to the Civil Review 
Board.
    (c) Sanctions for ASW's Failure to Perform. (1) The sanctions for 
failure to meet his Alternative Service obligation are job reassignment, 
loss of creditable time during such period and referral to the 
Department of Justice for failure to comply with the Military Selective 
Service Act.
    (2) Prior to invoking any of the sanctions discussed herein, the ASO 
will conduct a review as prescribed in Sec. 1656.17 of all allegations 
that an ASW has failed to perform pursuant to any of the provisions of 
Sec. 1656.11(b).



Sec. 1656.12  Job reassignment.

    (a) Grounds for Reassignment. The Director may reassign an ASW 
whenever the Director determines that:
    (1) The job assignment violates the ASW's religious, moral or 
ethical beliefs or convictions as to participation in a war that led to 
his classification as a conscientious objector or violates 
Sec. 1656.5(a) of this part.
    (2) An ASW experiences a change in his mental or physical condition 
which renders him unfit or unable to continue performing satisfactorily 
in his assigned job;
    (3) An ASW's dependents incur a hardship which is not so severe as 
to justify a suspension of the Order to Perform Alternative Service 
under Sec. 1656.15;
    (4) The ASW's employer ceases to operate an approved program or 
activity;
    (5) The ASW's employer fails to comply with terms and conditions of 
these regulations or;
    (6) Continual and severe differences between the ASW's employer and 
ASW remain unresolved.
    (7) The sanctions authorized in Sec. 1656.11 should be applied.
    (b) Who May Request Reassignment. Any ASW may request reassignment 
to another job. An employer may request job reassignment of an ASW who 
is in his employ.
    (c) Method for Obtaining a Reassignment. All requests for 
reassignment must be in writing with the reasons specified. The request 
may be filed with the ASO of jurisdiction at any time during an ASW's 
alternative service employment. An ASW must continue in his assigned 
job, if available, until the request for assignment is approved.



Sec. 1656.13  Review of alternative service job assignments.

    (a) Review of ASW job assignments will be accomplished in accordance 
with the provisions of this subsection.

[[Page 360]]

    (b) Whenever the ASW believes that his job assignment violates his 
religious, moral or ethical beliefs or convictions as to participation 
in war that led to his classification as a conscientious objector or is 
in violation of the provisions of this part he may request a 
reassignment by the ASOM, as provided for in Sec. 1656.12.
    (c) The ASOM shall reassign the ASW if the ASOM concludes that the 
ASW's work assignment violates his religious, moral or ethical beliefs 
or convictions as to participation in war which led to his 
classification as a CO or is in violation of the provisions of this 
part.
    (d) If the ASOM does not reassign the ASW, the ASW may, within 15 
days after the date of mailing of the decision of the ASOM, request a 
review of his job assignment by a Civilian Review Board.
    (e) The Director shall establish a Civilian Review Board for each 
ASO in whose area ASW's are working. The Civilian Review Board shall 
consist of not less than three members who will serve without 
compensation. The Director may establish panels. No person will be 
appointed to a Civilian Review Board who would be ineligible for 
appointment to a District Appeal Board. A member of a Civilian Review 
Board would be disqualified in any case that a member of a District 
Appeal Board would be disqualified under the provisions of 
Sec. 1605.25(a), (b) of this chapter. Each Board, or panel thereof, 
shall elect a chairman and a vice-chairman at least every two years. A 
majority of the members of the Board when present at any meeting shall 
constitute a quorum for the transaction of business. A majority of the 
members present at any meeting at which a quorum is present shall decide 
any question. Every member, unless disqualified, shall vote on every 
question. In case of a tie vote on a question, the Board shall postpone 
action until the next meeting. If the question remains unresolved at the 
next meeting, the Director will transfer the case to another board. If, 
through death, resignation, or other causes, the membership of the Board 
falls below the prescribed number of members, the Board or panel shall 
continue to function, provided a quorum of the prescribed membership is 
present at each official meeting.
    (f) It shall be the function of the Civilian Review Board to 
determine whether or not an ASW's job assignment violates the ASW's 
religious, moral, or ethical beliefs of convictions as to participation 
in war which led to his classification as a conscientious objector or is 
in violation of the provisions Sec. 1656.5(a) of this part. In making 
the former determination, the Review Board must be convinced by the ASW 
that if the ASW performed the job, his convictions as to participation 
in war would be violated in a similar way as if the ASW had participated 
in war.
    (g) The Civilian Review Board may affirm the assignment or order the 
reassignment of the ASW in any matter considered by it.
    (h) Procedures of the Civilian Review Board are:
    (1) Appeals to the Board shall be in writing, stating as clearly as 
possible the ground for the appeal.
    (2) The ASW may appear before the Board at his request. He may not 
be represented by counsel or present witnesses. The ASOM or his 
representative may represent the Selective Service System at the hearing 
and present evidence.
    (3) The Board's determination will be based on all documents in the 
ASW's file folder and statements made at the hearing.
    (4) The decision of the Board will be binding only in the case 
before it. A decision of a Board will not be relied upon by a Board in 
any other case.
    (5) A decision of the Board is not subject to review within the 
Selective Service System.



Sec. 1656.14  Postponement of reporting date.

    (a) General. The reporting date in any of the following orders may 
be postponed in accord with this section.
    (1) Report for Job Placement;
    (2) Report for a Job Interview; or
    (3) Report to an Employer to Commence Employment.
    (b) Requests for Postponement. A request for postponement of a 
reporting date specified in an order listed in paragraph (a) must be 
made in writing and filed prior to the reporting date

[[Page 361]]

with the office which issued the order. Such requests must include a 
statement of the nature of the emergency and the expected period of its 
duration.
    (c) Grounds for Postponement. An ASW may, upon presentation of the 
appropriate facts in his request, be granted a postponement based on one 
or more of the following conditions:
    (1) The death of a member of his immediate family;
    (2) An extreme emergency involving a member of his immediate family;
    (3) His serious illness or injury; or
    (4) An emergency condition directly affecting him which is beyond 
his control.
    (d) Basis for Considering Request. The ASW's eligibility for a 
postponement shall be determined by the office of jurisdiction based 
upon official documents and other written information contained in his 
file. Oral statements made by the ASW or made by another person in 
support of the ASW shall be reduced to writing and placed in the ASW's 
file.
    (e) Duration of Postponement. The initial postponement shall not 
exceed 60 days from the reporting date in the order. When necessary, the 
Director may grant one further postponement, but the total postponement 
period shall not exceed 90 days from the reporting date in the order 
invovled.
    (f) Termination of Postponement. (1) A postponement may be 
terminated by the Director for cause upon no less than ten days written 
notice to the ASW.
    (2) Any postponement shall be terminated when the basis for the 
postponement has ceased to exist.
    (3) It is the responsibility of the ASW promptly to notify in 
writing the office that granted the postponement whenever the basis for 
which his postponement was granted ceases to exist.
    (g) Effect of Postponement. A postponement of the reporting date in 
an order shall not render the order invalid, but shall only serve to 
postpone the date on which the ASW is to report. The ASW shall report at 
the expiration or termination of the postponement.
    (h) Religious Holiday. The Director may authorize a delay of 
reporting under any of the orders specified for an ASW whose date to 
report conflicts with a religious holiday historically observed by a 
recognized church, religious sect or religious organization of which he 
is a member. Any ASW so delayed shall report on the next business day 
following the religious holiday.



Sec. 1656.15  Suspension of order to perform alternative service because of hardship to dependents.

    (a) Whenever, after an ASW has begun work, a condition develops that 
results in hardship to his dependent as contemplated by Sec. 1630.30(a) 
of this chapter which cannot be alleviated by his reassignment under 
Sec. 1656.12 (a)(3) of this part, the ASW may request a suspension of 
Order to Perform Alternative Service. If the local board that ordered 
the ASW to report for Alternative Service determines he would be 
entitled to classification in Class 3-A, assuming that the ASW were 
eligible to file a claim for that class, further compliance with his 
order shall be suspended for a period not to exceed 365 days, as the 
local board specifies. Extensions of not more than 365 days each may be 
granted by the local board so long as the hardship continues until the 
ASW's liability for training and service under the Military Selective 
Service Act terminates.
    (b) An ASW may file a request for the suspension of his Order to 
Perform Alternative Service with the ASO. This request must be in 
writing, state as clearly as possible the basis for the request, and be 
signed and dated by the ASW. The ASW must continue working in his 
assigned job until his request for the suspension of his Order to 
Perform Alternative Service has been approved.
    (c) Local boards shall follow the procedures established in parts 
1642 and 1648 of this chapter to the extent they are applicable in 
considering a request for the suspension of an Order to Perform 
Alternative Service.



Sec. 1656.16  Early release--grounds and procedures.

    (a) General Rule of Service Completion. An ASW will not be released 
from alternative service prior to completion of 24 months of creditable 
service unless granted an early release.

[[Page 362]]

    (b) Reasons For Early Release. The Director may authorize the early 
release of an ASW whenever the ASO determines that the ASW:
    (1) Has failed to meet the performance standards of available 
alternative service employment because of physical, mental or moral 
reasons;
    (2) No longer meets the physical, mental or moral standards that are 
required for retention in the Armed Forces based on a physical or mental 
examination at a MEPS or other location designated by Selective Service;
    (3) Is planning to return to school and has been accepted by such 
school and scheduled to enter within 30 days prior to the scheduled 
completion of his alternative service obligation;
    (4) Has been accepted for employment and that such employment will 
not be available if he remains in alternative service the full 24 
months. Such early release shall not occur more than 30 days before the 
scheduled completion of his alternative service obligation; or
    (5) Has enlisted in or has been inducted into the Armed Forces of 
the United States.
    (c) Reclassification and Records. Upon granting an early release to 
an ASW, the Director will reclassify the ASW and transfer his records in 
accordance with Sec. 1656.19 of this part.



Sec. 1656.17  Administrative complaint process.

    (a) Whenever the ASOM learns that the ASW may have failed to perform 
satisfactorily his work (see Sec. 1656.11(b)) or he receives a complaint 
by an employer or an ASW involving the ASW's work other than matters 
described in Sec. 1656.8(b) of this part, he shall take necessary action 
to:
    (1) Interview, as appropriate, all parties concerned to obtain 
information relevant to the problems or complaints;
    (2) Place a written summary of each interview in the ASW's file and 
employer's file;
    (3) Inform the persons interviewed that they may prepare and submit 
to him within ten days after the interview their personal written 
statements concerning the problem;
    (4) Place such statements in the ASW's file; and
    (5) Resolve the matter.
    (b) The employer or ASW may seek a review of the decision pursuant 
to Sec. 1656.17(a)(5). Such request must be filed in writing with the 
ASO, for action by the State Director of Selective Service, within ten 
days after the date the notice of the decision is transmitted to the ASW 
and employer.



Sec. 1656.18  Computation of creditable time.

    (a) Creditable time starts when the ASW begins work pursuant to an 
Order to Perform Alternative Service or 30 days after the issuance of 
such order, whichever occurs first. Creditable time will accumulate 
except for periods of:
    (1) Work of less than 35 hours a week or an employer's full-time 
work week whichever is greater;
    (2) Leaves of absence in a calendar year of more than 5 days in the 
aggregate granted by the employer to the ASW to attend to his personal 
affairs unless such absence is approved by the ASOM;
    (3) Time during which an ASW fails or neglects to perform 
satisfactorily his assigned Alternative Service;
    (4) Time during which the ASOM determines that work of the ASW is 
unsatisfactory because of his failure to comply with reasonable 
requirements of his employer;
    (5) Time during which the ASW is not employed in an approved job 
because of his own fault; or
    (6) Time during which the ASW is in a postponement period or his 
Order to Perform Alternative Service has been suspended.
    (b) Creditable time will be awarded for periods of travel, job 
placement and job interviews performed under orders issued by Selective 
Service. Creditable time may be awarded for normal employer leave 
periods.
    (c) Creditable time will be awarded to an ASW for the time lost 
after he leaves his job assignment following his request for 
reassignment on the basis of Sec. 1656.13(b) of this part until he is 
reassigned pursuant to Sec. 1656.13 (c) or (g) of this part. Creditable 
time for the corresponding period will be lost if neither the ASOM nor 
the Civilian Review

[[Page 363]]

Board orders the ASW's reassignment on the basis of Sec. 1656.12(a)(1) 
of this part.



Sec. 1656.19  Completion of alternative service.

    Upon completion of 24 months of creditable time served in 
alternative service or when released early in accordance with 
Sec. 1656.16(b) (3) or (4):
    (a) The ASW shall be released from the Alternative Service Program; 
and
    (b) The Director shall issue to the ASW a Certificate of Completion 
and the registrant shall be reclassified in Class 4-W in accordance with 
Sec. 1630.47 of this chapter, and
    (c) The ASW's records shall be returned to the area office of 
jurisdiction after the ASW has completed his obligation or has been 
separated from the Alternative Service Program for any reason.



Sec. 1656.20  Expenses for emergency medical care.

    (a) Claims for payment of actual and reasonable expenses for 
emergency medical care, including hospitalization, of ASWs who suffer 
illness or injury, and the transportation and burial of the remains of 
ASWs who suffer death as a direct result of such illness or injury will 
be paid in accordance with the provisions of this section.
    (b) The term ``emergency medical care, including hospitalization'', 
as used in this section, means such medical care or hospitalization that 
normally must be rendered promptly after occurrence of the illness or 
injury necessitating such treatment. Discharge by a physician or 
facility subsequent to such medical care or hospitalization shall 
terminate the period of emergency.
    (c) Claims will be considered only for expenses:
    (1) For which only the ASW is liable and for which there is no legal 
liability for his reimbursement except in accord with the provisions of 
this section; and
    (2) That are incurred as a result of illness or injury that occurs 
while the ASW is acting in accord with orders of Selective Service to 
engage in travel or perform work for his Alternative Service employer.
    (d) No claim shall be allowed in any case in which the Director 
determines that the injury, illness, or death occurred because of the 
negligence or misconduct of the ASW.
    (e) No claim shall be paid unless it is presented to the Director 
within one year after the date on which the expense was incurred.
    (f) Cost of emergency medical care including hospitalization greater 
than usual and customary fees for service established by the Social 
Security Administration, will prima facie be considered unreasonable. 
Payment for burial expenses shall not exceed the maximum that the 
Administrator of Veteran's Affairs may pay under the provisions of 38 
U.S.C. 902(a) in any one case.
    (g) Payment of claims when allowed shall be made only directly to 
the ASW or his estate unless written authorization of the ASW or the 
personal representative of his estate has been received to pay another 
person.



PART 1657--OVERSEAS REGISTRANT PROCESSING--Table of Contents




Sec.
1657.1  Purpose; definition.
1657.2  Local boards.
1657.3  Distsrict appeal boards.
1657.4  Consideration of claims.
1657.5  Place of induction.
1657.6  Transportation.

    Authority: Military Selective Service Act, 50 U.S.C. 451 et seq.; 
E.O. 11623.

    Source: 52 FR 24459, July 1, 1987, unless otherwise noted.



Sec. 1657.1  Purpose; definition.

    (a) The provisions of this part apply to the processing of overseas 
registrants, and, where applicable, they supersede inconsistent 
provisions in this chapter.
    (b) An overseas registrant is a registrant whose bona fide current 
address most recently provided by him to the Selective Service System is 
outside the United States, its territories or possessions, Commonwealth 
of Puerto Rico, Canada and Mexico.



Sec. 1657.2  Local boards.

    The Director shall establish local boards with jurisdiction to 
determine claims of overseas registrants. Such

[[Page 364]]

boards shall consist of three or more members appointed by the 
President. The Director shall prescribe the geographic jurisdiction of 
each board, and designate or establish an area office to support it.



Sec. 1657.3  District appeal boards.

    The Director shall establish district appeal boards with 
jurisdiction to determine appeals of claims of overseas registrants. 
Such boards shall consist of three or more members appointed by the 
President. The Director shall prescribe the geographic jurisdiction of 
each board.



Sec. 1657.4  Consideration of claims.

    An overseas registrant's claim shall be determined by a local board 
(or its supporting area office) or appeal board as may be established in 
accord with this part or, upon the request of the registrant filed no 
later than the filing of his claim for reclassification, by the board 
having geographic jurisdiction over his permanent address within the 
United States last reported by him to the Selective Service System prior 
to issuance of his induction order.



Sec. 1657.5  Place of induction.

    The Director may order an overseas registrant to any place in the 
world for induction.



Sec. 1657.6  Transportation.

    (a) The Director shall furnish transportation for an overseas 
registrant from the place at which the registrant's order to report for 
induction was sent to the place he is required to report for induction. 
If such registrant is not inducted, the Director shall furnish him 
transportation from the place he reported for induction to the place to 
which his order to report for induction was sent.
    (b) In the event the personal appearance before a local board or 
appeal board of an overseas registrant is required or permitted by 
regulation, travel expenses incurred in personally appearing before the 
board shall be at the registrant's own expense.



PART 1659--EXTRAORDINARY EXPENSES OF REGISTRANTS--Table of Contents




    Authority: Military Selective Service Act, 50 U.S.C. App. 451 et 
seq.; E.O. 11623.



Sec. 1659.1  Claims.

    (a) Claims for payment of actual and reasonable expenses of:
    (1) Emergency medical care, including hospitalization of registrants 
who suffer illness or injury; and
    (2) The transportation and burial of the remains of registrants who 
suffer death while acting under orders issued by or under the authority 
of the Director of Selective Service will be paid in accordance with the 
provisions of this section.
    (b) Claims for payment of expenses incurred for the purposes set 
forth in paragraph (a) of this section shall be presented to the 
Director of Selective Service.
    (c)(1) The term emergency medical care, including hospitalization, 
as used in this section, shall be construed to mean such medical care or 
hospitalization that normally must be rendered promptly after an 
occurrence of illness or injury. Discharge by a physician or facility 
subsequent to such medical care or hospitalization shall be 
justification to terminate the period of emergency.
    (2) The death of a registrant shall be deemed to have occurred while 
acting under orders issued by or under the authority of the Director of 
Selective Service if it results directly from an illness or injury 
suffered by the registrant while so acting and occurs prior to the 
completion of an emergency medical care, including hospitalization, 
occasioned by such illness or injury.
    (d) No such claim shall be paid unless it is presented within the 
period of one year from the date on which the expenses were incurred.
    (e) No such claim shall be allowed in case it is determined that the 
cause of injury, illness, or death was due to negligence or misconduct 
of the registrant.
    (f) Burial expenses shall not exceed the maximum prescribed in 
Section 11

[[Page 365]]

of the Military Selective Service Act in any one case.
    (g) Payment of such claims when allowed shall be made only:
    (1) Directly to the person or facility with which the expenses were 
incurred; or
    (2) By reimbursement to the registrant, a relative of the 
registrant, or the legal representative of the registrant's estate, for 
original payment of such expenses.

[47 FR 4664, Feb. 1, 1982]



PART 1662--FREEDOM OF INFORMATION ACT (FOIA) PROCEDURES--Table of Contents




Sec.
1662.1  Applicability of this part.
1662.2  Procedure for requesting information.
1662.3  Identification of information requested.
1662.4  Consideration of requests for information.
1662.5  Inspection, copying, and obtaining copies.
1662.6  Fee schedule; waiver of fees.

    Authority: 5 U.S.C. 552, as amended.

    Source: 47 FR 7223, Feb. 18, 1982, unless otherwise noted.



Sec. 1662.1  Applicability of this part.

    The provisions of this part prescribe the procedures for requests 
for information under 5 U.S.C. 552, as amended (Freedom of Information 
Act).



Sec. 1662.2  Procedure for requesting information.

    Requests for information under the Freedom of Information Act (FOIA) 
shall be in writing and should be addressed to the Director, Selective 
Service System, ATTN: Records Manager, Washington, DC 20435.



Sec. 1662.3  Identification of information requested.

    Any person who requests information under FOIA shall provide a 
reasonably specific description of the information sought so that it may 
be located without undue search. If the description is not sufficient, 
the records manager will notify the requester and, to the extent 
possible, indicate the additional information required. Every reasonable 
effort shall be made to assist a requester in the identification and 
location of the record or records sought.



Sec. 1662.4  Consideration of requests for information.

    (a) Upon receipt of any request for information or records, the 
records manager will determine within 10 days (excepting Saturdays, 
Sundays, and legal federal holidays) whether it is appropriate to grant 
the request and will immediately provide written notification to the 
person making the request. If the request is denied, the written 
notification to the person making the request will include the reasons 
therefor and a notice that an appeal may be lodged with the Director of 
Selective Service.
    (b) Appeals shall be in writing and addressed to the Director of 
Selective Service at the address specified in Sec. 1662.2 of this part. 
The appeal shall include a statement explaining the basis for the 
appeal. Determinations of appeals will be in writing and signed by the 
Director, or his designee, within 20 days (excepting Saturdays, Sundays, 
and legal federal holidays). If, on appeal, the denial is in whole or in 
part upheld, the written determination will include the reasons therefor 
and also contain a notification of the provisions for judicial review.



Sec. 1662.5  Inspection, copying, and obtaining copies.

    When a request for information has been approved in accord with 
Sec. 1662.4, the person making the request may make an appointment to 
inspect or copy the materials requested during regular business hours by 
writing or telephoning the records manager at the address listed in 
Sec. 1662.2. Such materials may be copied manually without charge, and 
reasonable facilities will be made available for that purpose. Also, 
copies of individual pages of such materials will be made available as 
specified in Sec. 1662.6; however, the right is reserved to limit to a 
reasonable quantity the copies of such materials which may be made 
available in this manner.



Sec. 1662.6  Fee schedule; waiver of fees.

    (a) Definitions. For the purposes of this section:

[[Page 366]]

    (1) Direct costs mean those expenditures which the Selective Service 
System (SSS) actually incurs in searching for and duplicating (and in 
the case of commercial requesters, reviewing) documents to respond to a 
FOIA request. Direct costs include, for example, the salary of the 
employee performing work (the basic rate of pay for the employee plus 16 
percent of the rate to cover benefits) and the cost of operating 
duplicating machinery. Not included in direct costs are overhead 
expenses such as costs of space, and heating or lighting the facility in 
which the records are stored.
    (2) The term search includes all time spent looking for material 
that is responsive to a request, including page-by-page or line-by-line 
identification of material within documents. Search should be 
distinguished from review of material in order to determine whether the 
material is exempt from disclosure (see paragraph (a)(4) of this 
section). Searches may be done manually or by computer using existing 
programming.
    (3) Duplication refers to the process of making a copy of a document 
necessary to respond to an FOIA request. Such copies may take the form 
of paper copy, microform, audio-visual materials, or machine readable 
documentation (e.g., magnetic tape or disk), among others.
    (4) Review refers to the process of examining documents located in 
response to a commercial use request to determine whether any portion of 
any document located is permitted to be withheld. It also includes 
processing any documents for disclosure, e.g., doing all that is 
necessary to excise them and otherwise to prepare them for release. 
Review does not include time spent resolving general legal or policy 
issues regarding the application of exemptions.
    (5) The term `commercial use' request refers to a request from or on 
behalf of one who seeks information for the use or purpose that furthers 
the commercial, trade, or profit interests of the requester or the 
person on whose behalf the request is made. In determining whether a 
request properly belongs in this category the agency must determine the 
use to which a requester will put the documents requested. Moreover 
where there is reasonable cause to doubt the use to which a requester 
will put the records sought, or where that use is not clear from the 
request itself, the agency may seek additional clarification before 
assigning the request to a specific category.
    (6) The term educational institution refers to a preschool, 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.
    (7) The term non-commercial scientific institution refers to an 
institution that is not operated on a commercial basis as that term is 
referenced in paragraph (a)(5) of this section, 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.
    (8) 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. Examples 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 intended 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 the agency may also look to the past publication 
record of a requester in making this determination.

[[Page 367]]

    (b) Fees to be charged--categories of requesters. There are four 
categories of FOIA requesters: Commercial use requesters; education and 
non-commercial scientific institutions; representatives of the news 
media; and other requesters. The FOI Reform Act prescribes specific 
levels of fees for each of these categories:
    (1) Commercial use requesters. A request for documents for 
commercial use will be assessed charges which recover the full direct 
costs of searching for, reviewing for release, and duplicating the 
records sought. Requesters must reasonably describe the record sought. 
Commercial use requesters are not entitled to two hours of free search 
time nor 100 free pages of reproduction of documents. The cost of 
searching for and reviewing records will be recovered even if there is 
ultimately no disclosure of records (see paragraph (c)(5) of this 
section).
    (2) Educational and non-commercial scientific institution 
requesters. Documents to requesters in this category will be provided 
for the cost of reproduction alone, excluding charges for the first 100 
pages. To be eligible for inclusion in this category, a requester must 
show that the request is being made as authorized by and under the 
auspices of a qualifying institution and that the records are not sought 
for a commercial use, but are sought in furtherance of scholarly (if the 
request is from an educational institution) or scientific (if the 
request is from a non-commercial scientific institution) research. 
Requesters must reasonably describe the records sought.
    (3) Requesters who are representatives of the news media. Documents 
will be provided to requesters in this category for the cost of 
reproduction alone, excluding charges for the first 100 pages. To be 
eligible for inclusion in this category, a requester must meet the 
criteria in paragraph (a)(8) of this section, and his or her request 
must not be made for a 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. Requesters must reasonably 
describe the records sought.
    (4) All other requesters. The agency will charge requesters who do 
not fit into any of the categories above fees which recover the full 
reasonable direct cost of searching for and reproducing records that are 
responsive to the request, except that the first 100 pages of 
reproduction and the first two hours of search time shall be furnished 
without charge. Moreover, requests from record subjects for records 
about themselves filed in the agency's systems of records will continue 
to be treated under the fee provisions of the Privacy Act of 1974 which 
permit fees only for reproduction.
    (c) Assessment and collection of fees--(1) Aggregated requests. If 
the Records Manager reasonably believes that a requester or group of 
requesters is attempting to break a request down into a series of 
requests for the purpose of evading the assessment of fees, the Records 
Manager may aggregate any such requests accordingly.
    (2) Payment procedures--(i) Fee payment. The Records Manager may 
assume that a person requesting records pursuant to this part will pay 
the applicable fees, unless a request includes a limitation on fees to 
be paid or seeks a waiver or reduction of fees pursuant to paragraph 
(c)(4) of this section. Unless applicable fees are paid, the agency may 
use the authorities of the Debt Collection Act (Pub. L. 97-365), 
including disclosure to consumer reporting agencies and use of 
collection agencies, where appropriate, to encourage payment.
    (ii) Advance payment. (A) The Records Manager may require advance 
payment of any fee estimated to exceed $250. The Records Manager may 
also require full payment in advance where a requester has previously 
failed to pay fees in a timely fashion.
    (B) If the Records Manager estimates that the fees will likely 
exceed $25, he will notify the requester of the estimated amount of 
fees, unless the requester has indicated in advance his willingness to 
pay fees as high as those anticipated. Such a notice shall offer a 
requester the opportunity to confer with agency personnel with the 
object of reformulating the request to meet his or her needs at a lower 
cost.

[[Page 368]]

    (3) Late charges. The Records Manager may assess interest charges 
when fee payment is not made within 30 days of the date on which the 
billing was sent. Interest will be at the rate prescribed in section 
3717 of title 31 U.S.C.A.
    (4) Waiver or reduction of fees--(i) Standards for determining 
waiver or reduction. The Records Manager shall grant a waiver or 
reduction of fees chargeable under this section where it is determined 
that 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 Selective Service System and is not 
primarily in the commercial interest of the requester. The Records 
Manager shall also waive fees that are less than the average cost of 
collecting fees. In determining whether disclosure is in the public 
interest, the following factors may be considered:
    (A) The relation of the records to the operations or activities of 
the System;
    (B) The information value of the information to be disclosed;
    (C) Any contribution to an understanding of the subject by the 
general public likely to result from disclosure;
    (D) The significance of that contribution to the public 
understanding of the subject;
    (E) The nature of the requester's personal interest, if any, in the 
disclosure requested; and
    (F) Whether the disclosure would be primarily in the requester's 
commercial interest.
    (ii) Contents of request for waiver. The Records Manager will 
normally deny a request for a waiver of fees that does not include:
    (A) A clear statement of the requester's interest in the requested 
documents;
    (B) The use proposed for the documents and whether the requester 
will derive income or other benefit from such use;
    (C) A statement of how the public will benefit from such use and 
from the release of the requested documents; and
    (D) If specialized use of the documents or information is 
contemplated, a statement of the requester's qualifications that are 
relevant to the specialized use.
    (iii) Burden of proof. In all cases the burden shall be on the 
requester to present evidence or information in support of a request for 
a waiver of fees.
    (5) Fees for nonproductive search. Fees for record searches and 
review may be charged even if not responsive documents are located or if 
the request is denied, particularly if the requester insists upon a 
search after being informed that it is likely to be nonproductive or 
that any records found are likely to be exempt from disclosure. The 
Records Manager shall apply the standards set out in paragraph (c)(4) of 
this section in determining whether to waive or reduce fees.

     Appendix A to Sec. 1662.6-- Freedom of Information Fee Schedule

                              Duplication:

Photocopy, per standard page........................................$.10
Paper Copies of microfiche, per frame...............................$.10

                           Search and review:

    Salary of the employee (the basic rate of pay of the employee plus 
16 percent of that rate to cover benefits), performing the work of 
manual search and review.

                     Computer search and production:

    For each request the Records Manager will separately determine the 
actual direct costs of providing the service, including computer search 
time, tape or printout production, and operator salary.

                            Special services:

    The Records Manager may agree to provide and set fees to recover the 
costs of special services not covered by the Freedom of Information Act, 
such as certifying records or information, packaging and mailing 
records, and sending records by special methods such as express mail. 
The Records Manager may provide self-service photocopy machines and 
microfiche printers as a convenience to requesters and set separate 
perpage fees reflecting the cost of operation and maintenance of those 
machines.

                              Fee waivers:

    For qualifying educational and noncommercial scientific institution 
requesters and representatives of the news media the Records Manager 
will not assess fees for review time, for the first 100 pages of 
reproduction, or, when the records sought are reasonably described, for 
search time. For other

[[Page 369]]

noncommercial use requests no fees will be assessed for review time, for 
the first 100 pages of reproduction, or for the first two hours of 
search time.
    The Records Manager will waive in full fees that total less than 
$1.00 or that are less than the average cost of collecting fees.
    The Records Manager will also waive or reduce fees, upon proper 
request, if 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 System and is not primarily in 
the commercial interest of the requester.

[52 FR 13665, Apr. 24, 1987]



PART 1665--PRIVACY ACT PROCEDURES--Table of Contents




Sec.
1665.1  Rules for determining if an individual is the subject of a 
          record.
1665.2  Requests for access.
1665.3  Access to the accounting of disclosures from records.
1665.4  Requests to amend records.
1665.5  Request for review.
1665.6  Schedule of fees.
1665.7  Information available to the public or to former employers of 
          registrants.
1665.8  Systems of records exempted from certain provisions of this act.

    Authority: 5 U.S.C. 552a.

    Source: 47 FR 7224, Feb. 18, 1982, unless otherwise noted.



Sec. 1665.1  Rules for determining if an individual is the subject of a record.

    (a) Individuals desiring to know if a specific system of records 
maintained by the Selective Service System (SSS) contains a record 
pertaining to them should address their inquiries to the Director, 
Selective Service System, ATTN: Records Manager, Washington, DC 20435. 
The written inquiry should contain a specific reference to the system of 
records maintained by Selective Service listed in the SSS Notices of 
Systems of Records or it should describe the type of record in 
sufficient detail to reasonably identify the system of records. Notice 
of SSS Systems of Records subject to the Privacy Act is in the Federal 
Register and copies of the notices will be available upon request to the 
records manager. A compilation of such notices will also be made and 
published by the Office of Federal Register, in accord with section 5 
U.S.C. 552a(f).
    (b) At a minimum, the request should also contain sufficient 
information to identify the requester in order to allow SSS to determine 
if there is a record pertaining to that individual in a particular 
system of records. In instances when the information is insufficient to 
insure that disclosure will be to the individual to whom the information 
pertains, in view of the sensitivity of the information, SSS reserves 
the right to ask the requester for additional identifying information.
    (c) Ordinarily the requester will be informed whether the named 
system of records contains a record pertaining to the requester within 
10 days of receipt of such a request (excluding Saturdays, Sundays, and 
legal federal holidays). Such a response will also contain or reference 
the procedures which must be followed by the individual making the 
request in order to gain access to the record.
    (d) Whenever a response cannot be made within the 10 days, the 
records manager will inform the requester of the reason for the delay 
and the date by which a response may be anticipated.



Sec. 1665.2  Requests for access.

    (a) Requirement for written requests. Individuals desiring to gain 
access to a record pertaining to them in a system of records maintained 
by SSS must submit their request in writing in accord with the 
procedures set forth in paragraph (b) below.
    (b) Procedures--(1) Content of the request. (i) The request for 
access to a record in a system of records shall be addressed to the 
records manager, at the address cited above, and shall name the system 
of records or contain a description of such system of records. The 
request should state that the request is pursuant to the Privacy Act of 
1974. In the absence of specifying solely the Privacy Act of 1974 and, 
if the request may be processed under both the Freedom of Information 
Act and the Privacy Act and the request specifies both or neither act, 
the procedures under the Privacy Act of 1974 will be

[[Page 370]]

employed. The individual will be advised that the procedures of the 
Privacy Act will be utilized, of the existence and the general effect of 
the Freedom of Information Act, and the difference between procedures 
under the two acts (e.g. fees, time limits, access). The request should 
contain necessary information to verify the identity of the requester 
(see Sec. 1665.2(b)(2)(vi)). In addition, the requester should include 
any other information which may assist in the rapid identification of 
the record for which access is being requested (e.g., maiden name, dates 
of employment, etc.) as well as any other identifying information 
contained in and required by SSS Notice of Systems of Records.
    (ii) If the request for access follows a prior request under 
Sec. 1665.1, the same identifying information need not be included in 
the request for access if a reference is made to that prior 
correspondence, or a copy of the SSS response to that request is 
attached.
    (iii) If the individual specifically desires a copy of the record, 
the request should so specify.
    (2) SSS action on request. A request for access will ordinarily be 
answered within 10 days, except when the records manager determines that 
access cannot be afforded in that time, in which case the requester will 
be informed of the reason for the delay and an estimated date by which 
the request will be answered. Normally access will be granted within 30 
days from the date the request was received by the Selective Service 
System. At a minimum, the answer to the request for access shall include 
the following:
    (i) A statement that there is a record as requested or a statement 
that there is not a record in the system of records maintained by SSS;
    (ii) A statement as to whether access will be granted only by 
providing copy of the record through the mail; or the address of the 
location and the date and time at which the record may be examined. In 
the event the requester is unable to meet the specified date and time, 
alternative arrangements may be made with the official specified in 
Sec. 1665.2(b)(1);
    (iii) A statement, when appropriate, that examination in person will 
be the sole means of granting access only when the records manager has 
determined that it would not unduly impede the requester's right of 
access;
    (iv) The amount of fees charged, if any (see Sec. 1665.6) (Fees are 
applicable only to requests for copies);
    (v) The name, title, and telephone number of the SSS official having 
operational control over the record; and
    (vi) The documentation required by SSS to verify the identity of the 
requester. At a minimum, SSS's verification standards include the 
following:
    (A) Current or former SSS employees. Current or former SSS employees 
requesting access to a record pertaining to them in a system of records 
maintained by SSS may, in addition to the other requirements of this 
section, and at the sole discretion of the official having operational 
control over the record, have his or her identity verified by visual 
observation. If the current or former SSS employee cannot be so 
identified by the official having operational control over the records, 
identification documentation will be required. Employee identification 
cards, annuitant identification, drivers licenses, or the employee copy 
of any official personnel document in the record are examples of 
acceptable identification validation.
    (B) Other than current or former SSS employees. Individuals other 
than current or former SSS employees requesting access to a record 
pertaining to them in a system of records maintained by SSS must produce 
identification documentation of the type described herein, prior to 
being granted access. The extent of the identification documentation 
required will depend on the type of record to be accessed. In most 
cases, identification verification will be accomplished by the 
presentation of two forms of identification. Any additional requirements 
are specified in the system notices published pursuant to 5 U.S.C. 
552a(e)(4).
    (C) Access granted by mail. For records to be accessed by mail, the 
records manager shall, to the extent possible, establish identity by a 
comparison of signatures in situations where the data in the record is 
not so sensitive that unauthorized access

[[Page 371]]

could cause harm or embarrassment to the individual to whom they 
pertain. No identification documentation will be required for the 
disclosure to the requester of information required to be made available 
to the public by 5 U.S.C. 552. When in the opinion of the records 
manager the granting of access through the mail could reasonably be 
expected to result in harm or embarrassment if disclosed to a person 
other than the individual to whom the record pertains, a notarized 
statement of identity or some similar assurance of identity will be 
required.
    (D) Unavailability of identification documentation. If an individual 
is unable to produce adequate identification documentation the 
individual will be required to sign a statement asserting identity and 
acknowledging that knowingly or willfully seeking or obtaining access to 
a record about another person under false pretenses may result in a fine 
of up to $5,000. In addition, depending upon the sensitivity of the 
records sought to be accessed, the official having operational control 
over the records may require such further reasonable assurances as may 
be considered appropriate e.g., statements of other individuals who can 
attest to the identity of the requester. No verification of identity 
will be required of individuals seeking access to records which are 
otherwise available to any person under 5 U.S.C. 552, Freedom of 
Information Act.
    (E) Access by the parent of a minor, or legal guardian. A parent of 
a minor, upon presenting suitable personal identification, may access on 
behalf of the minor any record pertaining to the minor maintained by SSS 
in a system of records. A legal guardian may similarly act on behalf of 
an individual declared to be incompetent due to physical or mental 
incapacity or age by a court of competent jurisdiction. Absent a court 
order or consent, a parent or legal guardian has no absolute right to 
have access to a record about a child. Minors are not precluded from 
exercising on their own behalf rights given to them by the Privacy Act.
    (F) Granting access when accompanied by another individual. When an 
individual requesting access to his or her record in a system of records 
maintained by SSS wishes to be accompanied by another individual during 
the course of the examination of the record, the individual making the 
request shall submit to the official having operational control of the 
record, a signed statement authorizing that person access to the record.
    (G) Denial of access for inadequate identification documentation. If 
the official having operational control over the records in a system of 
records maintained by SSS determines that an individual seeking access 
has not provided sufficient identification documentation to permit 
access, the official shall consult with the records manager prior to 
finally denying the individual access.
    (H) Review of decision to deny access. Whenever the records manager 
determines, in accordance with the procedures herein, that access cannot 
be granted the response will also include a statement of the procedures 
to obtain a review of the decision to deny in accord with Sec. 1665.5.
    (vii) Exceptions. (A) Nothing in these regulations shall be 
construed to entitle an individual the right to access to any 
information compiled in reasonable anticipation of a civil action or 
proceeding. The mere fact that records in a system of records are 
frequently the subject of litigation does not bring those systems of 
records within the scope of this provision. This provision is not 
intended to preclude access by an individual to the records which are 
available to that individual under the other processes such as the 
Freedom of Information Act or the rules of civil procedure.
    (B) Within any system of records pertaining to possible violations 
of the Military Selective Service Act, the identity of or any 
information pertaining to any individual who provides information 
relating to a suspected violator will not be revealed to the suspected 
violator. This exemption is made under the provision of 5 U.S.C. 
552a(k)(2).



Sec. 1665.3  Access to the accounting of disclosures from records.

    Rules governing the granting of access to the accounting of 
disclosure are the same as those for granting accesses

[[Page 372]]

to the records (including verification of identity) outlined in 
Sec. 1665.2.



Sec. 1665.4  Requests to amend records.

    (a) Requirement for written requests. Individuals desiring to amend 
a record that pertains to them in a system of records maintained by SSS 
must submit their request in writing in accord with the procedures set 
forth herein. Records not subject to the Privacy Act of 1974 will not be 
amended in accord with these provisions. However, individuals who 
believe that such records are inaccurate may bring this to the attention 
of SSS.
    (b) Procedures. (1)(i) The requests to amend a record in a system of 
records shall be addressed to the records manager. Included in the 
request shall be the name of the system and a brief description of the 
record proposed for amendment. In the event the request to amend the 
record is the result of the individual's having gained access to the 
record in accordance with the provisions concerning access to records as 
set forth above, copies of previous correspondence between the requester 
and SSS will serve in lieu of a separate description of the record.
    (ii) When the individual's identity has been previously verified 
pursuant to Sec. 1665.2(b)(2)(vi), further verification of identity is 
not required as long as the communication does not suggest that a need 
for verification is present. If the individual's identity has not been 
previously verified, SSS may require identification validation as 
described in Sec. 1665.2(b)(2)(vi). Individuals desiring assistance in 
the preparation of a request to amend a record should contact the 
records manager at the address cited above.
    (iii) The exact portion of the record the individual seeks to have 
amended should be clearly indicated. If possible, the proposed 
alternative language should also be set forth, or at a minimum, the 
facts which the individual believes are not accurate, relevant, timely, 
or complete should be set forth with such particularity as to permit SSS 
not only to understand the individual's basis for the request, but also 
to make an appropriate amendment to the record.
    (iv) The request must also set forth the reasons why the individual 
believes his record is not accurate, relevant, timely, or complete. In 
order to avoid the retention by SSS of personal information merely to 
permit verification of records, the burden of persuading SSS to amend a 
record will be upon the individual. The individual must furnish 
sufficient facts to persuade the official in charge of the system of the 
inaccuracy, irrelevancy, timeliness or incompleteness of the record.
    (v) Incomplete or inaccurate requests will not be rejected 
categorically. The individual will be asked to clarify the request as 
needed.
    (2) SSS action on the request. To the extent possible, a decision, 
upon a request to amend a record will be made within 10 days, (excluding 
Saturdays, Sundays, and legal Federal holidays). The response reflecting 
the decisions upon a request for amendment will include the following:
    (i) The decision of the Selective Service System whether to grant in 
whole, or deny any part of the request to amend the record.
    (ii) The reasons for determination for any portion of the request 
which is denied.
    (iii) The name and address of the official with whom an appeal of 
the denial may be lodged.
    (iv) The name and address of the official designated to assist, as 
necessary and upon request of, the individual making the request in 
preparation of the appeal.
    (v) A description of the review of the appeal with SSS (see 
Sec. 1665.5).
    (vi) A description of any other procedures which may be required of 
the individual in order to process the appeal.
    (3) If the nature of the request for the correction of the system of 
records precludes a decision within 10 days, the individual making the 
request will be informed within 10 days of the extended date for a 
decision. Such a decision will be issued as soon as it is reasonably 
possible, normally within 30 days from the receipt of the request 
(excluding Saturdays, Sundays, and legal Federal holidays) unless 
unusual circumstances preclude completing action within that time. If 
the expected completion date for the decision indicated cannot be

[[Page 373]]

met, the individual will be advised of the delay of a revised date when 
the decision may be expected to be completed.



Sec. 1665.5  Request for review.

    (a) Individuals wishing to request a review of the decision by SSS 
with regard to any initial request to access or amend a record in accord 
with the provisions of Secs. 1665.2 and 1665.4, should submit the 
request for review in writing and, to the extent possible, include the 
information specified in Sec. 1665.5(b). Individuals desiring assistance 
in the preparation of their request for review should contact the 
records manager at the address provided herein.
    (b) The request for review should contain a brief description of the 
record involved or in lieu thereof, copies of the correspondence from 
SSS in which the request to access or to amend was denied and also the 
reasons why the requester believes that access should be granted or the 
disputed information amended. The request for review should make 
reference to the information furnished by the individual in support of 
his claim and the reasons as required by Secs. 1665.2 and 1665.4 set 
forth by SSS in its decision denying access or amendment. Appeals filed 
without a complete statement by the requester setting forth the reasons 
for review will, of course, be processed. However, in order to make the 
appellate process as meaningful as possible, the requester's 
disagreement should be set forth in an understandable manner. In order 
to avoid the unnecessary retention of personal information, SSS reserves 
the right to dispose of the material concerning the request to access or 
amend a record if no request for review in accord with this section is 
received by SSS within 180 days of the mailing by SSS of its decision 
upon an initial request. A request for review received after the 180 day 
period may, at the discretion of the records manager, be treated as an 
initial request to access or amend a record.
    (c) The request for review should be addressed to the Director of 
Selective Service.
    (d) The Director of Selective Service will inform the requester in 
writing of the decision on the request for review within 20 days 
(excluding Saturdays, Sundays, and legal federal holidays) from the date 
of receipt by SSS of the individual's request for review unless the 
Director extends the 20 days period for good cause. The extension and 
the reasons therefor will be sent by SSS to the requester within the 
initial 20 day period. Such extensions should not be routine and should 
not normally exceed an additional thirty days. If the decision does not 
grant in full the request for amendment, the notice of the decision will 
provide a description of the steps the individual may take to obtain 
judicial review of such a decision, a statement that the individual may 
file a concise statement with SSS setting forth the individual's reasons 
for his disagreement with the decision and the procedures for filing 
such a statement of disagreement. The Director of Selective Service has 
the authority to determine the conciseness of the statement, taking into 
account the scope of the disagreement and the complexity of the issues. 
Upon the filing of a proper, concise statement by the individual, any 
subsequent disclosure of the information in dispute will be clearly 
noted so that the fact that the record is disputed is apparent, a copy 
of the concise statement furnished and a concise statement by SSS 
setting forth its reasons for not making the requested changes, if SSS 
chooses to file such a statement. A notation of a dispute is required to 
be made only if an individual informs the agency of his disagreement 
with SSS's determination in accord with Sec. 1665.5(a), (b) and (c). A 
copy of the individual's statement, and if it chooses, SSS's statement 
will be sent to any prior transferee of the disputed information who is 
listed on the accounting required by 5 U.S.C. 552a(c). If the reviewing 
official determines that the record should be amended in accord with the 
individual's request, SSS will promptly correct the record, advise the 
individual, and inform previous recipients if an accounting of the 
disclosure was made pursuant to 5 U.S.C. 552a(c). The notification of 
correction pertains to information actually disclosed.

[[Page 374]]



Sec. 1665.6  Schedule of fees.

    (a) Prohibitions against charging fees. Individuals will not be 
charged for:
    (1) The search and review of the record.
    (2) Any copies of the record produced as a necessary part of the 
process of making the record available for access, or
    (3) Any copies of the requested record when it has been determined 
that access can only be accomplished by providing a copy of the record 
through the mail.
    (4) Where a registrant has been charged under the Military Selective 
Service Act and must defend himself in a criminal prosecution, or where 
a registrant submits to induction and thereafter brings habeas corpus 
proceedings to test the validity of his induction, the Selective Service 
System will furnish to him, or to any person he may designate, one copy 
of his Selective Service file free of charge.
    (b) Waiver. The Director of Selective Service may at no charge, 
provide copies of a record if it is determined the production of the 
copies is in the interest of the Government.
    (c) Fee schedule and method of payment. Fees will be charged as 
provided below except as provided in paragraphs (a) and (b) of this 
section.
    (1) Duplication of records. Records will be duplicated at a rate of 
$.25 per page.
    (2) Fees should be paid in full prior to issuance of requested 
copies. In the event the requester is in arrears for previous requests, 
copies will not be provided for any subsequent request until the arrears 
have been paid in full.
    (3) Remittance shall be in the form of cash, a personal check or 
bank draft drawn on a bank in the United States, or postal money order. 
Remittances shall be made payable to the order of the Selective Service 
System and mailed or delivered to the records manager, Selective Service 
System, Washington, DC 20435.
    (4) A receipt of fees paid will be given upon request.



Sec. 1665.7  Information available to the public or to former employers of registrants.

    (a) Each area office maintains a classification record which 
contains the name, Selective Service number, and the current and past 
classifications for each person assigned to that board. Information in 
this record may be inspected at the area office at which it is 
maintained.
    (b) Any compensated employee of the Selective Service System may 
disclose to the former employer of a registrant who is serving in or who 
has been discharged from the Armed Forces whether the registrant has or 
has not been discharged and, if discharged, the date thereof, upon 
reasonable proof that the registrant left a position in the employ of 
the person requesting such information in order to serve in the Armed 
Forces.
    (c) Whenever an office referred to in this section is closed, the 
request for information that otherwise would be submitted to it should 
be submitted to the National Headquarters, Selective Service System, 
Washington, DC 20435.



Sec. 1665.8  Systems of records exempted from certain provisions of this act.

    Pursuant to 5 U.S.C. 552a(k)(2), the Selective Service System will 
not reveal to the suspected violator the informant's name or other 
identifying information relating to the informant.

[47 FR 24543, June 7, 1982]

                          PART 1690 [RESERVED]



PART 1697--SALARY OFFSET--Table of Contents




Sec.
1697.1  Purpose and scope.
1697.2  Definitions.
1697.3  Applicability.
1697.4  Notice requirements.
1697.5  Hearing.
1697.6  Written decision.
1697.7  Coordinating offset with another Federal agency.
1697.8  Procedures for salary offset.
1697.9  Refunds.
1697.10  Statute of Limitations.
1697.11  Non-waiver of rights.
1697.12  Interest, penalties, and administrative costs.

    Authority: 5 U.S.C. 5514, and 5 CFR part 550, subpart K.

    Source: 54 FR 48098, Nov. 21, 1989, unless otherwise noted.

[[Page 375]]



Sec. 1697.1  Purpose and scope.

    (a) This regulation provides procedures for the collection by 
administrative offset of a federal employee's salary without his/her 
consent to satisfy certain debts owed to the federal government. These 
regulations apply to all federal employees who owe debts to the 
Selective Service System and to current employees of the Selective 
Service System who owe debts to other federal agencies. This regulation 
does not apply when the employee consents to recovery from his/her 
current pay account.
    (b) This regulation does not apply to debts or claims arising under:
    (1) The Internal Revenue Code of 1954, as amended, 26 U.S.C. 1 et 
seq.;
    (2) The Social Security Act, 42 U.S.C. 301 et seq.:
    (3) The tariff laws of the United States; or
    (4) Any case where a collection of a debt by salary offset is 
explicitly provided for or prohibited by another statute (e.g., travel 
advances in 5 U.S.C. 5705 and employee training expenses in 5 U.S.C. 
4108).
    (c) This regulation does not apply to any adjustment to pay arising 
out of an employee's selection of coverage or a change in coverage under 
a federal benefits program requiring periodic deductions from pay if the 
amount to be recovered was accumulated over four pay periods or less.
    (d) This regulation does not preclude the compromise, suspension, or 
termination of collection action where appropriate under the standards 
implementing the Federal Claims Collection Act 31 U.S.C. 3711 et seq. 4 
CFR parts 101 through 105 and 45 CFR part 1177.
    (e) This regulation does not preclude an employee from requesting 
waiver of an overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774 or 32 
U.S.C. 716 or in any way questioning the amount or validity of the debt 
by submitting a subsequent claim to the General Accounting Office. This 
regulation does not preclude an employee from requesting a waiver 
pursuant to other statutory provisions applicable to the particular debt 
being collected.
    (f) Matters not addressed in these regulations should be reviewed in 
accordance with the Federal Claims Collection Standards at 4 CFR 101.1 
et seq.



Sec. 1697.2  Definitions.

    For the purposes of the part the following definitions will apply:
    Agency means an executive agency as is defined at 5 U.S.C. 105 
including the U.S. Postal Service and the U.S. Postal Rate Commission; a 
military department as defined in 5 U.S.C. 102; an agency or court in 
the judicial branch, including a court as defined in section 610 of 
title 28 U.S.C., the District Court for the Northern Mariana Islands, 
and the Judicial Panel on Multidistrict Litigation; an agency of the 
legislative branch including the U.S. Senate and House of 
Representatives; and other independent establishments that are entities 
of the federal government.
    Creditor agency means the agency to which the debt is owed.
    Debt means an amount owed to the United States from sources which 
include loans insured or guaranteed by the United States and all other 
amounts due the United States from fees, leases, rents, royalties, 
services, sales of real or personal property, overpayments, penalties, 
damages, interests, fines, forfeitures (except those arising under the 
Uniform Code of Military Justice) and all other similar sources.
    Director means the Director of Selective Service or his designee.
    Disposable pay means the amount that remains from an employee's 
federal pay after required deductions for social security, federal, 
state or local income tax, health insurance premiums, retirement 
contributions, life insurance premiums, federal employment taxes, and 
any other deductions that are required to be withheld by law.
    Employee means a current employee of an agency, including a current 
member of the Armed Forces or a Reserve of the Armed Forces (Reserves).
    Hearing official means an individual responsible for conducting any 
hearing with respect to the existence or amount of a debt claimed, and 
who renders a decision on the basis of such hearing. A hearing official 
may not be under the supervision or control of the Director of Selective 
Service.

[[Page 376]]

    Paying Agency means the agency that employs the individual who owes 
the debt and authorizes the payment of his/her current pay.
    Salary offset means an administrative offset to collect a debt 
pursuant to 5 U.S.C. 5514 by deduction(s) at one or more officially 
established pay intervals from the current pay account of an employee 
without his/her consent.
    Waiver means the cancellation, remission, forgiveness, or non-
recovery of a debt allegedly owed by an employee to an agency as 
permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774., 32 U.S.C. 716, 
5 U.S.C. 8346(b), or any other law.



Sec. 1697.3  Applicability.

    (a) These regulations are to be followed when:
    (1) The Selective Service System is owed a debt by an individual 
currently employed by another federal agency;
    (2) The Selective Service System is owed a debt by an individual who 
is a current employee of the Selective Service System; or
    (3) The Selective Service System employs an individual who owes a 
debt to another federal agency.



Sec. 1697.4  Notice requirements.

    (a) Deductions shall not be made unless the employee is provided 
with written notice signed by the Director of the debt at least 30 days 
before salary offset commences.
    (b) The written notice shall contain:
    (1) A statement that the debt is owed and an explanation of its 
nature and amount;
    (2) The agency's intention to collect the debt by deducting from the 
employee's current disposable pay account;
    (3) The amount, frequency, proposed beginning date, and duration of 
the intended deduction(s);
    (4) An explanation of interest, penalties, and administrative 
charges, including a statement that such charges will be assessed unless 
excused in accordance with the Federal Claims Collection Standards at 4 
CFR 101.1 et seq.;
    (5) The employee's right to inspect or request and receive a copy of 
government records relating to the debt;
    (6) The opportunity to establish a written schedule for the 
voluntary repayment of the debt;
    (7) The right to a hearing conducted by an impartial hearing 
official;
    (8) The methods and time period for petitioning for hearings;
    (9) A statement that the timely filing of a petition for a hearing 
will stay the commencement of collection proceedings;
    (10) A statement that a final decision on the hearing will be issued 
not later than 60 days after the filing of the petition requesting the 
hearing unless the employee requests and the hearing official grants a 
delay in the proceedings;
    (11) A statement that any knowingly false or frivolous statements, 
representations, or evidence may subject the employee to:
    (i) Disciplinary procedures appropriate under chapter 75 of title 5 
U.S.C., part 752 of title 5, Code of Federal Regulations, or any other 
applicable statutes or regulations;
    (ii) Penalties under the False Claims Act, sections 3729 through 
3731 of title 31 U.S.C., or any other applicable statutory authority; or
    (iii) Criminal penalties under sections 286, 287, 1001, and 1002 of 
title 18 U.S.C., or any other applicable statutory authority.
    (12) A statement of other rights and remedies available to the 
employee under statutes or regulations governing the program for which 
the collection is being made; and
    (13) Unless there are contractual or statutory provisions to the 
contrary, a statement that amounts paid on or deducted for the debt 
which are later waived or found not owed to the United States will be 
promptly refunded to the employee.



Sec. 1697.5  Hearing.

    (a) Request for hearing. (1) An employee must file a petition for a 
hearing in accordance with the instructions outlined in the agency's 
notice to offset.
    (2) A hearing may be requested by filing a written petition 
addressed to the Director of Selective Service stating why the employee 
disputes the existence or amount of the debt. The petition for a hearing 
must be received by

[[Page 377]]

the Director no later than fifteen (15) calendar days after the date of 
the notice to offset unless the employee can show good cause for failing 
to meet the deadline date.
    (b) Hearing procedures. (1) The hearing will be presided over by an 
impartial hearing official.
    (2) The hearing shall conform to procedures contained in the Federal 
Claims Collection Standards 4 CFR 102.3(c). The burden shall be on the 
employee to demonstrate that the existence or the amount of the debt is 
in error.



Sec. 1697.6  Written decision.

    (a) The hearing official shall issue a written opinion no later than 
60 days after the hearing.
    (b) The written opinion will include: a statement of the facts 
presented to demonstrate the nature and origin of the alleged debt; the 
hearing official's analysis, findings and conclusions; the amount and 
validity of the debt, and the repayment schedule, if applicable.



Sec. 1697.7  Coordinating offset with another federal agency.

    (a) The Selective Service System as the creditor agency. (1) When 
the Director determines that an employee of a federal agency owes a 
delinquent debt to the Selective Service System, the Director shall as 
appropriate:
    (i) Arrange for a hearing upon the proper petitioning by the 
employee;
    (ii) Certify in writing to the paying agency that the employee owes 
the debt, the amount and basis of the debt, the date on which payment is 
due, the date the government's right to collect the debt accrued, and 
that Selective Service System regulations for salary offset have been 
approved by the Office of Personnel Management;
    (iii) If collection must be made in installments, the Director must 
advise the paying agency of the amount or percentage of disposable pay 
to be collected in each installment;
    (iv) Advise the paying agency of the actions taken under 5 U.S.C. 
5514(b) and provide the dates on which action was taken unless the 
employee has consented to salary offset in writing or signed a statement 
acknowledging receipt of procedures required by law. The written consent 
or acknowledgement must be sent to the paying agency;
    (v) If the employee is in the process of separating, the Selective 
Service System must submit its debt claim to the paying agency as 
provided in this part. The paying agency must certify any amounts 
already collected, notify the employee and send a copy of the 
certification and notice of the employee's separation to the creditor 
agency. If the creditor agency is aware that the employee is entitled to 
Civil Service Retirement and Disability Fund or similar payments, it 
must certify to the agency responsible for making such payments the 
amount of the debt and that the provisions of this part have been 
followed; and
    (vi) If the employee has already separated and all payments due from 
the paying agency have been paid, the Director may request, unless 
otherwise prohibited, that money payable to the employee from the Civil 
Service Retirement and Disability Fund or other similar funds be 
collected by administrative offset as provided under 5 CFR 831.1801 or 
other provisions of law or regulation.
    (b) The Selective Service System as the paying agency. (1) Upon 
receipt of a properly certified debt claim from another agency, 
deductions will be scheduled to begin at the next established pay 
interval. The employee must receive written notice that the Selective 
Service System has received a certified debt claim from the creditor 
agency, the amount of the debt, the date salary offset will begin, and 
the amount of the deduction(s). The Selective Service System shall not 
review the merits of the creditor agency's determination of the validity 
or the amount of the certified claim.
    (2) If the employee transfers to another agency after the creditor 
agency has submitted its debt claim to the Selective Service System and 
before the debt is collected completely, the Selective Service System 
must certify the total amount collected. One copy of the certification 
must be furnished to the employee. A copy must be furnished the creditor 
agency with notice of the employee's transfer.

[[Page 378]]



Sec. 1697.8  Procedures for salary offset.

    (a) Deductions to liquidate an employee's debt will be by the method 
and in the amount stated in the Director's notice of intention to offset 
as provided in Sec. 1697.4. Debts will be collected in one lump sum 
where possible. If the employee is financially unable to pay in one lum 
sum, collection must be made in installments.
    (b) Debts will be collected by deduction at officially established 
pay intervals from an employee's current pay account unless alternative 
arrangements for repayment are made with the approval of the Director.
    (c) Installment deductions will be made over a period not greater 
than the anticipated period of employment. The size of installment 
deductions must bear a reasonable relationship to the size of the debt 
and the employee's ability to pay. The deduction for the pay intervals 
for any period must not exceed 15% of disposable pay unless the employee 
has agreed in writing to a deduction of a greater amount.
    (d) Unliquidated debts may be offset against any financial payment 
due to a separated employee including but not limited to final salary or 
leave payment in accordance with 31 U.S.C. 3716.



Sec. 1697.9  Refunds.

    (a) The Selective Service System will refund promptly any amounts 
deducted to satisfy debts owed to the Selective Service System when the 
debt is waived, found not owed to the Selective Service System, or when 
directed by an administrative or judicial order.
    (b) The creditor agency will promptly return any amounts deducted by 
the Selective Service System to satisfy debts owed to the creditor 
agency when the debt is waived, found not owed, or when directed by an 
administrative or judicial order.
    (c) Unless required by law, refunds under this subsection shall not 
bear interest.



Sec. 1697.10  Statute of Limitations.

    If a debt has been outstanding for more than 10 years after the 
agency's right to collect the debt first accrued, the agency may not 
collect by salary offset unless facts material to the government's right 
to collect were not known and could not reasonably have been known by 
the official or officials who were charged with the responsibility for 
discovery and collection of such debts.



Sec. 1697.11  Non-waiver of rights.

    An employee's involuntary payment of all or any part of a debt 
collected under these regulations will not be construed as a waiver of 
any rights that employee may have under 5 U.S.C. 5514 or any other 
provision of contract or law unless there are statutes or contract(s) to 
the contrary.



Sec. 1697.12  Interest, penalties, and administrative costs.

    Charges may be assessed for interest, penalties, and administrative 
costs in accordance with the Federal Claims Collection Standards, 4 CFR 
102.13



PART 1698--ADVISORY OPINIONS--Table of Contents




Sec.
1698.1  Purpose.
1698.2  Requests for advisory opinions.
1698.3  Requests for additional information.
1698.4  Confidentiality of advisory opinions and requests for advisory 
          opinions.
1698.5  Basis for advisory opinions.
1698.6  Issuance of advisory opinions.
1698.7  Reconsideration of advisory opinion.
1698.8  Effect of advisory opinions.

    Authority: Military Selective Service Act, 50 U.S.C. 451 et seq.; 
E.O. 11623.

    Source: 52 FR 24460, July 1, 1987, unless otherwise noted.



Sec. 1698.1  Purpose.

    The provisions of this part prescribe the procedures for requesting 
and processing requests for advisory opinions relative to a named 
individual's liability for registration under the Military Selective 
Service Act (MSSA), 50 U.S.C. App. 451 et seq.



Sec. 1698.2  Requests for advisory opinions.

    (a) Any male born after December 31, 1959 who has attained 18 years 
of age may request an advisory opinion as to his liability to register 
under MSSA. A parent or guardian of such person who is unable to make a 
request for an advisory opinion may request an advisory opinion for him. 
Any Federal, state or

[[Page 379]]

municipal governmental agency may request an advisory opinion as to the 
liability of any male person born after December 31, 1959 who has 
attained 18 years of age to register under MSSA.
    (b) Requests for advisory opinions shall be in writing and addressed 
to Director of Selective Service, ATTN: SIL, P.O. Box 94638, Palatine, 
IL 60094-4638. With respect to the person concerning whom an advisory 
opinion is requested, the following should be furnished: full name, 
address, date of birth, Social Security Account Number, basis for the 
opinion that the registration requirement is inapplicable to him, and, 
if applicable, basis for his assertion that his failure to register ``. 
. . was not a knowing and willful failure to register.''

[52 FR 24460, July 1, 1987, as amended at 65 FR 47670, Aug. 3, 2000]



Sec. 1698.3  Requests for additional information.

    (a) The Director may request additional appropriate information from 
the requester for an advisory opinion.
    (b) The Director will forward a copy of the request by a Federal, 
state or municipal governmental agency for an advisory opinion to the 
person to whom the request pertains and invite his comments on it.



Sec. 1698.4  Confidentiality of advisory opinions and requests for advisory opinions.

    Advisory opinions will be confidential except as provided in 
Sec. 1698.6. Requests for advisory opinions will be confidential except 
as provided in Sec. 1698.3.



Sec. 1698.5  Basis of advisory opinions.

    Advisory opinions will be based on the request therefor, responses 
to requests for information, and matters of which the Director can take 
official notice.



Sec. 1698.6  Issuance of advisory opinions.

    A copy of the advisory opinion will be furnished, without charge, to 
the requester therefor and to the individual to whom it pertains. A copy 
of an advisory opinion will be furnished, without charge, to any 
Federal, state, or municipal governmental agency upon request.



Sec. 1698.7  Reconsideration of advisory opinions.

    Whenever the Director has reason to believe that there is 
substantial error in the information on which an advisory opinion is 
based, he may reconsider it and issue an appropriate revised opinion.



Sec. 1698.8  Effect of advisory opinion.

    The Selective Service System will not take action with respect to 
any person concerning whom the Director has issued an advisory opinion 
insonsistent with that advisory opinion.



PART 1699--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY SELECTIVE SERVICE SYSTEM--Table of Contents




Sec.
1699.101  Purpose.
1699.102  Application.
1699.103  Definitions.
1699.104-1699.109  [Reserved]
1699.110  Self-evaluation.
1699.111  Notice.
1699.112-1699.129  [Reserved]
1699.130  General prohibitions against discrimination.
1699.131-1699.139  [Reserved]
1699.140  Employment.
1699.141-1699.148  [Reserved]
1699.149  Program accessibility: discrimination prohibited.
1699.150  Program accessibility: existing facilities.
1699.151  Program accessibility: new construction and alterations.
1699.152-1699.159  [Reserved]
1699.160  Communications.
1699.161-1699.169  [Reserved]
1699.170  Compliance procedure.
1699.171-1699.999  [Reserved]

    Authority: 9 U.S.C. 794.

    Source: 50 FR 35219, Aug. 30, 1985, unless otherwise noted.



Sec. 1699.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of

[[Page 380]]

1978, which amended section 504 of the Rehabilitation Act of 1973 to 
prohibit discrimination on the basis of handicap in programs or 
activities conducted by Executive agencies or the United States Postal 
Service.



Sec. 1699.102  Application.

    This part applies to all programs or activities conducted by the 
agency.



Sec. 1699.103  Definitions.

    For purposes of this part, the term--
    Agency means the Selective Service System.
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, Brailled materials, 
audio recordings, telecommunications devices and other similar services 
and devices. Auxiliary aids useful for persons with impaired hearing 
include telephone handset amplifiers, telephones compatible with hearing 
aids, telecommunication devices for deaf persons (TDD's), interpreters, 
notetakers, written materials, and other similar services and devices.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the agency's alleged 
discriminatory action in sufficient detail to inform the agency of the 
nature and date of the alleged violation of section 504. It shall be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties shall 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances, or other real or personal property.
    Handicapped person means any person who has a physical or mental 
impairment that substantially limits one or more major life activities, 
has a record of such an impairment, or is regarded as having such an 
impairment.
    As used in this definition, the phrase:
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Neurological; musculoskeletal; special sense organs; respiratory, 
including speech organs; cardiovascular; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such disease and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, and drug addition and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working.
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having, a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
such impairment; or
    (iii) Has none of the impairments defined in paragraph (l) of this 
definition but is treated by the agency as having such an impairment.
    Qualified handicapped person means--
    (1) With respect to any agency program or activity under which a 
person is required to perform services or to

[[Page 381]]

achieve a level of accomplishment, a handicapped person who meets the 
essential eligibility requirements and who can achieve the purpose of 
the program or activity without modifications in the program or activity 
that the agency can demonstrate would result in a fundamental alteration 
in its nature; or
    (2) With respect to any other program or activity, a handicapped 
person who meets the essential eligibility requirements for 
participation in, or receipt of benefits from, that program or activity.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617), 
and the Rehabilitation, Comprehensive Services, and Development 
Disabilities Amendments of 1978 (Pub. L. 95-602, 92 Stat. 2955). As used 
in this part, section 504 applies only to programs or activities 
conducted by Executive agencies and not to federally assisted programs.



Secs. 1699.104-1699.109  [Reserved]



Sec. 1699.110  Self-evaluation.

    (a) The agency shall, within one year of the effective date of this 
part, evaluate its current policies and practices, and the effects 
thereof, that do not or may not meet the requirements of this part, and, 
to the extent modification of any such policies and practices is 
required, the agency shall proceed to make the necessary modifications.
    (b) The agency shall provide an opportunity to interested persons, 
including handicapped persons or organizations representing handicapped 
persons, to participate in the self-evaluation process by submitting 
comments (both oral and written).
    (c) The agency shall, for at least three years following completion 
of the evaluation required under paragraph (a) of this section, maintain 
on file and make available for public inspection--
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec. 1699.111  Notice.

    The agency shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the agency, and make such 
information available to them in such manner as the agency head finds 
necessary to apprise such persons of the protections against 
discrimination assured them by section 504 and its regulation.



Secs. 1699.112-1699.129  [Reserved]



Sec. 1699.130  General prohibitions against discrimination.

    (a) No qualified handicapped person shall, on the basis of handicap, 
be excluded from participation in, be denied the benefits of, or 
otherwise be subjected to discrimination under any program or activity 
conducted by the agency.
    (b)(1) The agency, in providing any aid, benefit or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap--
    (i) Deny a qualified handicapped person the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Afford a qualified handicapped person an opportunity to 
participate in or benefit from the aid, benefit, or service that is not 
equal to that afforded others;
    (iii) Provide a qualified handicapped person with an aid, benefit, 
or service that is not as effective in affording equal opportunity to 
obtain the same result, to gain the same benefit, or to reach the same 
level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
handicapped persons or to any class of handicapped persons than is 
provided to others unless such action is necessary to provide qualified 
handicapped persons with aids, benefits, or services that are as 
effective as those provided to others;
    (v) Deny a qualified handicapped person the opportunity to 
participate as a member of planning or advisory boards; or

[[Page 382]]

    (vi) Otherwise limit a qualified handicapped person in the enjoyment 
of any right, privilege, advantage, or opportunity enjoyed by others 
receiving the aid, benefit, or service.
    (2) The agency may not deny a qualified handicapped person the 
opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified handicapped persons to discrimination on the 
basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to handicapped persons.
    (4) The agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude handicapped persons from, deny them the benefits of, or 
otherwise subject them to discrimination under, any program or activity 
conducted by the agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to handicapped persons.
    (5) The agency, in the selection of procurement contractors, may not 
use criteria that subject qualified handicapped persons to 
discrimination on the basis of handicap.
    (6) The agency may not administer a licensing or certification 
program in a manner that subjects qualified handicapped persons to 
discrimination on the basis of handicap, nor may the agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified handicapped persons to discrimination on 
the basis of handicap. However, the programs or activities of entities 
that are licensed or certified by the agency are not, themselves, 
covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits of a 
program limited by Federal statute or Executive order to handicapped 
persons or the exclusion of a specific class of handicapped persons from 
a program limited by Federal statute or Executive order to a different 
class of handicapped person is not prohibited by this part.
    (d) The agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified handicapped 
persons.



Secs. 1699.131-1699.139  [Reserved]



Sec. 1699.140  Employment.

    No qualified handicapped person shall, on the basis of handicap, be 
subjected to discrimination in employment under any program or activity 
conducted by the agency. The definitions, requirements and procedures of 
section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as 
established in 29 CFR part 1613, shall apply to employment in federally 
conducted programs or activities.



Secs. 1699.141-1699.148  [Reserved]



Sec. 1699.149  Program accessibility: discrimination prohibited.

    Except as otherwise provided in Sec. 1699.150, no qualified 
handicapped persons shall, because the agency's facilities are 
inaccessible to or unusable by handicapped persons, be denied the 
benefits of, be excluded from participation in, or otherwise be subject 
to discrimination under any program or activity conducted by the agency.



Sec. 1699.150  Program accessibility: existing facilities.

    (a) General. The agency shall operate each program or activity so 
that the program or activity, when viewed in its entirety, is readily 
accessible to and usable by handicapped persons. This paragraph does 
not--
    (1) Necessarily require the agency to make each of its existing 
facilities accessible to and usable by handicapped persons;
    (2) Require the agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens. In those 
circumstances where

[[Page 383]]

agency personnel believe that the proposed action would fundamentally 
alter the program or activity or would result in undue financial and 
administrative burdens, the agency has the burden of proving that 
compliance with Sec. 1699.150(a) would result in such alterations or 
burdens. The decision that compliance would result in such alteration or 
burdens must be made by the agency head after considering all agency 
resources available for use in the funding and operation of the 
conducted program or activity, and must be accompanied by a written 
statement of the reasons for reaching that conclusion. If an action 
would result in such an alteration or such burdens, the agency shall 
take any other action that would not result in such an alteration or 
such burdens but would nevertheless ensure that handicapped persons 
receive the benefits and services of the program or activity.
    (b) Methods. The agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
handicapped persons. The agency is not required to make structural 
changes in existing facilities where other methods are effective in 
achieving compliance with this section. The agency, in making 
alterations to existing buildings, shall meet accessibility requirements 
to the extent compelled by the Architectural Barriers Act of 1968, as 
amended (42 U.S.C. 4141 through 4157), and any regulations implementing 
it. In choosing among available methods for meeting the requirements of 
this section, the agency shall give priority to those methods that offer 
programs and activities to qualified handicapped persons in the most 
integrated setting appropriate.
    (c) Time period for compliance. The agency shall comply with the 
obligations established under this section within sixty days of the 
effective date of this part except that where structural changes in 
facilities are undertaken, such changes shall be made within three years 
of the effective date of this part, but in any event as expeditiously as 
possible.
    (d) Transition plan. In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
agency shall develop, within six months of the effective date of this 
part, a transition plan setting forth the steps necessary to complete 
such changes. The agency shall provide an opportunity to interested 
persons, including handicapped persons or organizations representing 
handicapped persons, to participate in the development of the transition 
by submitting comments (both oral and written). A copy of the transition 
plan shall be made available for public inspection. The plan shall, at a 
minimum--
    (1) Identify physical obstacles in the agency's facilities that 
limit the accessibility of its programs or activities to handicapped 
persons;
    (2) Describe in detail the methods that will be used to make the 
facilities accessible;
    (3) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, at the time, identify steps that will 
be taken during each year of the transition period; and
    (4) Indicate the officials responsible for implementation of the 
plan.



Sec. 1699.151  Program accessibility: new construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of the agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
handcapped persons. The definitions, requirements, and standards of the 
Architectural Barriers Act (42 U.S.C. 4151 through 4157), as established 
in 41 CFR 101-19.600 to 14-19.607, apply to buildings covered by this 
section.

[[Page 384]]



Secs. 1699.152-1699.159  [Reserved]



Sec. 1699.160  Communications.

    (a) The agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public.
    (1) The agency shall furnish appropriate auxiliary aid where 
necessary to afford a handicapped person an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the agency.
    (i) In determining what type of auxiliary aid is necessary, the 
agency shall give primary consideration to the requests of the 
handicapped person.
    (ii) The agency need not provide individually prescribed devices, 
readers for personal use or study, or other devices of a personal 
nature.
    (2) Where the agency communicates with applicants and beneficiaries 
by telephone, telecommunications devices for deaf persons (TDD's), or 
equally effective telecommunication systems shall be used.
    (b) The agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The agency shall provide signs at a primary entrance to each of 
its inaccessible facilities, directing users to a location at which they 
can obtain information about accessible facilities. The international 
symbol for accessibility shall be used at each primary entrance of an 
accessible facility.
    (d) This section does not require the agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the agency 
has the burden of proving that compliance with Sec. 1699.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the agency head 
after considering all agency resources available for use in the funding 
and operation of the conducted program or activity, and must be 
accompanied by a written statement of the reasons for reaching that 
conclusion. If an action required to comply with this section would 
result in such burdens, the agency shall take any other action that 
would not result in such an alteration or such burdens but would 
nevertheless ensure that, to the maximum extent possible, handicapped 
persons receive the benefits and services of the program or activity.



Secs. 1699.161-1699.169  [Reserved]



Sec. 1699.170  Compliance procedure.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs or activities conducted by the agency.
    (b) The agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established in 29 CFR part 1613 pursuant to section 501 of the 
Rehabilitation Act of 1973 (29 U.S.C. 791).
    (c) Responsibility for implementation and operation of this section 
shall be vested in the Associate Director for Administration.
    (d) The agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The agency may 
extend this time period for good cause.
    (e) If the agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151 through 4157), or section 502 of the 
Rehabilitation Act of 1973, as amended (29 U.S.C. 792), is not readily 
accessible and usable to handicapped persons.

[[Page 385]]

    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, the agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusion of law;
    (2) A description of a remedy of each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the agency of the letter required by Sec. 1699.170(g). The agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the Director 
of Selective Service.
    (j) The agency shall notify the complainant of the results of the 
appeal within 60 days of the receipt of the request. If the agency 
determines that it needs additional information from the complainant, it 
shall have 60 days from the date it receives the additional information 
to make its determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The agency may delegate its authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated.



Secs. 1699.171-1699.999  [Reserved]

[[Page 387]]



           CHAPTER XVIII--NATIONAL COUNTERINTELLIGENCE CENTER




  --------------------------------------------------------------------
Part                                                                Page
1800            Public access to NACIC records under the 
                    Freedom of Information Act (FOIA).......         389
1801            Public rights under the Privacy Act of 1974.         399
1802            Challenges to classification of documents by 
                    authorized holders pusuant to section 
                    1.9 of Executive Order 12958............         406
1803            Public requests for mandatory 
                    declassification review of classified 
                    information pusuant to section 3.6 of 
                    Executive Order 12958...................         409
1804            Access by historical researchers and former 
                    presidential appointees pusuant to 
                    section 4.5 of Executive Order 12958....         413
1805            Production of official records or disclosure 
                    of official information in proceedings 
                    before Federal, State or local 
                    Government entities of competent 
                    juridiction.............................         416
1806            Procedures governing acceptance of service 
                    of process..............................         418
1807            Enforcement of nondiscrimination on the 
                    basis of disability in programs or 
                    activities conducted by the National 
                    Counterintelligence Center..............         419

[[Page 389]]



PART 1800--PUBLIC ACCESS TO NACIC RECORDS UNDER THE FREEDOM OF INFORMATION ACT (FOIA)--Table of Contents




                           Subpart A--General

Sec.
1800.1  Authority and purpose.
1800.2  Definitions.
1800.3  Contact for general information and requests.
1800.4  Suggestions and complaints.

                   Subpart B--Filing of FOIA Requests

1800.11  Preliminary information.
1800.12  Requirements as to form and content.
1800.13  Fees for record services.
1800.14  Fee estimates (pre-request option).

                Subpart C--NACIC Action on FOIA Requests

1800.21  Processing of requests for records.
1800.22  Action and determination(s) by originator(s) or any interested 
          party.
1800.23  Payment of fees, notification of decision, and right of appeal.

              Subpart D--Additional Administrative Matters

1800.31  Procedures for business information.
1800.32  Procedures for information concerning other persons.
1800.33  Allocation of resources; agreed extensions of time.
1800.34  Requests for expedited processing.

         Subpart E--NACIC Action on FOIA Administrative Appeals

1800.41  Appeal authority.
1800.42  Right of appeal and appeal procedures.
1800.43  Determination(s) by Office Chief(s).
1800.44  Action by appeals authority.
1800.45  Notification of decision and right of judicial review.

    Authority: 5 U.S.C. 552.

    Source: 64 FR 49879, Sept. 14, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 1800.1  Authority and purpose.

    This part is issued under the authority of and in order to implement 
the Freedom of Information Act (FOIA), as amended (5 U.S.C. 552); and 
section 102 of the National Security Act of 1947, as amended (50 U.S.C. 
403). It prescribes procedures for:
    (a) Requesting information on available NACIC records, or NACIC 
administration of the FOIA, or estimates of fees that may become due as 
a result of a request;
    (b) Requesting records pursuant to the FOIA; and
    (c) Filing an administrative appeal of an initial adverse decision 
under the FOIA.



Sec. 1800.2  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    NACIC means the United States National Counterintelligence Center 
acting through the NACIC Information and Privacy Coordinator;
    Days means calendar days when NACIC is operating and specifically 
excludes Saturdays, Sundays, and legal public holidays. Three (3) days 
may be added to any time limit imposed on a requester by this part if 
responding by U.S. domestic mail; otherwise ten (10) days may be added 
if responding by international mail;
    Control means ownership or the authority of NACIC pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    Coordinator means the NACIC Information and Privacy Coordinator who 
serves as the NACIC manager of the information review and release 
program instituted under the Freedom of Information Act;
    Direct-costs means those expenditures which an agency actually 
incurs in the processing of a FOIA request; it does not include overhead 
factors such as space; it does include:
    (1) Pages means paper copies of standard office size or the dollar 
value equivalent in other media;
    (2) Reproduction means generation of a copy of a requested record in 
a form appropriate for release;
    (3) Review means all time expended in examining a record to 
determine whether any portion must be withheld pursuant to law and in 
effecting any required deletions but excludes personnel hours expended 
in resolving general legal or policy issues; it also

[[Page 390]]

means personnel hours of professional time;
    (4) Search means all time expended in looking for and retrieving 
material that may be responsive to a request utilizing available paper 
and electronic indices and finding aids; it also means personnel hours 
of professional time or the dollar value equivalent in computer 
searches;
    Expression of interest means a written communication submitted by a 
member of the public requesting information on or concerning the FOIA 
program and/or the availability of documents from NACIC;
    Federal agency means any executive department, military department, 
or other establishment or entity included in the definition of agency in 
5 U.S.C. 552(f);
    Fees means those direct costs which may be assessed a requester 
considering the categories established by the FOIA; requesters should 
submit information to assist NACIC in determining the proper fee 
category and NACIC may draw reasonable inferences from the identity and 
activities of the requester in making such determinations; the fee 
categories include:
    (1) Commercial means a request in which the disclosure sought is 
primarily in the commercial interest of the requester and which furthers 
such commercial, trade, income or profit interests;
    (2) Non-commercial educational or scientific institution means a 
request from an accredited United States educational institution at any 
academic level or institution engaged in research concerning the social, 
biological, or physical sciences or an instructor or researcher or 
member of such institutions; it also means that the information will be 
used in a specific scholarly or analytical work, will contribute to the 
advancement of public knowledge, and will be disseminated to the general 
public;
    (3) Representative of the news media means a request from an 
individual actively gathering news for an entity that is organized and 
operated to publish and broadcast news to the American public and 
pursuant to their news dissemination function and not their commercial 
interests; the term news means information which concerns current 
events, would be of current interest to the general public, would 
enhance the public understanding of the operations or activities of the 
U.S. Government, and is in fact disseminated to a significant element of 
the public at minimal cost; freelance journalists are included in this 
definition if they can demonstrate a solid basis for expecting 
publication through such an organization, even though not actually 
employed by it; a publication contract or prior publication record is 
relevant to such status;
    (4) All other means a request from an individual not within 
categories (h)(1), (2), or (3) of this section;
    Freedom of Information Act or ``FOIA'' means the statutes as 
codified at 5 U.S.C. 552;
    Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
NACIC, has a subject matter or physical interest in the documents or 
information at issue;
    Originator means the U.S. Government official who originated the 
document at issue or successor in office or such official who has been 
delegated release or declassification authority pursuant to law;
    Potential requester means a person, organization, or other entity 
who submits an expression of interest;
    Reasonably described records means a description of a document 
(record) by unique identification number or descriptive terms which 
permit a NACIC employee to locate documents with reasonable effort given 
existing indices and finding aids;
    Records or agency records means all documents, irrespective of 
physical or electronic form, made or received by NACIC in pursuance of 
federal law or in connection with the transaction of public business and 
appropriate for preservation by NACIC as evidence of the organization, 
functions, policies, decisions, procedures, operations, or other 
activities of NACIC or because of the informational value of the data 
contained therein; it does not include:

[[Page 391]]

    (1) Books, newspapers, magazines, journals, magnetic or printed 
transcripts of electronic broadcasts, or similar public sector materials 
acquired generally and/or maintained for library or reference purposes; 
to the extent that such materials are incorporated into any form of 
analysis or otherwise distributed or published by NACIC, they are fully 
subject to the disclosure provisions of the FOIA;
    (2) Index, filing, or museum documents made or acquired and 
preserved solely for reference, indexing, filing, or exhibition 
purposes; and
    (3) Routing and transmittal sheets and notes and filing or 
destruction notes which do not also include information, comment, or 
statements of substance;
    Responsive records means those documents (i.e., records) which NACIC 
has determined to be within the scope of a FOIA request.



Sec. 1800.3  Contact for general information and requests.

    For general information on this part, to inquire about the FOIA 
program at NACIC, or to file a FOIA request (or expression of interest), 
please direct your communication in writing to the Information and 
Privacy Coordinator, Executive Secretariat Office, National 
Counterintelligence Center, 3W01 NHB, Washington, DC 20505. Such 
inquiries will also be accepted by facsimile at (703)874-5844. For 
general information or status information on pending cases only, the 
telephone number is (703)874-4121. Collect calls cannot be accepted.



Sec. 1800.4  Suggestions and complaints.

    NACIC welcomes suggestions or complaints with regard to its 
administration of the Freedom of Information Act. Letters of suggestion 
or complaint should identify the specific purpose and the issues for 
consideration. NACIC will respond to all substantive communications and 
take such actions as determined feasible and appropriate.



                   Subpart B--Filing of FOIA Requests



Sec. 1800.11  Preliminary information.

    Members of the public shall address all communications to the NACIC 
Coordinator as specified at Sec. 1800.03 and clearly delineate the 
communication as a request under the Freedom of Information Act and this 
regulation. NACIC employees receiving a communication in the nature of a 
FOIA request shall expeditiously forward same to the Coordinator. 
Requests and appeals on requests, referrals, or coordinations received 
from members of the public who owe outstanding fees for information 
services at this or other federal agencies will not be accepted and 
action on all pending requests shall be terminated in such 
circumstances.



Sec. 1800.12  Requirements as to form and content.

    (a) Required information. No particular form is required. A request 
need only reasonably describe the records of interest. This means that 
documents must be described sufficiently to enable a professional 
employee familiar with the subject to locate the documents with a 
reasonable effort. Commonly this equates to a requirement that the 
documents must be locatable through the indexing of our various systems. 
Extremely broad or vague requests or requests requiring research do not 
satisfy this requirement.
    (b) Additional information for fee determination. In addition, a 
requester should provide sufficient personal identifying information to 
allow us to determine the appropriate fee category. A requester should 
also provide an agreement to pay all applicable fees or fees not to 
exceed a certain amount or request a fee waiver.
    (c) Otherwise. Communications which do not meet these requirements 
will be considered an expression of interest and NACIC will work with, 
and offer suggestions to, the potential requester in order to define a 
request properly.



Sec. 1800.13  Fees for record services.

    (a) In general. Search, review, and reproduction fees will be 
charged in accordance with the provisions below relating to schedule, 
limitations, and category of requester. Applicable fees will be due even 
if our search locates no responsive records or some or all of the 
responsive records must be denied under one or more of the exemptions of 
the Freedom of Information Act.

[[Page 392]]

    (b) Fee waiver requests. Records will be furnished without charge or 
at a reduced rate whenever NACIC determines:
    (1) That, as a matter of administrative discretion, the interest of 
the United States Government would be served, or
    (2) That it is in the public interest because it is likely to 
contribute significantly to the public understanding of the operations 
or activities of the United States Government and is not primarily in 
the commercial interest of the requester; NACIC shall consider the 
following factors when making this determination:
    (i) Whether the subject of the request concerns the operations or 
activities of the United States Government; and, if so,
    (ii) Whether the disclosure of the requested documents is likely to 
contribute to an understanding of United States Government operations or 
activities; and, if so,
    (iii) Whether the disclosure of the requested documents will 
contribute to public understanding of United States Government 
operations or activities; and, if so,
    (iv) Whether the disclosure of the requested documents is likely to 
contribute significantly to public understanding of United States 
Government operations and activities; and
    (v) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and, if so,
    (vi) Whether the disclosure is primarily in the commercial interest 
of the requester.
    (c) Fee waiver appeals. Denials of requests for fee waivers or 
reductions may be appealed to the Director, NACIC via the Coordinator. A 
requester is encouraged to provide any explanation or argument as to how 
his or her request satisfies the statutory requirement set forth in 
paragraph (b) of this section.
    (d) Time for fee waiver requests and appeals. It is suggested that 
such requests and appeals be made and resolved prior to the initiation 
of processing and the incurring of costs. However, fee waiver requests 
will be accepted at any time prior to the release of documents or the 
completion of a case, and fee waiver appeals within forty-five (45) days 
of our initial decision subject to the following condition: if 
processing has been initiated, then the requester must agree to be 
responsible for costs in the event of an adverse administrative or 
judicial decision.
    (e) Agreement to pay fees. In order to protect requesters from large 
and/or unanticipated charges, NACIC will request specific commitment 
when it estimates that fees will exceed $100.00. NACIC will hold in 
abeyance for forty-five (45) days requests requiring such agreement and 
will thereafter deem the request closed. This action, of course, would 
not prevent an individual from refiling his or her FOIA request with a 
fee commitment at a subsequent date.
    (f) Deposits. NACIC may require an advance deposit of up to 100 
percent of the estimated fees when fees may exceed $250.00 and the 
requester has no history of payment, or when, for fees of any amount, 
there is evidence that the requester may not pay the fees which would be 
accrued by processing the request. NACIC will hold in abeyance for 
forty-five (45) days those requests where deposits have been requested.
    (g) Schedule of fees--(1) In general. The schedule of fees for 
services performed in responding to requests for records is established 
as follows:

                     (i) Personnel Search and Review


Clerical/Technical--Quarter hour--$ 5.00--Professional/Supervisory--
Quarter hour-- 10.00----Manager/Senior Professional--Quarter hour--18.00

                   (ii) Computer Search and Production


Search (on-line)--Flat rate--10.00--Search (off-line)--Flat rate--
30.00--Other activity--Per minute--10.00--Tapes (mainframe cassette)--
Each--9.00--Tapes (mainframe cartridge)--Each--9.00--Tapes (mainframe 
reel)--Each--20.00--Tapes (PC 9mm)--Each--25.00--Diskette (3.5[dprime])
    --Each--4.00--CD (bulk recorded)--Each--10.00--CD (recordable)--
Each--20.00-- Telecommunications --Per minute--.50-- Paper

[[Page 393]]

(mainframe printer)--Per page--.10--Paper (PC b&w laser printer)--Per 
page--.10--Paper (PC color printer)--Per page--1.00

                         (iii) Paper Production


Photocopy (standard or legal)--Per page--.10--Microfiche--Per 
frame--.20--Pre-printed (if available)--Per 100 pages--5.00--Published 
(if available)--Per item--NTIS--

    (2) Application of schedule. Personnel search time includes time 
expended in either manual paper records searches, indices searches, 
review of computer search results for relevance, personal computer 
system searches, and various reproduction services. In any event where 
the actual cost to NACIC of a particular item is less than the above 
schedule (e.g., a large production run of a document resulted in a cost 
less than $5.00 per hundred pages), then the actual lesser cost will be 
charged.
    (3) Other services. For all other types of output, production, or 
reproduction (e.g., photographs, maps, or published reports), actual 
cost or amounts authorized by statute. Determinations of actual cost 
shall include the commercial cost of the media, the personnel time 
expended in making the item to be released, and an allocated cost of the 
equipment used in making the item, or, if the production is effected by 
a commercial service, then that charge shall be deemed the actual cost 
for purposes of this part.
    (h) Limitations on collection of fees--(1) In general. No fees will 
be charged if the cost of collecting the fee is equal to or greater than 
the fee itself. That cost includes the administrative costs to NACIC of 
billing, receiving, recording, and processing the fee for deposit to the 
Treasury Department and, as of the date of these regulations, is deemed 
to be $10.00.
    (2) Requests for personal information. No fees will be charged for 
requesters seeking records about themselves under the FOIA; such 
requests are processed in accordance with both the FOIA and the Privacy 
Act in order to ensure the maximum disclosure without charge.
    (i) Fee categories. There are four categories of FOIA requesters for 
fee purposes: ``commercial use'' requesters, ``educational and non-
commercial scientific institution'' requesters, ``representatives of the 
news media'' requesters, and ``all other'' requesters. The categories 
are defined in Sec. 1800.2, and applicable fees, which are the same in 
two of the categories, will be assessed as follows:
    (1) ``Commercial use'' requesters: Charges which recover the full 
direct costs of searching for, reviewing, and duplicating responsive 
records (if any);
    (2) ``Educational and non-commercial scientific institution'' 
requesters as well as ``representatives of the news media'' requesters: 
Only charges for reproduction beyond the first 100 pages;
    (3) ``All other'' requesters: Charges which recover the full direct 
cost of searching for and reproducing responsive records (if any) beyond 
the first 100 pages of reproduction and the first two hours of search 
time which will be furnished without charge.
    (j) Associated requests. A requester or associated requesters may 
not file a series of multiple requests, which are merely discrete 
subdivisions of the information actually sought for the purpose of 
avoiding or reducing applicable fees. In such instances, NACIC may 
aggregate the requests and charge the applicable fees.



Sec. 1800.14  Fee estimates (pre-request option).

    In order to avoid unanticipated or potentially large fees, a 
requester may submit a request for a fee estimate. Pursuant to the 
Electronic Freedom of Information Act Amendments of 1996, NACIC will 
endeavor within twenty (20) days to provide an accurate estimate, and, 
if a request is thereafter submitted, NACIC will not accrue or charge 
fees in excess of our estimate without the specific permission of the 
requester.



                Subpart C--NACIC Action On FOIA Requests



Sec. 1800.21  Processing of requests for records.

    (a) In general. Requests meeting the requirements of Secs. 1800.11 
through

[[Page 394]]

1800.13 shall be accepted as formal requests and processed under the 
Freedom of Information Act, 5 U.S.C. 552, and these regulations. 
Pursuant to the Electronic Freedom of Information Act Amendments of 
1996, upon receipt, NACIC shall within twenty (20) days record each 
request, acknowledge receipt to the requester in writing, and thereafter 
effect the necessary taskings to the NACIC components reasonably 
believed to hold responsive records.
    (b) Database of ``officially released information.'' As an 
alternative to extensive tasking and as an accommodation to many 
requesters, NACIC maintains a database of ``officially released 
information'' which contains copies of documents released by NACIC. 
Searches of this database can be accomplished expeditiously. Moreover, 
requests that are specific and well-focused will often incur minimal, if 
any, costs. Requesters interested in this means of access should so 
indicate in their correspondence. Consistent with the mandate of the 
Electronic Freedom of Information Act Amendments of 1996, on-line 
electronic access to these records is available to the public. Detailed 
information regarding such access is available from the point of contact 
specified in Sec. 1800.3.
    (c) Effect of certain exemptions. In processing a request, NACIC 
shall decline to confirm or deny the existence or nonexistence of any 
responsive records whenever the fact of their existence or nonexistence 
is itself classified under Executive Order 12958 and may jeopardize 
intelligence sources or methods protected pursuant to section 103(c)(6) 
of the National Security Act of 1947. In such circumstances, NACIC, in 
the form of a final written response, shall so inform the requester and 
advise of his or her right to an administrative appeal.
    (d) Time for response. Pursuant to the Electronic Freedom of 
Information Act Amendments of 1996, NACIC will utilize every effort to 
determine within the statutory guideline of twenty (20) days after 
receipt of an initial request whether to comply with such a request. 
However, should the volume of requests require that NACIC seek 
additional time from a requester pursuant to Sec. 1800.33, NACIC will 
inform the requester in writing and further advise of his or her right 
to file an administrative appeal of any adverse determination.



Sec. 1800.22  Action and determination(s) by originator(s) or any interested party.

    (a) Initial action for access. (1) NACIC components tasked pursuant 
to a FOIA request shall search all relevant record systems within their 
cognizance. They shall:
    (i) Determine whether a record exists;
    (ii) Determine whether and to what extent any FOIA exemptions apply;
    (iii) Approve the disclosure of all non-exempt records or portions 
of records for which they are the originator; and
    (iv) Forward to the Coordinator all records approved for release or 
necessary for coordination with or referral to another originator or 
interested party.
    (2) In making these decisions, the NACIC component officers shall be 
guided by the applicable law as well as the procedures specified at 
Sec. 1800.31 and Sec. 1800.32 regarding confidential commercial 
information and personal information (about persons other than the 
requester).
    (b) Referrals and coordinations. As applicable and within twenty 
(20) days, pursuant to the Electronic Freedom of Information Act 
Amendments of 1996, of receipt by the Coordinator, any NACIC records 
containing information originated by other NACIC components shall be 
forwarded to those entities for action in accordance with paragraph (a) 
of this section and return. Records originated by other federal agencies 
or NACIC records containing other federal agency information shall be 
forwarded to such agencies within twenty (20) days of our completion of 
initial action in the case for action under their regulations and direct 
response to the requester (for other agency records) or return to NACIC 
(for NACIC records).



Sec. 1800.23  Payment of fees, notification of decision, and right of appeal.

    (a) Fees in general. Fees collected under this part do not accrue to 
the

[[Page 395]]

National Counterintelligence Center and shall be deposited immediately 
to the general account of the United States Treasury.
    (b) Notification of decision. Upon completion of all required review 
and the receipt of accrued fees (or promise to pay such fees), NACIC 
will promptly inform the requester in writing of those records or 
portions of records which may be released and which must be denied. With 
respect to the former, NACIC will provide copies; with respect to the 
latter, NACIC shall explain the reasons for the denial, identify the 
person(s) responsible for such decisions by name and title, and give 
notice of a right of administrative appeal.
    (c) Availability of reading room. As an alternative to receiving 
records by mail, a requester may arrange to inspect the records deemed 
releasable at a NACIC ``reading room'' in the metropolitan Washington, 
DC area. Access will be granted after applicable and accrued fees have 
been paid. Requests to review or browse documents in our database of 
``officially released records'' will also be honored in this manner to 
the extent that paper copies or electronic copies in unclassified 
computer systems exist. All such requests shall be in writing and 
addressed pursuant to Sec. 1800.3. The records will be available at such 
times as mutually agreed but not less than three (3) days from our 
receipt of a request. The requester will be responsible for reproduction 
charges for any copies of records desired.



              Subpart D--Additional Administrative Matters



Sec. 1800.31  Procedures for business information.

    (a) In general. Business information obtained by NACIC by a 
submitter shall not be disclosed pursuant to a Freedom of Information 
Act request except in accordance with this section. For purposes of this 
section, the following definitions apply:
    Business information means commercial or financial information in 
which a legal entity has a recognized property interest;
    Confidential commercial information means such business information 
provided to the United States Government by a submitter which is 
reasonably believed to contain information exempt from release under 
exemption (b)(4) of the Freedom of Information Act, 5 U.S.C. 552, 
because disclosure could reasonably be expected to cause substantial 
competitive harm;
    Submitter means any person or entity who provides confidential 
commercial information to the United States Government; it includes, but 
is not limited to, corporations, businesses (however organized), state 
governments, and foreign governments; and
    (b) Designation of confidential commercial information. A submitter 
of business information will use good-faith efforts to designate, by 
appropriate markings, either at the time of submission or at a 
reasonable time thereafter, any portions of its submission that it 
considers to be confidential commercial information and hence protected 
from required disclosure pursuant to exemption (b)(4). Such designations 
shall expire ten (10) years after the date of the submission unless the 
submitter requests, and provides justification for, a longer designation 
period.
    (c) Process in event of FOIA request.--(1) Notice to submitters. 
NACIC shall provide a submitter with prompt written notice of receipt of 
a Freedom of Information Act request encompassing business information 
whenever:
    (i) The submitter has in good faith designated the information as 
confidential commercial information, or
    (ii) NACIC believes that disclosure of the information could 
reasonably be expected to cause substantial competitive harm, and
    (iii) The information was submitted within the last ten (10) years 
unless the submitter requested and provided acceptable justification for 
a specific notice period of greater duration.
    (2) Form of notice. This notice shall either describe the exact 
nature of the confidential commercial information at issue or provide 
copies of the responsive records containing such information.
    (3) Response by submitter. (i) Within seven (7) days of the above 
notice, all claims of confidentiality by a submitter must be supported 
by a detailed

[[Page 396]]

statement of any objection to disclosure. Such statement shall:
    (A) Specify that the information has not been disclosed to the 
public;
    (B) Explain why the information is contended to be a trade secret or 
confidential commercial information;
    (C) Explain how the information is capable of competitive damage if 
disclosed;
    (D) State that the submitter will provide NACIC and the Department 
of Justice with such litigation defense as requested; and
    (E) Be certified by an officer authorized to legally bind the 
corporation or similar entity.
    (ii) It should be noted that information provided by a submitter 
pursuant to this provision may itself be subject to disclosure under the 
FOIA.
    (4) Decision and notice of intent to disclose. (i) NACIC shall 
consider carefully a submitter's objections and specific grounds for 
nondisclosure prior to its final determination. If NACIC decides to 
disclose a document over the objection of a submitter, NACIC shall 
provide the submitter a written notice which shall include:
    (A) A statement of the reasons for which the submitter's disclosure 
objections were not sustained;
    (B) A description of the information to be disclosed; and
    (C) A specified disclosure date which is seven (7) days after the 
date of the instant notice.
    (ii) When notice is given to a submitter under this section, NACIC 
shall also notify the requester and, if NACIC notifies a submitter that 
it intends to disclose information, then the requester shall be notified 
also and given the proposed date for disclosure.
    (5) Notice of FOIA lawsuit. If a requester initiates a civil action 
seeking to compel disclosure of information asserted to be within the 
scope of this section, NACIC shall promptly notify the submitter. The 
submitter, as specified above, shall provide such litigation assistance 
as required by NACIC and the Department of Justice.
    (6) Exceptions to notice requirement. The notice requirements of 
this section shall not apply if NACIC determines that:
    (i) The information should not be disclosed in light of other FOIA 
exemptions;
    (ii) The information has been published lawfully or has been 
officially made available to the public;
    (iii) The disclosure of the information is otherwise required by law 
or federal regulation; or
    (iv) The designation made by the submitter under this section 
appears frivolous, except that, in such a case, NACIC will, within a 
reasonable time prior to the specified disclosure date, give the 
submitter written notice of any final decision to disclose the 
information.

[64 FR 49879, Sept. 14, 1999; 64 FR 53769, Oct. 4, 1999]



Sec. 1800.32  Procedures for information concerning other persons.

    (a) In general. Personal information concerning individuals other 
than the requester shall not be disclosed under the Freedom of 
Information Act if the proposed release would constitute a clearly 
unwarranted invasion of personal privacy. See 5 U.S.C. 552(b)(6). For 
purposes of this section, the following definitions apply:
    Personal information means any information about an individual that 
is not a matter of public record, or easily discernible to the public, 
or protected from disclosure because of the implications that arise from 
Government possession of such information.
    Public interest means the public interest in understanding the 
operations and activities of the United States Government and not simply 
any matter which might be of general interest to the requester or 
members of the public.
    (b) Determination to be made. In making the required determination 
under this section and pursuant to exemption (b)(6) of the FOIA, NACIC 
will balance the privacy interests that would be compromised by 
disclosure against the public interest in release of the requested 
information.
    (c) Otherwise. A requester seeking information on a third person is 
encouraged to provide a signed affidavit or declaration from the third 
person waiving all or some of their privacy rights. However, all such 
waivers shall

[[Page 397]]

be narrowly construed and the Coordinator, in the exercise of his 
discretion and administrative authority, may seek clarification from the 
third party prior to any or all releases.



Sec. 1800.33  Allocation of resources; agreed extensions of time.

    (a) In general. NACIC components shall devote such personnel and 
other resources to the responsibilities imposed by the Freedom of 
Information Act as may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director of 
NACIC or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of FOIA responsibilities. Components shall exercise 
due diligence in their responsibilities under the FOIA and must allocate 
a reasonable level of resources to requests under the Act in a strictly 
``first-in, first-out'' basis and utilizing two or more processing 
queues to ensure that smaller as well as larger (i.e., project) cases 
receive equitable attention. The Information and Privacy Coordinator is 
responsible for management of the NACIC-wide program defined by this 
part and for establishing priorities for cases consistent with 
established law. The Director, NACIC shall provide policy and resource 
direction as necessary and render decisions on administrative appeals.
    (c) Requests for extension of time. When NACIC is unable to meet the 
statutory time requirements of the FOIA, it will inform the requester 
that the request cannot be processed within the statutory time limits, 
provide an opportunity for the requester to limit the scope of the 
request so that it can be processed within the statutory time limits, or 
arrange with the requester an agreed upon time frame for processing the 
request, or determine that exceptional circumstances mandate additional 
time in accordance with the definition of ``exceptional circumstances'' 
per section 552(a)(6)(C) of the Freedom of Information Act, as amended, 
effective October 2, 1997. In such instances NACIC will, however, inform 
a requester of his or her right to decline our request and proceed with 
an administrative appeal or judicial review as appropriate.



Sec. 1800.34  Requests for expedited processing.

    (a) In general. All requests will be handled in the order received 
on a strictly ``first-in, first-out'' basis. Exceptions to this section 
will only be made in accordance with the following procedures. In all 
circumstances, however, and consistent with established judicial 
precedent, requests more properly the scope of requests under the 
Federal Rules of Civil or Criminal Procedure (or other federal, state, 
or foreign judicial or quasi-judicial rules) will not be granted 
expedited processing under this or related (e.g., Privacy Act) 
provisions unless expressly ordered by a federal court of competent 
jurisdiction.
    (b) Procedure. Requests for expedited processing will be approved 
only when a compelling need is established to the satisfaction of NACIC. 
A requester may make such a request with a certification of ``compelling 
need'' and, within ten (10) days of receipt, NACIC will decide whether 
to grant expedited processing and will notify the requester of its 
decision. The certification shall set forth with specificity the 
relevant facts upon which the requester relies and it appears to NACIC 
that substantive records relevant to the stated needs may exist and be 
deemed releasable. A ``compelling need'' is deemed to exist:
    (1) When the matter involves an imminent threat to the life or 
physical safety of an individual; or
    (2) When the request is made by a person primarily engaged in 
disseminating information and the information is relevant to a subject 
of public urgency concerning an actual or alleged Federal government 
activity.

[[Page 398]]



         Subpart E--NACIC Action On FOIA Administrative Appeals



Sec. 1800.41  Appeal authority.

    The Director, NACIC will make final NACIC decisions from appeals of 
initial adverse decisions under the Freedom of Information Act and such 
other information release decisions made under parts 1801, 1802, and 
1803 of this chapter. Matters decided by the Director, NACIC will be 
deemed a final decision by NACIC.



Sec. 1800.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for a fee waiver is denied. NACIC will apprise all requesters in writing 
of their right to appeal such decisions to the Director, NACIC through 
the Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
NACIC's initial decision. NACIC may, for good cause and as a matter of 
administrative discretion, permit an additional thirty (30) days for the 
submission of an appeal. All appeals shall be in writing and addressed 
as specified in Sec. 1800.3. All appeals must identify the documents or 
portions of documents at issue with specificity and may present such 
information, data, and argument in support as the requester may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or another federal 
agency. In addition, no appeal shall be accepted if the information in 
question has been the subject of a review within the previous two (2) 
years or is the subject of pending litigation in the federal courts.
    (d) Receipt, recording, and tasking. NACIC shall promptly record 
each request received under this part, acknowledge receipt to the 
requester in writing, and thereafter effect the necessary taskings to 
the office(s) which originated or has an interest in the record(s) 
subject to the appeal.
    (e) Time for response. NACIC shall attempt to complete action on an 
appeal within twenty (20) days of the date of receipt. The volume of 
requests, however, may require that NACIC request additional time from 
the requester pursuant to Sec. 1800.33. In such event, NACIC will inform 
the requester of the right to judicial review.



Sec. 1800.43  Determination(s) by Office Chief(s).

    Each Office Chief in charge of an office which originated or has an 
interest in any of the records subject to the appeal, or designee, is a 
required party to any appeal; other interested parties may become 
involved through the request of the Coordinator when it is determined 
that some or all of the information is also within their official 
cognizance. These parties shall respond in writing to the Coordinator 
with a finding as to the exempt status of the information. This response 
shall be provided expeditiously on a ``first-in, first-out'' basis 
taking into account the business requirements of the parties and 
consistent with the information rights of members of the general public 
under the various information review and release laws.



Sec. 1800.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator shall provide a summation 
memorandum for consideration of the Director, NACIC; the complete record 
of the request consisting of the request, the document(s) (sanitized and 
full text) at issue, and the findings of concerned Office Chiefs or 
designee(s).
    (b) Decision by the Director, NACIC. The Director, NACIC shall 
personally decide each case; no personal appearances shall be permitted 
without the express permission of the Director, NACIC.



Sec. 1800.45  Notification of decision and right of judicial review.

    The Coordinator shall promptly prepare and communicate the decision 
of the Director, NACIC to the requester. With respect to any decision to 
deny information, that correspondence shall state the reasons for the 
decision, identify the officer responsible, and include a notice of a 
right to judicial review.

[[Page 399]]



PART 1801--PUBLIC RIGHTS UNDER THE PRIVACY ACT OF 1974--Table of Contents




                           Subpart A--General

Sec.
1801.1  Authority and purpose.
1801.2  Definitions.
1801.3  Contact for general information and requests.
1801.4  Suggestions and complaints.

                Subpart B--Filing Of Privacy Act Requests

1801.11  Preliminary information.
1801.12  Requirements as to form.
1801.13  Requirements as to identification of requester.
1801.14  Fees.

                Subpart C--Action On Privacy Act Requests

1801.21  Processing requests for access to or amendment of records.
1801.22  Action and determination(s) by originator(s) or any interested 
          party.
1801.23  Notification of decision and right of appeal.

              Subpart D--Additional Administrative Matters

1801.31  Special procedures for medical and psychological records.
1801.32  Requests for expedited processing.
1801.33  Allocation of resources; agreed extensions of time.

         Subpart E--Action On Privacy Act Administrative Appeals

1801.41  Appeal authority.
1801.42  Right of appeal and appeal procedures.
1801.43  Determination(s) by Office Chief(s).
1801.44  Action by appeals authority.
1801.45  Notification of decision and right of judicial review.

                         Subpart F--Prohibitions

1801.51  Limitations on disclosure.
1801.52  Criminal penalties.

                          Subpart G--Exemptions

1801.63  Specific exemptions.

    Authority: 5 U.S.C. 552a.

    Source: 64 FR 49884, Sept. 14, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 1801.1  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement the Privacy Act of 1974 (5 U.S.C. 552a) and section 
102 of the National Security Act of 1947, as amended (50 U.S.C. 403).
    (b) Purpose in general. This part prescribes procedures for a 
requester, as defined herein:
    (1) To request notification of whether the National 
Counterintellingence Center (NACIC) maintains a record concerning them 
in any non-exempt portion of a system of records or any non-exempt 
system of records;
    (2) To request a copy of all non-exempt records or portions of 
records;
    (3) To request that any such record be amended or augmented; and
    (4) To file an administrative appeal to any initial adverse 
determination to deny access to or amend a record.
    (c) Other purposes. This part also sets forth detailed limitations 
on how and to whom NACIC may disclose personal information and gives 
notice that certain actions by officers or employees of the United 
States Government or members of the public could constitute criminal 
offenses.



Sec. 1801.2  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    NACIC means the United States National Counterintelligence Center 
acting through the NACIC Information and Privacy Coordinator;
    Days means calendar days when NACIC is operating and specifically 
excludes Saturdays, Sundays, and legal public holidays. Three (3) days 
may be added to any time limit imposed on a requester by this part if 
responding by U.S. domestic mail; ten (10) days may be added if 
responding by international mail;
    Control means ownership or the authority of NACIC pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    Coordinator means the NACIC Information and Privacy Coordinator who

[[Page 400]]

serves as the NACIC manager of the information review and release 
program instituted under the Privacy Act;
    Federal agency means any executive department, military department, 
or other establishment or entity included in the definition of agency in 
5 U.S.C. 552(f);
    Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
NACIC, has a subject matter or physical interest in the documents or 
information at issue;
    Maintain means maintain, collect, use, or disseminate;
    Originator means the U.S. Government official who originated the 
document at issue or successor in office or such official who has been 
delegated release or declassification authority pursuant to law;
    Privacy Act or PA means the statute as codified at 5 U.S.C. 552a;
    Record means an item, collection, or grouping of information about 
an individual that is maintained by NACIC in a system of records;
    Requester or individual means a citizen of the United States or an 
alien lawfully admitted for permanent residence who is a living being 
and to whom a record might pertain;
    Responsive record means those documents (records) which NACIC has 
determined to be within the scope of a Privacy Act request;
    Routine use means, with respect to the disclosure of a record, the 
use of such record for a purpose which is compatible with the purpose 
for which the record is maintained;
    System of records means a group of any records under the control of 
NACIC from which records are retrieved by the name of an individual or 
by some identifying number, symbol, or other identifying particular 
assigned to that individual.



Sec. 1801.3  Contact for general information and requests.

    For general information on this part, to inquire about the Privacy 
Act program at NACIC, or to file a Privacy Act request, please direct 
your communication in writing to the Information and Privacy 
Coordinator, Executive Secretariat Office, National Counterintelligence 
Center, 3W01 NHB, Washington, DC 20505. Requests with the required 
identification statement pursuant to Sec. 1801.13 must be filed in 
original form by mail. Subsequent communications and any inquiries will 
be accepted by mail or facsimile at (703) 874-5844 or by telephone at 
(703) 874-4121. Collect calls cannot be accepted.



Sec. 1801.4  Suggestions and complaints.

    NACIC welcomes suggestions or complaints with regard to its 
administration of the Privacy Act. Letters of suggestion or complaint 
should identify the specific purpose and the issues for consideration. 
NACIC will respond to all substantive communications and take such 
actions as determined feasible and appropriate.



                Subpart B--Filing Of Privacy Act Requests



Sec. 1801.11  Preliminary information.

    Members of the public shall address all communications to the 
contact specified at Sec. 1801.3 and clearly delineate the communication 
as a request under the Privacy Act and this regulation. Requests and 
administrative appeals on requests, referrals, and coordinations 
received from members of the public who owe outstanding fees for 
information services at this or other federal agencies will not be 
accepted and action on existing requests and appeals will be terminated 
in such circumstances.



Sec. 1801.12  Requirements as to form.

    (a) In general. No particular form is required. All requests must 
contain the identification information required at Sec. 1801.13.
    (b) For access. For requests seeking access, a requester should, to 
the extent possible, describe the nature of the record sought and the 
record system(s) in which it is thought to be included. Requesters may 
find assistance from information described in the Privacy Act Issuances 
Compilation which is published biennially by the Federal Register. In 
lieu of this, a requester may simply describe why and under what 
circumstances it is believed that

[[Page 401]]

NACIC maintains responsive records; NACIC will undertake the appropriate 
searches.
    (c) For amendment. For requests seeking amendment, a requester 
should identify the particular record or portion subject to the request, 
state a justification for such amendment, and provide the desired 
amending language.



Sec. 1801.13  Requirements as to identification of requester.

    (a) In general. Individuals seeking access to or amendment of 
records concerning themselves shall provide their full (legal) name, 
address, date and place of birth, and current citizenship status 
together with a statement that such information is true under penalty of 
perjury or a notarized statement swearing to or affirming identity. If 
NACIC determines that this information is not sufficient, NACIC may 
request additional or clarifying information.
    (b) Requirement for aliens. Only aliens lawfully admitted for 
permanent residence (PRAs) may file a request pursuant to the Privacy 
Act and this part. Such individuals shall provide, in addition to the 
information required under paragraph (a) of this section, their Alien 
Registration Number and the date that status was acquired.
    (c) Requirement for representatives. The parent or guardian of a 
minor individual, the guardian of an individual under judicial 
disability, or an attorney retained to represent an individual shall 
provide, in addition to establishing the identity of the minor or 
individual represented as required in paragraph (a) or (b) of this 
section, evidence of such representation by submission of a certified 
copy of the minor's birth certificate, court order, or representational 
agreement which establishes the relationship and the requester's 
identity.
    (d) Procedure otherwise. If a requester or representative fails to 
provide the information in paragraph (a), (b), or (c) of this section 
within forty-five (45) days of the date of our request, NACIC will deem 
the request closed. This action, of course, would not prevent an 
individual from refiling his or her Privacy Act request at a subsequent 
date with the required information.



Sec. 1801.14  Fees.

    No fees will be charged for any action under the authority of the 
Privacy Act, 5 U.S.C. 552a, irrespective of the fact that a request is 
or may be processed under the authority of both the Privacy Act and the 
Freedom of Information Act.



                Subpart C--Action On Privacy Act Requests



Sec. 1801.21  Processing requests for access to or amendment of records.

    (a) In general. Requests meeting the requirements of Sec. 1801.11 
through Sec. 1801.13 shall be processed under both the Freedom of 
Information Act, 5 U.S.C. 552, and the Privacy Act, 5 U.S.C. 552a, and 
the applicable regulations, unless the requester demands otherwise in 
writing. Such requests will be processed under both Acts regardless of 
whether the requester cites one Act in the request, both, or neither. 
This action is taken in order to ensure the maximum possible disclosure 
to the requester.
    (b) Receipt, recording and tasking. Upon receipt of a request 
meeting the requirements of Secs. 1801.11 through 1801.13, NACIC shall 
within ten (10) days record each request, acknowledge receipt to the 
requester, and thereafter effect the necessary taskings to the office(s) 
reasonably believed to hold responsive records.
    (c) Effect of certain exemptions. In processing a request, NACIC 
shall decline to confirm or deny the existence or nonexistence of any 
responsive records whenever the fact of their existence or nonexistence 
is itself classified under Executive Order 12958 and that confirmation 
of the existence of a record may jeopardize intelligence sources and 
methods protected pursuant to section 103(c)(6) of the National Security 
Act of 1947. In such circumstances, NACIC, in the form of a final 
written response, shall so inform the requester and advise of his or her 
right to an administrative appeal.
    (d) Time for response. Although the Privacy Act does not mandate a 
time for response, our joint treatment of requests under both the 
Privacy Act and the FOIA means that the NACIC should

[[Page 402]]

provide a response within the FOIA statutory guideline of ten (10) days 
on initial requests and twenty (20) days on administrative appeals. 
However, the volume of requests may require that NACIC seek additional 
time from a requester pursuant to Sec. 1801.33. In such event, NACIC 
will inform the requester in writing and further advise of his or her 
right to file an administrative appeal.



Sec. 1801.22  Action and determination(s) by originator(s) or any interested party.

    (a) Initial action for access. NACIC offices tasked pursuant to a 
Privacy Act access request shall search all relevant record systems 
within their cognizance. They shall:
    (1) Determine whether responsive records exist;
    (2) Determine whether access must be denied in whole or part and on 
what legal basis under both Acts in each such case;
    (3) Approve the disclosure of records for which they are the 
originator; and
    (4) Forward to the Coordinator all records approved for release or 
necessary for coordination with or referral to another originator or 
interested party as well as the specific determinations with respect to 
denials (if any).
    (b) Initial action for amendment. NACIC offices tasked pursuant to a 
Privacy Act amendment request shall review the official records alleged 
to be inaccurate and the proposed amendment submitted by the requester. 
If they determine that NACIC's records are not accurate, relevant, 
timely or complete, they shall promptly:
    (1) Make the amendment as requested;
    (2) Write to all other identified persons or agencies to whom the 
record has been disclosed (if an accounting of the disclosure was made) 
and inform of the amendment; and
    (3) Inform the Coordinator of such decisions.
    (c) Action otherwise on amendment request. If the NACIC office 
records manager declines to make the requested amendment (or declines to 
make the requested amendment) but agrees to augment the official 
records, that manager shall promptly:
    (1) Set forth the reasons for refusal; and
    (2) Inform the Coordinator of such decision and the reasons 
therefore.
    (d) Referrals and coordinations. As applicable and within ten (10) 
days of receipt by the Coordinator, any NACIC records containing 
information originated by other NACIC offices shall be forwarded to 
those entities for action in accordance with paragraphs (a), (b), or (c) 
of this section and return. Records originated by other federal agencies 
or NACIC records containing other federal information shall be forwarded 
to such agencies within ten (10) days of our completion of initial 
action in the case for action under their regulations and direct 
response to the requester (for other NACIC records) or return to NACIC 
(for NACIC records).
    (e) Effect of certain exemptions. This section shall not be 
construed to allow access to systems of records exempted by the 
Director, NACIC pursuant to subsections (j) and (k) of the Privacy Act 
or where those exemptions require that NACIC can neither confirm nor 
deny the existence or nonexistence of responsive records.



Sec. 1801.23  Notification of decision and right of appeal.

    Within ten (10) days of receipt of responses to all initial taskings 
and subsequent coordinations (if any), and dispatch of referrals (if 
any), NACIC will provide disclosable records to the requester. If a 
determination has been made not to provide access to requested records 
(in light of specific exemptions) or that no records are found, NACIC 
shall so inform the requester, identify the denying official, and advise 
of the right to administrative appeal.



              Subpart D--Additional Administrative Matters



Sec. 1801.31  Special procedures for medical and psychological records.

    (a) In general. When a request for access or amendment involves 
medical or psychological records and when the originator determines that 
such records are not exempt from disclosure, NACIC will, after 
consultation with the

[[Page 403]]

Director of Medical Services, CIA, determine:
    (1) Which records may be sent directly to the requester and
    (2) Which records should not be sent directly to the requester 
because of possible medical or psychological harm to the requester or 
another person.
    (b) Procedure for records to be sent to physician. In the event that 
NACIC determines, in accordance with paragraph (a)(2) of this section, 
that records should not be sent directly to the requester, NACIC will 
notify the requester in writing and advise that the records at issue can 
be made available only to a physician of the requester's designation. 
Upon receipt of such designation, verification of the identity of the 
physician, and agreement by the physician:
    (1) To review the documents with the requesting individual,
    (2) To explain the meaning of the documents, and
    (3) To offer counseling designed to temper any adverse reaction, 
NACIC will forward such records to the designated physician.
    (c) Procedure if physician option not available. If within sixty 
(60) days of paragraph (a)(2) of this section, the requester has failed 
to respond or designate a physician, or the physician fails to agree to 
the release conditions, NACIC will hold the documents in abeyance and 
advise the requester that this action may be construed as a technical 
denial. NACIC will also advise the requester of the responsible official 
and of his or her rights to administrative appeal and thereafter 
judicial review.



Sec. 1801.32  Requests for expedited processing.

    (a) All requests will be handled in the order received on a strictly 
``first-in, first-out'' basis. Exceptions to this rule will only be made 
in circumstances that NACIC deems to be exceptional. In making this 
determination, NACIC shall consider and must decide in the affirmative 
on all of the following factors:
    (1) That there is a genuine need for the records; and
    (2) That the personal need is exceptional; and
    (3) That there are no alternative forums for the records sought; and
    (4) That it is reasonably believed that substantive records relevant 
to the stated needs may exist and be deemed releasable.
    (b) In sum, requests shall be considered for expedited processing 
only when health, humanitarian, or due process considerations involving 
possible deprivation of life or liberty create circumstances of 
exceptional urgency and extraordinary need. In accordance with 
established judicial precedent, requests more properly the scope of 
requests under the Federal Rules of Civil or Criminal Procedure (or 
equivalent state rules) will not be granted expedited processing under 
this or related (e.g., Freedom of Information Act) provisions unless 
expressly ordered by a federal court of competent jurisdiction.



Sec. 1801.33  Allocation of resources; agreed extensions of time.

    (a) In general. NACIC components shall devote such personnel and 
other resources to the responsibilities imposed by the Privacy Act as 
may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director, 
NACIC or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of Privacy Act responsibilities. Offices shall 
exercise due diligence in their responsibilities under the Privacy Act 
and must allocate a reasonable level of resources to requests under the 
Act in a strictly ``first-in, first-out'' basis and utilizing two or 
more processing queues to ensure that smaller as well as larger (i.e., 
project) cases receive equitable attention. The Information and Privacy 
Coordinator is responsible for management of the NACIC-wide program 
defined by this part and for establishing priorities for cases 
consistent with established law. The Director, NACIC

[[Page 404]]

shall provide policy and resource direction as necessary and shall 
render decisions on administrative appeals.
    (c) Requests for extension of time. While the Privacy Act does not 
specify time requirements, our joint treatment of requests under the 
FOIA means that when NACIC is unable to meet the statutory time 
requirements of the FOIA, NACIC may request additional time from a 
requester. In such instances NACIC will inform a requester of his or her 
right to decline our request and proceed with an administrative appeal 
or judicial review as appropriate.



         Subpart E--Action On Privacy Act Administrative Appeals



Sec. 1801.41  Appeal authority.

    The Director, NACIC will make final NACIC decisions from appeals of 
initial adverse decisions under the Privacy Act and such other 
information release decisions made under 32 CFR parts 1800, 1802, and 
1803 of this chapter. Matters decided by the Director, NACIC will be 
deemed a final decision by NACIC.



Sec. 1801.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for amendment is denied. NACIC will apprise all requesters in writing of 
their right to appeal such decisions to the Director, NACIC through the 
Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
NACIC's initial decision. NACIC may, for good cause and as a matter of 
administrative discretion, permit an additional thirty (30) days for the 
submission of an appeal. All appeals to the Director, NACIC shall be in 
writing and addressed as specified in Sec. 1801.3. All appeals must 
identify the documents or portions of documents at issue with 
specificity, provide the desired amending language (if applicable), and 
may present such information, data, and argument in support as the 
requester may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or another federal 
agency. In addition, no appeal shall be accepted if the information in 
question has been the subject of an administrative review within the 
previous two (2) years or is the subject of pending litigation in the 
federal courts.
    (d) Receipt, recording, and tasking. NACIC shall promptly record 
each administrative appeal, acknowledge receipt to the requester in 
writing, and thereafter effect the necessary taskings to the office 
chief in charge of the office(s) which originated or has an interest in 
the record(s) subject to the appeal.



Sec. 1801.43  Determination(s) by Office Chiefs.

    Each Office Chief in charge of an office which originated or has an 
interest in any of the records subject to the appeal, or designee, is a 
required party to any appeal; other interested parties may become 
involved through the request of the Coordinator when it is determined 
that some or all of the information is also within their official 
cognizance. These parties shall respond in writing to the Coordinator 
with a finding as to the exempt or non-exempt status of the information 
including citations to the applicable exemption and/or their agreement 
or disagreement as to the requested amendment and the reasons therefore. 
Each response shall be provided expeditiously on a ``first-in, first-
out'' basis taking into account the business requirements of the parties 
and consistent with the information rights of members of the general 
public under the various information review and release laws.



Sec. 1801.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator shall provide a summation 
memorandum for consideration of the Director, NACIC; the complete record 
of the request consisting of the request, the document(s) (sanitized and 
full text) at issue, and the findings of any concerned office chiefs or 
designee(s).

[[Page 405]]

    (b) Decision by the Director, NACIC. The Director, NACIC shall 
personally decide each case; no personal appearances shall be permitted 
without the express permission of the Director, NACIC.



Sec. 1801.45  Notification of decision and right of judicial review.

    (a) In general. The Coordinator shall promptly prepare and 
communicate the decision of the Director, NACIC to the requester. With 
respect to any decision to deny information or deny amendment, that 
correspondence shall state the reasons for the decision, identify the 
officer responsible, and include a notice of the right to judicial 
review.
    (b) For amendment requests. With further respect to any decision to 
deny an amendment, that correspondence shall also inform the requester 
of the right to submit within forty-five (45) days a statement of his or 
her choice which shall be included in the official records of NACIC. In 
such cases, the applicable record system manager shall clearly note any 
portion of the official record which is disputed, append the requester's 
statement, and provide copies of the statement to previous recipients 
(if any are known) and to any future recipients when and if the disputed 
information is disseminated in accordance with a routine use.



                         Subpart F--Prohibitions



Sec. 1801.51  Limitations on disclosure.

    No record which is within a system of records shall be disclosed by 
any means of communication to any individual or to another agency, 
except pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains, unless 
disclosure of the record would be:
    (a) To those officers and employees of NACIC which maintains the 
record who have a need for the record in the performance of their 
duties;
    (b) Required under the Freedom of Information Act, 5 U.S.C. 552;
    (c) For a routine use as defined in Sec. 1801.02(m), as contained in 
the Privacy Act Issuances Compilation which is published biennially in 
the Federal Register, and as described in sections (a)(7) and (e)(4)(D) 
of the Act;
    (d) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to the provisions of 
U.S.C. Title 13;
    (e) To a recipient who has provided NACIC 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;
    (f) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Archivist of the United States or designee to determine whether the 
record has such value;
    (g) 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 that agency or instrumentality has made a 
written request to NACIC specifying the particular information desired 
and the law enforcement activity for which the record is sought;
    (h) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (i) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (j) To the Comptroller General or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office; or
    (k) To any agency, government instrumentality, or other person or 
entity pursuant to the order of a court of competent jurisdiction of the 
United States or constituent states.



Sec. 1801.52  Criminal penalties.

    (a) Unauthorized disclosure. Criminal penalties may be imposed 
against any officer or employee of NACIC who, by

[[Page 406]]

virtue of employment, has possession of or access to NACIC records which 
contain information identifiable with an individual, the disclosure of 
which is prohibited by the Privacy Act or by these rules, and who, 
knowing that disclosure of the specific material is so prohibited, 
willfully discloses the material in any manner to any person or agency 
not entitled to receive same.
    (b) Unauthorized maintenance. Criminal penalties may be imposed 
against any officer or employee of NACIC who willfully maintains a 
system of records without meeting the requirements of section (e)(4) of 
the Privacy Act, 5 U.S.C. 552a. The Coordinator and the Director of 
NACIC are authorized independently to conduct such surveys and inspect 
such records as necessary from time to time to ensure that these 
requirements are met.
    (c) Unauthorized requests. Criminal penalties may be imposed upon 
any person who knowingly and willfully requests or obtains any record 
concerning an individual from NACIC under false pretenses.



                          Subpart G--Exemptions



Sec. 1801.63  Specific exemptions.

    Pursuant to authority granted in section (k) of the Privacy Act, the 
Director, NACIC has determined to exempt from section (d) of the Privacy 
Act those portions and only those portions of all systems of records 
maintained by NACIC that would consist of, pertain to, or otherwise 
reveal information that is:
    (a) Classified pursuant to Executive Order 12958 (or successor or 
prior Order) and thus subject to the provisions of 5 U.S.C. 552(b)(1) 
and 5 U.S.C. 552a(k)(1);
    (b) Investigatory in nature and compiled for law enforcement 
purposes, other than material within the scope of section (j)(2) of the 
Act; provided however, that if an individual is denied any right, 
privilege, or benefit to which they are otherwise eligible, as a result 
of the maintenance of such material, then such material shall be 
provided to that individual except to the extent that the disclosure 
would reveal the identity of a source who furnished the information to 
the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;
    (c) Maintained in connection with providing protective services to 
the President of the United States or other individuals pursuant to 18 
U.S.C. 3056;
    (d) Required by statute to be maintained and used solely as 
statistical records;
    (e) Investigatory in nature and compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information, but only to the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;
    (f) Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the federal 
service the disclosure of which would compromise the objectivity or 
fairness of the testing or examination process; or
    (g) Evaluation material used to determine potential for promotion in 
the armed services, but only to the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality.



PART 1802--CHALLENGES TO CLASSIFICATION OF DOCUMENTS BY AUTHORIZED HOLDERS PURSUANT TO SECTION 1.9 OF EXECUTIVE ORDER 12958--Table of Contents




                           Subpart A--General

Sec.
1802.1  Authority and purpose.
1802.2  Definitions.
1802.3  Contact for general information and requests.
1802.4  Suggestions and complaints.

[[Page 407]]

                     Subpart B--Filing of Challenges

1802.11  Prerequisites.
1802.12  Requirements as to form.
1802.13  Identification of material at issue.
1802.14  Transmission.

                     Subpart C--Action on Challenges

1802.21  Receipt, recording, and tasking.
1802.22  Challenges barred by res judicata.
1802.23  Determination by originator(s) and/or any interested party.
1802.24  Designation of authority to hear challenges.
1802.25  Action on challenge.
1802.26  Notification of decision and prohibition on adverse action.

                       Subpart D--Right of Appeal

1802.31  Right of Appeal.

    Authority: Executive Order 12958, 60 FR 19825, 3 CFR 1996 Comp., p. 
333-356 (or successor Orders).

    Source: 64 FR 49889, Sept. 14, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 1802.1  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 1.9 of Executive Order (E.O.) 12958 and section 
102 of the National Security Act of 1947.
    (b) Purpose. This part prescribes procedures for authorized holders 
of information classified under the various provisions of E.O. 12958, or 
predecessor Orders, to seek a review or otherwise challenge the 
classified status of information to further the interests of the United 
States Government. This part and Sec. 1.9 of E.O. 12958 confer no rights 
upon members of the general public, or authorized holders acting in 
their personal capacity, both of whom shall continue to request reviews 
of classification under the mandatory declassification review provisions 
set forth at Sec. 3.6 of E.O. 12958.



Sec. 1802.2  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    NACIC means the United States National Counterintelligence Center 
acting through the NACIC Information and Privacy Coordinator;
    Authorized holders means any member of any United States executive 
department, military department, the Congress, or the judiciary (Article 
III) who holds a security clearance from or has been specifically 
authorized by NACIC to possess and use on official business classified 
information, or otherwise has Constitutional authority pursuant to their 
office;
    Days means calendar days when NACIC is operating and specifically 
excludes Saturdays, Sundays, and legal public holidays. Three (3) days 
may be added to any requirement of this part if responding by U.S. 
domestic mail; ten (10) days may be added if responding by international 
mail;
    Challenge means a request in the individual's official, not 
personal, capacity and in furtherance of the interests of the United 
States;
    Control means ownership or the authority of NACIC pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    Coordinator means the NACIC Information and Privacy Coordinator 
acting in the capacity of the Director of NACIC;
    Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form, that is:
    (1) Owned by, produced by or for, or under the control of the United 
States Government, and
    (2) Lawfully and actually in the possession of an authorized holder 
and for which ownership and control has not been relinquished by NACIC;
    Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
NACIC, has a subject matter or physical interest in the documents or 
information at issue;
    Originator means the NACIC officer who originated the information at 
issue, or successor in office, or a NACIC officer who has been delegated 
declassification authority for the information at issue in accordance 
with the provisions of this Order;
    This Order means Executive Order 12958 of April 17, 1995, or 
successor Orders.

[[Page 408]]



Sec. 1802.3  Contact for general information and requests.

    For information on this part or to file a challenge under this part, 
please direct your inquiry to the Director, National Counterintelligence 
Center, Washington, DC 20505. The commercial (non-secure) telephone is 
(703) 874-4117; the classified (secure) telephone for voice and 
facsimile is (703) 874-5829.



Sec. 1802.4    Suggestions and complaints.

    NACIC welcomes suggestions or complaints with regard to its 
administration of the Executive Order. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. NACIC will respond to all substantive communications and 
take such actions as determined feasible and appropriate.



                     Subpart B--Filing Of Challenges



Sec. 1802.11  Prerequisites.

    Prior to reliance on this part, authorized holders are required to 
first exhaust such established administrative procedures for the review 
of classified information. Further information on these procedures is 
available from the point of contact, Sec. 1802.3.



Sec. 1802.12  Requirements as to form.

    The challenge shall include identification of the challenger by full 
name and title of position, verification of security clearance or other 
basis of authority, and an identification of the documents or portions 
of documents or information at issue. The challenge shall also, in 
detailed and factual terms, identify and describe the reasons why it is 
believed that the information is not protected by one or more of the 
Sec. 1.5 provisions, that the release of the information would not cause 
damage to the national security, or that the information should be 
declassified due to the passage of time. The challenge must be properly 
classified; in this regard, until the challenge is decided, the 
authorized holder must treat the challenge, the information being 
challenged, and any related or explanatory information as classified at 
the same level as the current classification of the information in 
dispute.



Sec. 1802.13  Identification of material at issue.

    Authorized holders shall append the documents at issue and clearly 
mark those portions subject to the challenge. If information not in 
documentary form is in issue, the challenge shall state so clearly and 
present or otherwise refer with specificity to that information in the 
body of the challenge.



Sec. 1802.14  Transmission.

    Authorized holders must direct challenge requests to NACIC as 
specified in Sec. 1802.3. The classified nature of the challenge, as 
well as the appended documents, require that the holder transmit same in 
full accordance with established security procedures. In general, 
registered U.S. mail is approved for SECRET, non-compartmented material; 
higher classifications require use of approved Top Secret facsimile 
machines or NACIC-approved couriers. Further information is available 
from NACIC as well as corporate or other federal agency security 
departments.



                     Subpart C--Action On Challenges



Sec. 1802.21  Receipt, recording, and tasking.

    The Coordinator shall within ten (10) days record each challenge 
received under this part, acknowledge receipt to the authorized holder, 
and task the originator and other interested parties. Additional 
taskings, as required during the review process, shall be accomplished 
within five (5) days of notification.



Sec. 1802.22  Challenges barred by res judicata.

    The Coordinator shall respond on behalf of the Director, NACIC and 
deny any challenge where the information in question has been the 
subject of a classification review within the previous two (2) years or 
is the subject of pending litigation in the federal courts.



Sec. 1802.23  Response by originator(s) and/or any interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any challenge; other

[[Page 409]]

interested parties may become involved through the request of the 
Director, NACIC or the originator when it is determined that some or all 
of the information is also within their official cognizance.
    (b) Determination. These parties shall respond in writing to the 
Director, NACIC with a mandatory unclassified finding, to the greatest 
extent possible, and an optional classified addendum. This finding shall 
agree to a declassification or, in specific and factual terms, explain 
the basis for continued classification including identification of the 
category of information, the harm to national security which could be 
expected to result from disclosure, and, if older than ten (10) years, 
the basis for the extension of classification time under Secs. 1.6 and 
3.4 of this Order. These parties shall also provide a statement as to 
whether or not there is any other statutory, common law, or 
Constitutional basis for withholding as required by Sec. 6.1(c) of this 
Order.
    (c) Time. The determination(s) shall be provided on a first in, 
first out basis with respect to all challenges pending under this 
section and shall be accomplished expeditiously taking into account the 
requirements of the authorized holder as well as the business 
requirements of the originator including their responsibilities under 
the Freedom of Information Act, the Privacy Act, or the mandatory 
declassification review provisions of this Order.



Sec. 1802.24  Designation of authority to hear challenges.

    The Director, NACIC is the NACIC authority to hear and decide 
challenges under this part.



Sec. 1802.25  Action on challenge.

    Action by Coordinator. The Coordinator shall provide a summation 
memorandum for consideration of the Director, NACIC; the complete 
package consisting of the challenge, the information at issue, and the 
findings of the originator and interested parties shall also be 
provided. The Director, NACIC shall personally decide each case; no 
personal appearances shall be permitted without the express permission 
of the Director, NACIC.



Sec. 1802.26  Notification of decision and prohibition on adverse action.

    The Coordinator shall communicate the decision of NACIC to the 
authorized holder, the originator, and other interested parties within 
ten (10) days of the decision by the Coordinator. That correspondence 
shall include a notice that no adverse action or retribution can be 
taken in regard to the challenge and that an appeal of the decision may 
be made to the Interagency Security Classification Appeals Panel (ISCAP) 
established pursuant to Sec. 5.4 of this Order.



                       Subpart D--Right of Appeal



Sec. 1802.31  Right of appeal.

    A right of appeal is available to the ISCAP established pursuant to 
Sec. 5.4 of this Order. Action by that body will be the subject of rules 
to be promulgated by the Information Security Oversight Office (ISOO).



PART 1803--PUBLIC REQUESTS FOR MANDATORY DECLASSIFICATION REVIEW OF CLASSIFIED INFORMATION PURSUANT TO SECTION 3.6 OF EXECUTIVE ORDER 12958--Table of Contents




                           Subpart A--General

Sec.
1803.1  Authority and purpose.
1803.2  Definitions.
1803.3  Contact for general information and requests.
1803.4  Suggestions and complaints.

  Subpart B--Filing of Mandatory Declassification Review (MDR) Requests

1803.11  Preliminary information.
1803.12  Requirements as to form.
1803.13  Fees.

                 Subpart C--NACIC Action on MDR Requests

1803.21  Receipt, recording, and tasking.
1803.22  Requests barred by res judicata.
1803.23  Determination by originator or interested party.
1803.24  Notification of decision and right of appeal.

                 Subpart D--NACIC Action on MDR Appeals

1803.31  Requirements as to time and form.

[[Page 410]]

1803.32  Receipt, recording, and tasking.
1803.33  Determination by NACIC Office Chiefs
1803.34  Appeal authority.
1803.35  Action by appeals authority.
1803.36  Notification of decision and right of further appeal.

                       Subpart E--Further Appeals

1803.41  Right of further appeal.

    Authority: Section 3.6 of Executive Order 12958 (or successor 
Orders) and Section 102 of the National Security Act, as amended (50 
U.S.C. 403).

    Source: 64 FR 49890, Sept. 14, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 1803.1  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 3.6 of Executive Order (E.O.) 12958 (or 
successor Orders); and Section 102 of the National Security Act of 1947, 
as amended (50 U.S.C. 403).
    (b) Purpose. This part prescribes procedures, subject to limitations 
set forth below, for members of the public to request a declassification 
review of information classified under the various provisions of this or 
predecessor Orders. Section 3.6 of E.O. 12958 and these regulations do 
not create any right or benefit, substantive or procedural, enforceable 
at law by a party against the United States, its agencies, officers, or 
employees.



Sec. 1803.2  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    NACIC means the United States National Counterintelligence Center 
acting through the NACIC Information and Privacy Coordinator;
    Days means calendar days when NACIC is operating and specifically 
excludes Saturdays, Sundays, and legal public holidays. Three (3) days 
may be added to any requirement of this part if responding by U.S. 
domestic mail; ten (10) days may be added if responding by international 
mail;
    Control means ownership or the authority of NACIC pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    Coordinator means the NACIC Information and Privacy Coordinator who 
serves as the NACIC manager of the information review and release 
program instituted under the mandatory declassification review 
provisions of Executive Order 12958;
    Federal agency means any executive department, military department, 
or other establishment or entity included in the definition of agency in 
5 U.S.C. 552(f);
    Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or under the control of the United States 
Government; it does not include information originated by the incumbent 
President, White House Staff, appointed committees, commissions or 
boards, or any entities within the Executive Office that solely advise 
and assist the incumbent President;
    Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
NACIC, has a subject matter or physical interest in the documents or 
information at issue;
    NARA means the National Archives and Records Administration;
    Originator means the NACIC officer who originated the information at 
issue, or successor in office, or a NACIC officer who has been delegated 
declassification authority for the information at issue in accordance 
with the provisions of this Order;
    Presidential libraries means the libraries or collection authorities 
established by statute to house the papers of former Presidents Hoover, 
Roosevelt, Truman, Eisenhower, Kennedy, Johnson, Nixon, Ford, Carter, 
Reagan, Bush and similar institutions or authorities as may be 
established in the future;
    Referral means coordination with or transfer of action to an 
interested party;
    This Order means Executive Order 12958 of April 17, 1995 or 
successor Orders;

[[Page 411]]



Sec. 1803.3  Contact for general information and requests.

    For general information on this part or to request a 
declassification review, please direct your communication to the 
Information and Privacy Coordinator, National Counterintelligence 
Center, 3W01 NHB, Washington, DC 20505. Such inquiries will also be 
accepted by facsimile at (703) 874-5844. For general or status 
information only, the telephone number is (703) 874-4121. Collect calls 
cannot be accepted.



Sec. 1803.4  Suggestions and complaints.

    NACIC welcomes suggestions or complaints with regard to its 
administration of the mandatory declassification review program 
established under Executive Order 12958. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. NACIC will respond to all substantive communications and 
take such actions as determined feasible and appropriate.



  Subpart B--Filing of Mandatory Declassification Review (MDR) Requests



Sec. 1803.11  Preliminary information.

    Members of the public shall address all communications to the point 
of contact specified above and clearly delineate the communication as a 
request under this part. Requests and appeals on requests received from 
members of the public who owe outstanding fees for information services 
under this Order or the Freedom of Information Act at this or another 
federal agency will not be accepted until such debts are resolved.



Sec. 1803.12  Requirements as to form.

    The request shall identify the document(s) or material(s) with 
sufficient specificity (e.g., National Archives and Records 
Administration (NARA) Document Accession Number or other applicable, 
unique document identifying number) to enable NACIC to locate it with 
reasonable effort. Broad or topical requests for records on a particular 
subject may not be accepted under this provision. A request for 
documents contained in the various Presidential libraries shall be 
effected through the staff of such institutions who shall forward the 
document(s) in question for NACIC review. The requester shall also 
provide sufficient personal identifying information when required by 
NACIC to satisfy requirements of this part.



Sec. 1803.13  Fees.

    Requests submitted via NARA or the various Presidential libraries 
shall be responsible for reproduction costs required by statute or 
regulation. Requests made directly to NACIC will be liable for costs in 
the same amount and under the same conditions as specified in part 1800 
of this chapter.



                 Subpart C--NACIC Action on MDR Requests



Sec. 1803.21  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each mandatory declassification review request received under 
this part, acknowledge receipt to the requester in writing (if received 
directly from a requester), and shall thereafter task the originator and 
other interested parties. Additional taskings, as required during the 
review process, shall be accomplished within ten (10) days of 
notification.



Sec. 1803.22  Requests barred by res judicata.

    The Coordinator shall respond to the requester and deny any request 
where the information in question has been the subject of a 
classification review within the previous two (2) years or is the 
subject of pending litigation in the federal courts.



Sec. 1803.23  Determination by originator or interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any mandatory declassification review 
request; other interested parties may become involved through a referral 
by the Coordinator when it is determined that some or all of the 
information is also within their official cognizance.

[[Page 412]]

    (b) Required determinations. These parties shall respond in writing 
to the Coordinator with a finding as to the classified status of the 
information including the category of protected information as set forth 
in Sec. 1.5 of this Order, and, if older than ten (10) years, the basis 
for the extension of classification time under Secs. 1.6 and 3.4 of this 
Order. These parties shall also provide a statement as to whether or not 
there is any other statutory, common law, or Constitutional basis for 
withholding as required by Sec. 6.1(c) of this Order.
    (c) Time. This response shall be provided expeditiously on a first-
in, first-out basis taking into account the business requirements of the 
originator or interested parties and consistent with the information 
rights of members of the general public under the Freedom of Information 
Act and the Privacy Act.



Sec. 1803.24  Notification of decision and right of appeal.

    The Coordinator shall communicate the decision of NACIC to the 
requester within ten (10) days of completion of all review action. That 
correspondence shall include a notice of a right of administrative 
appeal to the Director, NACIC pursuant to Sec. 3.6(d) of this Order.



                 Subpart D--NACIC Action on MDR Appeals



Sec. 1803.31  Requirements as to time and form.

    Appeals of decisions must be received by the Coordinator within 
forty-five (45) days of the date of mailing of NACIC's initial decision. 
It shall identify with specificity the documents or information to be 
considered on appeal and it may, but need not, provide a factual or 
legal basis for the appeal.



Sec. 1803.32  Receipt, recording, and tasking.

    The Coordinator shall promptly record each appeal received under 
this part, acknowledge receipt to the requester, and task the originator 
and other interested parties. Additional taskings, as required during 
the review process, shall be accomplished within ten (10) days of 
notification.



Sec. 1803.33  Determination by NACIC Office Chiefs.

    Each NACIC Office Chief in charge of an office which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the classified status of the 
information including the category of protected information as set forth 
in Sec. 1.5 of this Order, and, if older than ten (10) years, the basis 
for continued classification under Secs. 1.6 and 3.4 of this Order. 
These parties shall also provide a statement as to whether or not there 
is any other statutory, common law, or Constitutional basis for 
withholding as required by Sec. 6.1(c) of this Order. This response 
shall be provided expeditiously on a ``first-in, first-out'' basis 
taking into account the business requirements of the parties and 
consistent with the information rights of members of the general public 
under the Freedom of Information Act and the Privacy Act.



Sec. 1803.34  Appeal authority.

    The Director, NACIC will make final NACIC decisions from appeals of 
initial denial decisions under E.O. 12958. Matters decided by the 
Director, NACIC will be deemed a final decision by NACIC.



Sec. 1803.35  Action by appeals authority.

    Action by the Director, NACIC. The Coordinator shall provide a 
summation memorandum for consideration of the Director, NACIC; the 
complete record of the request consisting of the request, the 
document(s) (sanitized and full text) at issue, and the findings of the 
originator and interested parties. The Director, NACIC shall personally 
decide each case; no personal appearances shall be permitted without the 
express permission of the Director, NACIC.

[[Page 413]]



Sec. 1803.36  Notification of decision and right of further appeal.

    The Coordinator shall communicate the decision of the Director, 
NACIC to the requester, NARA, or the particular Presidential Library 
within ten (10) days of such decision. That correspondence shall include 
a notice that an appeal of the decision may be made to the Interagency 
Security Classification Appeals Panel (ISCAP) established pursuant to 
Sec. 5.4 of this Order.



                       Subpart E--Further Appeals



Sec. 1803.41  Right of further appeal.

    A right of further appeal is available to the ISCAP established 
pursuant to Sec. 5.4 of this Order. Action by that Panel will be the 
subject of rules to be promulgated by the Information Security Oversight 
Office (ISOO).



PART 1804--ACCESS BY HISTORICAL RESEARCHERS AND FORMER PRESIDENTIAL APPOINTEES PURSUANT TO SECTION 4.5 OF EXECUTIVE ORDER 12958--Table of Contents




                           Subpart A--General

Sec.
1804.01  Authority and purpose.
1804.02  Definitions.
1804.03  Contact for general information and requests.
1804.04  Suggestions and complaints.

                Subpart B--Requests for Historical Access

1804.11  Requirements as to who may apply.
1804.12  Designations of authority to hear requests.
1804.13  Receipt, recording, and tasking.
1804.14  Determinations by tasked officials.
1804.15  Action by hearing authority.
1804.16  Action by appeal authority.
1804.17  Notification of decision.
1804.18  Termination of access.

    Authority: Section 4.5 of Executive Order 12958 (or successor 
Orders) and Presidential Decision Directive/NSC 24 ``U.S. 
Counterintelligence Effectiveness,'' dated May 3, 1994.

    Source: 64 FR 49892, Sept. 14, 1999, unless otherwise noted.



                           Subpart A--General



Sec. 1804.1  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 4.5 of Executive Order 12958 (or successor 
Orders); and Presidential Decision Directive/NSC 24, U.S. 
Counterintelligence Effectiveness, dated May 3, 1994.
    (b) Purpose. (1) This part prescribes procedures for:
    (i) Requesting access to NACIC records for purposes of historical 
research, or
    (ii) Requesting access to NACIC records as a former Presidential 
appointee.
    (2) Section 4.5 of Executive Order 12958 and this part do not create 
any right or benefit, substantive or procedural, enforceable at law by a 
party against the United States, its agencies, officers, or employees.



Sec. 1804.2  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    NACIC means the United States National Counterintelligence Center 
acting through the NACIC Information and Privacy Coordinator;
    Days means calendar days when NACIC is operating and specifically 
excludes Saturdays, Sundays, and legal public holidays. Three (3) days 
may be added to any requirement of this part if responding by U.S. 
domestic mail; ten (10) days may be added if responding by international 
mail;
    Control means ownership or the authority of NACIC pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    Coordinator means the NACIC Information and Privacy Coordinator who 
serves as the NACIC manager of the historical access program established 
pursuant to Section 4.5 of this Order;
    Federal agency means any executive department, military department, 
or other establishment or entity included in the definition of agency in 
5 U.S.C. 552(f);
    Former Presidential appointee means any person who has previously 
occupied a policy-making position in the executive branch of the United 
States

[[Page 414]]

Government to which they were appointed by the current or former 
President and confirmed by the United States Senate;
    Historian or historical researcher means any individual with 
professional training in the academic field of history (or related 
fields such as journalism) engaged in a research project leading to 
publication (or any similar activity such as academic course 
development) reasonably intended to increase the understanding of the 
American public into the operations and activities of the United States 
government;
    Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or is under the control of the United States 
Government;
    Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
NACIC, has a subject matter or physical interest in the documents or 
information at issue;
    Originator means the NACIC officer who originated the information at 
issue, or successor in office, or a NACIC officer who has been delegated 
declassification authority for the information at issue in accordance 
with the provisions of this Order;
    This Order means Executive Order 12958 of April 17, 1995 or 
successor Orders.



Sec. 1804.3  Contact for general information and requests.

    For general information on this part, to inquire about historical 
access to NACIC records, or to make a formal request for such access, 
please direct your communication in writing to the Information and 
Privacy Coordinator, Executive Secretariat, 3W01 NHB, National 
Counterintelligence Center, Washington, DC 20505. Inquiries will also be 
accepted by facsimile at (703) 874-5844. For general information only, 
the telephone number is (703) 874-4121. Collect calls cannot be 
accepted.



Sec. 1804.4  Suggestions and complaints.

    NACIC welcomes suggestions or complaints with regard to its 
administration of the historical access program established pursuant to 
Executive Order 12958. Letters of suggestion or complaint should 
identify the specific purpose and the issues for consideration. NACIC 
will respond to all substantive communications and take such actions as 
determined feasible and appropriate.



                Subpart B--Requests for Historical Access



Sec. 1804.11  Requirements as to who may apply.

    (a) Historical researchers:--(1) In general. Any historian engaged 
in a historical research project as defined above may submit a request 
in writing to the Coordinator to be given access to classified 
information for purposes of that research. Any such request shall 
indicate the nature, purpose, and scope of the research project.
    (2) Additional considerations. In light of the very limited 
resources for NACIC's various historical programs, it is the policy of 
NACIC to consider applications for historical research privileges only 
in those instances where the researcher's needs cannot be satisfied 
through requests for access to reasonably described records under the 
Freedom of Information Act or the mandatory declassification review 
provisions of Executive Order 12958 and where issues of internal 
resource availability and fairness to all members of the historical 
research community militate in favor of a particular grant.
    (b) Former Presidential appointees. Any former Presidential 
appointee as defined herein may also submit a request to be given access 
to any classified records which they originated, reviewed, signed, or 
received while serving in that capacity. Such appointees may also 
request approval for a research associate but there is no entitlement to 
such enlargement of access and the decision in this regard shall be in 
the sole discretion of NACIC. Requests from appointees shall be in 
writing to the Coordinator and shall identify the records of interest.

[[Page 415]]



Sec. 1804.12  Designations of authority to hear requests.

    The Director, NACIC has designated the Coordinator, as the NACIC 
authority to decide requests for historical and former Presidential 
appointee access under Executive Order 12958 (or successor Orders) and 
this part.



Sec. 1804.13  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each request for historical access received under this part, 
acknowledge receipt to the requester in writing and take the following 
action:
    (a) Compliance with general requirements. The Coordinator shall 
review each request under this part and determine whether it meets the 
general requirements as set forth in Sec. 1804.11; if it does not, the 
Coordinator shall so notify the requester and explain the legal basis 
for this decision.
    (b) Action on requests meeting general requirements. For requests 
which meet the requirements of Sec. 1804.11, the Coordinator shall 
thereafter task the originator(s) of the materials for which access is 
sought and other interested parties. Additional taskings, as required 
during the review process, shall be accomplished within ten (10) days of 
notification.



Sec. 1804.14  Determinations by tasked officials.

    (a) Required determinations. The tasked parties as specified below 
shall respond in writing to the Coordinator with recommended findings to 
the following issues:
    (1)That a serious professional or scholarly research project by the 
requester is contemplated;
    (2) That such access is clearly consistent with the interests of 
national security (by originator and interested party, if any);
    (3) That a non-disclosure agreement has been or will be executed by 
the requester (or research associate, if any) and other appropriate 
steps have been taken to assure that classified information will not be 
disclosed or otherwise compromised;
    (4) That a pre-publication agreement has been or will be executed by 
the requester (or research associate, if any) which provides for a 
review of notes and any resulting manuscript by the Deputy Director of 
NACIC;
    (5) That the information requested is reasonably accessible and can 
be located and compiled with a reasonable effort (by the Deputy Director 
of NACIC and the originator);
    (6) That it is reasonably expected that substantial and substantive 
government documents and/or information will be amenable to 
declassification and release and/or publication (by the Deputy Director 
of NACIC and the originator);
    (7) That sufficient resources are available for the administrative 
support of the researcher given current mission requirements (by the 
Deputy Director of NACIC and the originator); and,
    (8) That the request cannot be satisfied to the same extent through 
requests for access to reasonably described records under the Freedom of 
Information Act or the mandatory declassification review provisions of 
Executive Order 12958 (by the Coordinator, the Deputy Director of NACIC 
and the originator).
    (b) Time. These responses shall be provided expeditiously on a 
first-in, first-out basis taking into account the business requirements 
of the tasked offices and consistent with the information rights of 
members of the general public under the Freedom of Information Act and 
the Privacy Act. NACIC will utilize its best efforts to complete action 
on requests under this part within thirty (30) days of date of receipt.



Sec. 1804.15  Action by hearing authority.

    Action by Coordinator. The Coordinator shall provide a summation 
memorandum for consideration of the Director, NACIC, the complete record 
of the request consisting of the request and the findings of the tasked 
parties. The Director, NACIC shall decide requests on the basis of the 
eight factors enumerated at Sec. 1804.14(a). The Director, NACIC shall 
personally decide each case; no personal appearances shall be permitted 
without the express permission of the Director, NACIC.

[[Page 416]]



Sec. 1804.16  Action by appeal authority.

    The record compiled (the request, the memoranda filed by the 
originator and interested parties, and the previous decision(s)) as well 
as any memorandum of law or policy the referent desires to be 
considered, shall be certified by the Coordinator and shall constitute 
the official record of the proceedings and must be included in any 
subsequent filings. In such cases, the factors to be determined as 
specified in Sec. 1804.14(a) will be considered by the Director, NACIC 
de novo and that decision shall be final.



Sec. 1804.17  Notification of decision.

    The Coordinator shall inform the requester of the decision of the 
Director, NACIC within ten (10) days of the decision and, if favorable, 
shall manage the access for such period as deemed required but in no 
event for more than two (2) years unless renewed by the Director, NACIC 
in accordance with the requirements of Sec. 1804.14(a).



Sec. 1804.18  Termination of access.

    The Coordinator shall cancel any authorization whenever the security 
clearance of a requester (or research associate, if any) has been 
canceled or whenever the Director, NACIC determines that continued 
access would not be in compliance with one or more of the requirements 
of Sec. 1804.14(a).



 PART 1805--PRODUCTION OF OFFICIAL RECORDS OR DISCLOSURE OF OFFICIAL INFORMATION IN PROCEEDINGS BEFORE FEDERAL, STATE OR LOCAL GOVERNMENT ENTITIES OF COMPETENT 
JURISDICTION--Table of Contents




Sec.
1805.1  Scope and purpose.
1805.2  Definitions.
1805.3  General.
1805.4  Procedures for production.

    Authority: 5 U.S.C. 104; Presidential Decision Directive/NSC 24 
``U.S. Counterintelligence Effectiveness, dated May 3, 1994; 50 U.S.C. 
403g; United States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951); E.O. 
12333; E.O. 12356; U.S. v. Snepp 444 U.S. 507 (1980).

    Source: 64 FR 49894, Sept. 14, 1999, unless otherwise noted.



Sec. 1805.1  Scope and purpose.

    This part sets forth the policy and procedures with respect to the 
production or disclosure of:
    (a) Material contained in the files of NACIC,
    (b) Information relating to or based upon material contained in the 
files of NACIC,
    (c) Information acquired by any person while such person is an 
employee of NACIC as part of the performance of that person's official 
duties or because of that person's association with NACIC.



Sec. 1805.2  Definitions.

    For the purpose of this part:
    NACIC means the National Counterintelligence Center and includes all 
staff elements of the NACIC.
    Demand means any subpoena, order or other legal summons (except 
garnishment orders) that is issued by a federal, state or local 
government entity of competent jurisdiction with the authority to 
require a response on a particular matter, or a request for appearance 
of an individual where a demand could issue.
    Employee means any officer, any staff, contract or other employee of 
NACIC, any person including independent contractors associated with or 
acting on behalf of NACIC; and any person formerly having such 
relationships with NACIC.
    Production or produce means the disclosure of:
    (1) Any material contained in the files of NACIC; or
    (2) Any information relating to material contained in the files of 
NACIC, including but not limited to summaries of such information or 
material, or opinions based on such information or material; or
    (3) Any information acquired by persons while such persons were 
employees of NACIC as a part of the performance of their official duties 
or because of their official status or association with NACIC; in 
response to a demand upon an employee of NACIC.
    NACIC Counsel is the NACIC employee designated to manage legal 
matters and regulatory compliance.

[[Page 417]]



Sec. 1805.3  General.

    (a) No employee shall produce any materials or information in 
response to a demand without prior authorization as set forth in this 
part. This part also applies to former employees to the extent 
consistent with applicable non-disclosure agreements.
    (b) This part is intended only to provide procedures for responding 
to demands for production of documents or information, and is not 
intended to, does not, and may not be relied upon to, create any right 
or benefit, substantive or procedural, enforceable by any party against 
the United States.



Sec. 1805.4  Procedure for production.

    (a) Whenever a demand for production is made upon an employee, the 
employee shall immediately notify NACIC Counsel, who will follow the 
procedures set forth in this section.
    (b) NACIC Counsel and the Office Chiefs with responsibility for the 
information sought in the demand shall determine whether any information 
or materials may properly be produced in response to the demand, except 
that NACIC Counsel may assert any and all legal defenses and objections 
to the demand available to NACIC prior to the start of any search for 
information responsive to the demand. NACIC may, in its sole discretion, 
decline to begin any search for information responsive to the demand 
until a final and non-appealable disposition of any such defenses and 
objections raised by NACIC has been made by the entity or person that 
issued the demand.
    (c) NACIC officials shall consider the following factors, among 
others, in reaching a decision:
    (1) Whether production is appropriate in light of any relevant 
privilege;
    (2) Whether production is appropriate under the applicable rules of 
discovery or the procedures governing the case or matter in which the 
demand arose; and
    (3) Whether any of the following circumstances apply:
    (i) Disclosure would violate a statute, including but not limited to 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a;
    (ii) Disclosure would reveal classified information;
    (iii) Disclosure would improperly reveal trade secrets or 
proprietary confidential information without the owner's consent; or
    (iv) Disclosure would interfere with the orderly conduct of NACIC's 
functions.
    (d) If oral or written testimony is sought by a demand in a case or 
matter in which the NACIC is not a party, a reasonably detailed 
description of the testimony sought, in the form of an affidavit or, if 
that is not feasible, a written statement, by the party seeking the 
testimony or by the party's attorney must be furnished to the NACIC 
Counsel.
    (e) The NACIC Counsel shall be responsible for notifying the 
appropriate employees and other persons of all decisions regarding 
responses to demands and providing advice and counsel as to the 
implementation of such decisions.
    (f) If response to a demand is required before a decision is made 
whether to provide the documents or information sought by the demand, 
NACIC Counsel, after consultation with the Department of Justice, shall 
appear before and furnish the court or other competent authority with a 
copy of this part and state that the demand has been or is being, as the 
case may be, referred for the prompt consideration of the appropriate 
NACIC officials, and shall respectfully request the court or other 
authority to stay the demand pending receipt of the required 
instructions.
    (g) If the court or any other authority declines to stay the demand 
pending receipt of instructions in response to a request made in 
accordance with Sec. 1805.4(g) or rules that the demand must be complied 
with regardless of instructions rendered in accordance with this Part 
not to produce the material or disclose the information sought, the 
employee upon whom the demand has been made shall, if so directed by 
NACIC Counsel, respectfully decline to comply with the demand under the 
authority of United States ex. rel. Touhy v. Ragen, 340 U.S. 462 (1951), 
and this part.
    (h) With respect to any function granted to NACIC officials in this 
part, such officials are authorized to delegate in writing their 
authority in any

[[Page 418]]

case or matter or category thereof to subordinate officials.
    (i) Any non-employee who receives a demand for the production or 
disclosure of NACIC information acquired because of that person's 
association or contacts with NACIC should notify NACIC Counsel, (703) 
874-4121, for guidance and assistance. In such cases, the provisions of 
this part shall be applicable.



PART 1806--PROCEDURES GOVERNING ACCEPTANCE OF SERVICE OF PROCESS--Table of Contents




Sec.
1806.1  Scope and Purpose.
1806.2  Definitions.
1806.3  Procedures governing acceptance of service of process.
1806.4  Notification to NACIC Counsel.
1806.5  Authority of NACIC Counsel.

    Authority: 5 U.S.C. 104; Presidential Decision Directive/NSC 24 
``U.S. Counterintelligence Effectiveness'', dated May 3, 1994; 50 U.S.C. 
403g; E.O. 12333.

    Source: 64 FR 49895, Sept. 14, 1999, unless otherwise noted.



Sec. 1806.1  Scope and purpose.

    (a) This part sets forth the authority of NACIC personnel to accept 
service of process on behalf of the NACIC or any NACIC employee.
    (b) This part is intended to ensure the orderly execution of the 
NACIC's affairs and not to impede any legal proceeding.
    (c) NACIC regulations concerning employee responses to demands for 
production of official information before federal, state or local 
government entities are set out in part 1805 of this chapter.



Sec. 1806.2  Definitions.

    NACIC means the National Counterintelligence Center and include all 
staff elements of NACIC.
    Process means a summons complaint, subpoena, or other official paper 
(except garnishment orders) issued in conjunction with a proceeding or 
hearing being conducted by a federal, state, or local government entity 
of competent jurisdiction.
    Employee means any NACIC officer, any staff, contract, or other 
employee of NACIC, any person including independent contractors 
associated with or acting for or on behalf of NACIC, and any person 
formerly having such a relationship with NACIC.
    NACIC Counsel refers to the NACIC employee designated by NACIC to 
manage legal issues and regulatory compliance.



Sec. 1806.3  Procedures governing acceptance of service of process.

    (a) Service of Process Upon the NACIC or a NACIC Employee in an 
Official Capacity.--(1) Personal Service. Unless otherwise expressly 
authorized by NACIC Counsel, or designee, personal service of process 
may be accepted only by NACIC Counsel, Director, NACIC, or Deputy 
Director, NACIC, located at Central Intelligence Agency Headquarters, 
Langley, Virginia.
    (2) Mail Service. Where service of process by registered or 
certified mail is authorized by law, unless expressly directed otherwise 
by the NACIC Counsel or designee, personal service of process may be 
accepted only by NACIC Counsel, Director, NACIC, or Deputy Director, 
NACIC. Process by mail should be addressed as follows: NACIC Counsel, 
National Counterintelligence Center, Washington, DC 20505.
    (b) Service of Process Upon a NACIC Employee Solely in An Individual 
Capacity.--(1) General. NACIC will not provide the name or address of 
any current or former NACIC employee to individuals or entities seeking 
to serve process upon such employee solely in his or her individual 
capacity, even when the matter is related to NACIC activities.
    (2) Personal Service. Subject to the sole discretion of appropriate 
officials of the CIA, where NACIC is physically located, process servers 
generally will not be allowed to enter CIA Headquarters for the purpose 
of serving process upon any NACIC employee solely in his or her 
individual capacity. Subject to the sole discretion of the Director, 
NACIC, process servers will generally not be permitted to enter NACIC 
office space for the purpose of serving process upon a NACIC employee 
solely in his or her individual capacity. The NACIC Counsel, the 
Director, NACIC, and the Deputy Director, NACIC are

[[Page 419]]

not permitted to accept service of process on behalf of a NACIC employee 
in his or her individual capacity.
    (3) Mail Service. Unless otherwise expressly authorized by the NACIC 
Counsel, or designee, NACIC personnel are not authorized to accept or 
forward mailed service of process directed to any NACIC employee in his 
or her individual capacity. Any such process will be returned to the 
sender via appropriate postal channels.
    (c) Service of Process Upon a NACIC Employee in a Combined Official 
and Individual Capacity.--Unless expressly directed otherwise by the 
NACIC Counsel, or designee, any process to be served upon a NACIC 
employee in his or her combined official and individual capacity, in 
person or by mail, can be accepted only by NACIC Counsel, Director, 
NACIC, or Deputy Director, NACIC, National Counterintelligence Center, 
Langley, Virginia.
    (d) Service of Process Upon a NACIC Counsel. The documents for which 
service is accepted in official capacity only shall be stamped ``Service 
Accepted in Official Capacity Only.'' Acceptance of Service of Process 
shall not constitute an admission or waiver with respect to 
jurisdiction, propriety of service, improper venue, or any other defense 
in law or equity available under the laws or rules applicable to the 
service of process.



Sec. 1806.4  Notification to NACIC Counsel.

    A NACIC employee who receives or has reason to expect to receive 
service of process in an individual, official, or combined individual 
and official capacity, in a matter that may involve or the furnishing of 
documents and that could reasonably be expected to involve NACIC 
interests, shall promptly notify the NACIC Counsel. Such notification 
should be given prior to providing the requestor, personal counsel or 
any other representative, any NACIC information and prior to the 
acceptance of service of process.



Sec. 1806.5  Authority of NACIC Counsel.

    Any questions concerning interpretation of this part shall be 
referred to the NACIC Counsel for resolution



PART 1807--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF DISABILITY IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE NATIONAL COUNTERINTELLIGENCE CENTER--Table of Contents




Sec.
1807.101  Purpose.
1807.102  Application.
1807.103  Definitions.
1807.104-1807.110  [Reserved]
1807.111  Notice.
1807.112-1807.129  [Reserved]
1807.130  General prohibitions against discrimination.
1807.131-1807.139  [Reserved]
1807.140  Employment.
1807.141-1807.148  [Reserved]
1807.149  Program accessibility: discrimination prohibited.
1807.150  Program accessibility: existing facilities.
1807.151  Program accessibility: new construction and alterations.
1807.152-1807.159  [Reserved]
1807.160  Communications.
1807.161-1807.169  [Reserved]
1807.170  Compliance procedures.

    Authority: 5 U.S.C. 104, Presidential Decision Directive/NSC 24 U.S. 
Counterintelligence Effectiveness, dated May 3, 1994, 29 U.S.C. 794.

    Source: 64 FR 49896, Sept. 14, 1999, unless otherwise noted.



Sec. 1807.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of disability in 
programs or activities conducted by Executive agencies or the United 
States Postal Service.



Sec. 1807.102  Application.

    This part applies to all programs or activities conducted by the 
NACIC.



Sec. 1807.103  Definitions.

    For purposes of this part, the following terms means--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.

[[Page 420]]

    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the NACIC. For example, auxiliary aids useful 
for persons with impaired vision include readers, materials in Braille, 
audio recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, notetakers, written 
materials, and other similar services and devices. The CIA, where NACIC 
is physically located, may prohibit from any of its facilities any 
auxiliary aid, or category of auxiliary aid that the Center for CIA 
Security (CCS) determines creates a security risk or potential security 
risk. CCS reserves the right to examine any auxiliary aid brought into 
the NACIC facilities at CIA Headquarters.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the NACIC's alleged 
discriminatory action in sufficient detail to inform the NACIC of the 
nature and date of the alleged violation of section 504. It must be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties must 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Director means the Director of NACIC or an official or employee of 
the NACIC acting for the Director under a delegation of authority.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances or other real or personal property.
    Individual with disabilities means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment. As used in this definition, the phrase--
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Cardiovascular; Neurological; musculoskeletal; special sense organs; 
respiratory, including speech organs; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term physical or mental impairment 
includes, but is not limited to, such diseases and conditions as 
orthopedic, visual, speech, and hearing impairments, cerebral palsy, 
epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, 
diabetes, mental retardation, emotional illness, drug addiction, and 
alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working;
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the NACIC as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
the impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the NACIC as having such an impairment.
    Qualified individual with disabilities means--
    (1) With respect to any NACIC program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, an individual with a handicap who meets the essential 
eligibility requirements and who can achieve the purpose of the

[[Page 421]]

program or activity without modifications in the program or activity 
that the NACIC can demonstrate would result in a fundamental alteration 
in its nature;
    (2) With respect to any other NACIC program or activity, an 
individual with disabilities who meets the essential eligibility 
requirements for participation in, or receipt of benefits from, that 
program or activity; and
    (3) Qualified individual with a disability as that term is defined 
for purposes of employment in 29 CFR 1614.203(a)(6), which is made 
applicable to this part by Sec. 1807.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-002, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this part, section 504 applies only to programs or activities 
conducted by the NACIC and not to federally assisted programs.



Secs. 1807.104-1807.110  [Reserved]



Sec. 1807.111  Notice.

    The NACIC shall make available to employees, applicants, 
participants, beneficiaries, and other interested persons, such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the NACIC, and make that 
information available to them in such manner as the Director finds 
necessary to apprise those persons of the protections against 
discrimination assured them by section 504 and the regulations in this 
part.



Secs. 1807.112-1807.129  [Reserved]



Sec. 1807.130  General prohibitions against discrimination.

    (a) No qualified individual with disabilities shall, on the basis of 
disability, be excluded from participation in, be denied the benefits 
of, or otherwise be subjected to discrimination under, any program or 
activity conducted by the NACIC.
    (b)(1) The NACIC, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of disability:
    (i) Deny a qualified individual with disabilities the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Deny a qualified individual with disabilities an opportunity to 
obtain the same result, to gain the same benefit, to reach the same 
level of achievement as that provided to others;
    (iii) Provide a qualified individual with disabilities with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with disabilities or to any class of individuals with 
disabilities than is provided to others unless that action is necessary 
to provide qualified individuals with disabilities with aid, benefits, 
or services that are as effective as those provided to others;
    (v) Deny a qualified individual with disabilities the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified individual with disabilities in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The NACIC may not deny a qualified individual with disabilities 
the opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The NACIC may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would:
    (i) Subject qualified individuals with disabilities to 
discrimination on the basis of disability; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with disabilities.

[[Page 422]]

    (4) The NACIC may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would:
    (i) Exclude individuals with disabilities from, deny them the 
benefits of, or otherwise subject them to discrimination under, any 
program or activity conducted by the NACIC; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
disabilities.
    (5) The NACIC, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with disabilities to 
discrimination on the basis of disability.
    (6) The NACIC may not administer a licensing or certification 
program in a manner that subjects qualified individuals with 
disabilities to discrimination on the basis of disability, nor may the 
NACIC establish requirements for the programs or activities of licensees 
or certified entities that subject qualified individuals with 
disabilities to discrimination on the basis of disability. However, the 
programs or activities of entities that are licensed or certified by the 
NACIC are not, themselves, covered by this part.
    (c) The exclusion of persons without disabilities from the benefits 
of a program limited by Federal statute or Executive Order to 
individuals with disabilities or the exclusion of a specific class of 
individuals with disabilities from a program limited by Federal statute 
or Executive Order to a different class of individuals with disabilities 
is not prohibited by this part.
    (d) The NACIC shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with disabilities.



Secs. 1807.131-1807.139  [Reserved]



Sec. 1807.140  Employment.

    No qualified individual with disabilities shall, solely on the basis 
of disability, be subjected to discrimination in employment under any 
program or activity conducted by the NACIC. The definitions, 
requirements, and procedures of section 501 of the Rehabilitation Act of 
1979 (29 U.S.C. 791), as established by the Equal Employment Opportunity 
Commission in 29 CFR part 1614, shall apply to employment in federally 
conducted programs or activities.



Secs. 1807.141-1807.148  [Reserved]



Sec. 1807.149  Program accessibility: discrimination prohibited.

    Except as otherwise provided in Sec. 1807.150, no qualified 
individual with disabilities shall, because the NACIC's facilities are 
inaccessible to or unusable by individuals with disabilities, be denied 
the benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the NACIC.



Sec. 1807.150  Program accessibility: existing facilities.

    (a) General. The NACIC shall operate each program or activity so 
that the program or activity, viewed in its entirety, is readily 
accessible to and usable by individuals with disabilities. This program 
does not:
    (1) Necessarily require the NACIC to make each of its existing 
facilities accessible to and usable by individuals with disabilities;
    (2)(i) Require the NACIC to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens.
    (ii) The NACIC has the burden of proving that compliance with 
Sec. 1807.150(a) would result in that alteration or those burdens.
    (iii) The decision that compliance would result in that alteration 
of those burdens must be made by the Director after considering all of 
the NACIC's resources available for use in the funding and operation of 
the conducted program or activity, and must be accompanied by a written 
statement of the reasons for reaching that conclusion.
    (iv) If an action would result in that alteration or those burdens, 
the NACIC shall take any other action that would not result in the 
alteration of burdens but would nevertheless ensure that individuals 
with disabilities receive the

[[Page 423]]

benefits and services of the program or activity.
    (b) Methods. (1) The NACIC may comply with the requirements of this 
section through such means as redesign of equipment, delivery of 
services at alternate accessible sites, alteration of existing 
facilities, or any other methods that result in making its programs or 
activities readily accessible to and usable by individuals with 
disabilities.
    (2) The NACIC is not required to make structural changes in existing 
facilities if other methods are effective in achieving compliance with 
this section.
    (3) In choosing among available methods for meeting the requirements 
of this section, the NACIC shall give priority to those methods that 
offer programs and activities to qualified individuals with disabilities 
in the most integrated setting appropriate.



Sec. 1807.151  Program accessibility: new construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of, the NACIC shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with disabilities in compliance with the definitions, 
requirements, and standards of the Americans with Disabilities Act 
Accessibility Guidelines, 36 CFR part 1191.



Secs. 1807.152-1807.159  [Reserved]



Sec. 1807.160  Communications.

    (a) The NACIC shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public as follows:
    (1)(i) The NACIC shall furnish appropriate auxiliary aids if 
necessary to afford an individual with disabilities an equal opportunity 
to participate in, and enjoy the benefits of, a program or activity 
conducted by the NACIC.
    (ii) In determining what type of auxiliary aid is necessary, the 
NACIC shall give primary consideration to the requests of the individual 
with disabilities.
    (2) Where the NACIC communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The NACIC shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) This section does not require the NACIC to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where NACIC personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the NACIC 
has the burden of proving that compliance with Sec. 1807.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the NACIC head or 
his or her designee after considering all NACIC resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the NACIC 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum 
extent possible, individuals with disabilities receive the benefits and 
services of the program or activity.



Secs. 1807.161-1807.169  [Reserved]



Sec. 1807.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
disability in programs and activities conducted by the NACIC.
    (b) The NACIC shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity

[[Page 424]]

Commission in 29 CFR part 1614 pursuant to section 501 of the 
Rehabilitation Act of 1973 (29 U.S.C. 791).
    (c) The Director, Office of Equal Employment Opportunity, is 
responsible for coordinating implementation of this section. Complaints 
may be sent to NACIC, Director, Washington, DC 20505.
    (d) The NACIC shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The NACIC may 
extend this time period for good cause.
    (e) If the NACIC receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The NACIC shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Americans with Disabilities 
Act Accessibility Guidelines is not readily accessible to and usable by 
individuals with disabilities.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, The NACIC shall notify the complainant of the 
results of the investigation in a letter containing:
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the NACIC of the letter required by paragraph (g) of this section. The 
NACIC may extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the Director.
    (j) The NACIC shall notify the complainant of the results of the 
appeal within 60 days of the receipt of the request. If the NACIC 
determines that it needs additional information from the complainant, it 
shall have 60 days from the date it receives the additional information 
to make its determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The Director may delegate the authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated.

[[Page 425]]



                CHAPTER XIX--CENTRAL INTELLIGENCE AGENCY




  --------------------------------------------------------------------
Part                                                                Page
1900            Public access to CIA records under the 
                    Freedom of Information Act (FOIA).......         427
1901            Public rights under the Privacy Act of 1974.         438
1902            Information security regulations............         449
1903            Conduct on Agency Installations.............         449
1904            Procedures governing acceptance of service 
                    of process..............................         455
1905            Production of official records or disclosure 
                    of official information in proceedings 
                    before Federal, state or local 
                    governmental entities of competent 
                    jurisdiction............................         456
1906            Enforcement of nondiscrimination on the 
                    basis of handicap in programs or 
                    activities conducted by the Central 
                    Intelligence Agency.....................         458
1907            Challenges to classification of documents by 
                    authorized holders pursuant to Sec. 1.9 
                    of Executive Order 12958................         464
1908            Public requests for mandatory 
                    declassification review of classified 
                    information pursuant to Sec. 3.6 of 
                    Executive Order 12958...................         468
1909            Access by historical researchers and former 
                    presidentail appointees pursuant to 
                    Sec. 4.5 of Executive Order 12958.......         472

[[Page 427]]



PART 1900--PUBLIC ACCESS TO CIA RECORDS UNDER THE FREEDOM OF INFORMATION ACT (FOIA)--Table of Contents




                                 General

Sec.
1900.01  Authority and purpose.
1900.02  Definitions.
1900.03  Contact for general information and requests.
1900.04  Suggestions and complaints.

                         Filing of FOIA Requests

1900.11  Preliminary information.
1900.12  Requirements as to form and content.
1900.13  Fees for record services.
1900.14  Fee estimates (pre-request option).

                       CIA Action on FOIA Requests

1900.21  Processing of requests for records.
1900.22  Action and determination(s) by originator(s) or any interested 
          party.
1900.23  Payment of fees, notification of decision, and right of appeal.

                    Additional Administrative Matters

1900.31  Procedures for business information.
1900.32  Procedures for information concerning other persons.
1900.33  Allocation of resources; agreed extensions of time.
1900.34  Requests for expedited processing.

                CIA Action on FOIA Administrative Appeals

1900.41  Establishment of appeals structure.
1900.42  Right of appeal and appeal procedures.
1900.43  Determination(s) by Deputy Director(s).
1900.44  Action by appeals authority.
1900.45  Notification of decision and right of judicial review.

    Authority: National Security Act of 1947, as amended; Central 
Intelligence Agency Act of 1949, as amended; Freedom of Information Act, 
as amended; CIA Information Act of 1984; and Executive Order 12958 , 60 
FR 19825, 3 CFR 1996 Comp., p. 333-356 (or successor Orders).

    Source: 62 FR 32481, June 16, 1997, unless otherwise noted.

                                 General



Sec. 1900.01  Authority and purpose.

    This part is issued under the authority of and in order to implement 
the Freedom of Information Act (FOIA), as amended (5 U.S.C. 552); the 
CIA Information Act of 1984 (50 U.S.C. 431); sec. 102 of the National 
Security Act of 1947, as amended (50 U.S.C. 403); and sec. 6 of the 
Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 403g). It 
prescribes procedures for:
    (a) Requesting information on available CIA records, or the CIA 
administration of the FOIA, or estimates of fees that may become due as 
a result of a request;
    (b) Requesting records pursuant to the FOIA; and
    (c) Filing an administrative appeal of an initial adverse decision 
under the FOIA.



Sec. 1900.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the Freedom of Information Act;
    (e) Direct costs means those expenditures which an agency actually 
incurs in the processing of a FOIA request; it does not include overhead 
factors such as space; it does include:
    (1) Pages means paper copies of standard office size or the dollar 
value equivalent in other media;
    (2) Reproduction means generation of a copy of a requested record in 
a form appropriate for release;
    (3) Review means all time expended in examining a record to 
determine whether any portion must be withheld pursuant to law and in 
effecting any

[[Page 428]]

required deletions but excludes personnel hours expended in resolving 
general legal or policy issues; it also means personnel hours of 
professional time;
    (4) Search means all time expended in looking for and retrieving 
material that may be responsive to a request utilizing available paper 
and electronic indices and finding aids; it also means personnel hours 
of professional time or the dollar value equivalent in computer 
searches;
    (f) Expression of interest means a written communication submitted 
by a member of the public requesting information on or concerning the 
FOIA program and/or the availability of documents from the CIA;
    (g) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (h) Fees means those direct costs which may be assessed a requester 
considering the categories established by the FOIA; requesters should 
submit information to assist the Agency in determining the proper fee 
category and the Agency may draw reasonable inferences from the identity 
and activities of the requester in making such determinations; the fee 
categories include:
    (1) Commercial means a request in which the disclosure sought is 
primarily in the commercial interest of the requester and which furthers 
such commercial, trade, income or profit interests;
    (2) Non-commercial educational or scientific institution means a 
request from an accredited United States educational institution at any 
academic level or institution engaged in research concerning the social, 
biological, or physical sciences or an instructor or researcher or 
member of such institutions; it also means that the information will be 
used in a specific scholarly or analytical work, will contribute to the 
advancement of public knowledge, and will be disseminated to the general 
public;
    (3) Representative of the news media means a request from an 
individual actively gathering news for an entity that is organized and 
operated to publish and broadcast news to the American public and 
pursuant to their news dissemination function and not their commercial 
interests; the term news means information which concerns current 
events, would be of current interest to the general public, would 
enhance the public understanding of the operations or activities of the 
U.S. Government, and is in fact disseminated to a significant element of 
the public at minimal cost; freelance journalists are included in this 
definition if they can demonstrate a solid basis for expecting 
publication through such an organization, even though not actually 
employed by it; a publication contract or prior publication record is 
relevant to such status;
    (4) All other means a request from an individual not within 
paragraph (h)(1), (2), or (3) of this section;
    (i) Freedom of Information Act or ``FOIA'' means the statutes as 
codified at 5 U.S.C. 552;
    (j) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (k) Originator means the U.S. Government official who originated the 
document at issue or successor in office or such official who has been 
delegated release or declassification authority pursuant to law;
    (l) Potential requester means a person, organization, or other 
entity who submits an expression of interest;
    (m) Reasonably described records means a description of a document 
(record) by unique identification number or descriptive terms which 
permit an Agency employee to locate documents with reasonable effort 
given existing indices and finding aids;
    (n) Records or agency records means all documents, irrespective of 
physical or electronic form, made or received by the CIA in pursuance of 
federal law or in connection with the transaction of public business and 
appropriate for preservation by the CIA as evidence of the organization, 
functions, policies, decisions, procedures, operations, or other 
activities of the CIA or because

[[Page 429]]

of the informational value of the data contained therein; it does not 
include:
    (1) Books, newspapers, magazines, journals, magnetic or printed 
transcripts of electronic broadcasts, or similar public sector materials 
acquired generally and/or maintained for library or reference purposes; 
to the extent that such materials are incorporated into any form of 
analysis or otherwise distributed or published by the Agency, they are 
fully subject to the disclosure provisions of the FOIA;
    (2) Index, filing, or museum documents made or acquired and 
preserved solely for reference, indexing, filing, or exhibition 
purposes; and
    (3) Routing and transmittal sheets and notes and filing or 
destruction notes which do not also include information, comment, or 
statements of substance;
    (o) Responsive records means those documents (i.e., records) which 
the Agency has determined to be within the scope of a FOIA request.



Sec. 1900.03  Contact for general information and requests.

    For general information on this part, to inquire about the FOIA 
program at CIA, or to file a FOIA request (or expression of interest), 
please direct your communication in writing to the Information and 
Privacy Coordinator, Central Intelligence Agency, Washington, DC 20505. 
Such inquiries will also be accepted by facsimile at (703) 613-3007. For 
general information or status information on pending cases only, the 
telephone number is (703) 613-1287. Collect calls cannot be accepted.



Sec. 1900.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Freedom of Information Act. Many requesters will 
receive pre-paid, customer satisfaction survey cards. Letters of 
suggestion or complaint should identify the specific purpose and the 
issues for consideration. The Agency will respond to all substantive 
communications and take such actions as determined feasible and 
appropriate.

                         Filing of FOIA Requests



Sec. 1900.11  Preliminary Information.

    Members of the public shall address all communications to the CIA 
Coordinator as specified at 32 CFR 1900.03 and clearly delineate the 
communication as a request under the Freedom of Information Act and this 
regulation. CIA employees receiving a communication in the nature of a 
FOIA request shall expeditiously forward same to the Coordinator. 
Requests and appeals on requests, referrals, or coordinations received 
from members of the public who owe outstanding fees for information 
services at this or other federal agencies will not be accepted and 
action on all pending requests shall be terminated in such 
circumstances.



Sec. 1900.12  Requirements as to form and content.

    (a) Required information. No particular form is required. A request 
need only reasonably describe the records of interest. This means that 
documents must be described sufficiently to enable a professional 
employee familiar with the subject to locate the documents with a 
reasonable effort. Commonly this equates to a requirement that the 
documents must be locatable through the indexing of our various systems. 
Extremely broad or vague requests or requests requiring research do not 
satisfy this requirement.
    (b) Additional information for fee determination. In addition, a 
requester should provide sufficient personal identifying information to 
allow us to determine the appropriate fee category. A requester should 
also provide an agreement to pay all applicable fees or fees not to 
exceed a certain amount or request a fee waiver.
    (c) Otherwise. Communications which do not meet these requirements 
will be considered an expression of interest and the Agency will work 
with, and offer suggestions to, the potential requester in order to 
define a request properly.

[[Page 430]]



Sec. 1900.13  Fees for record services.

    (a) In general. Search, review, and reproduction fees will be 
charged in accordance with the provisions below relating to schedule, 
limitations, and category of requester. Applicable fees will be due even 
if our search locates no responsive records or some or all of the 
responsive records must be denied under one or more of the exemptions of 
the Freedom of Information Act.
    (b) Fee waiver requests. Records will be furnished without charge or 
at a reduced rate whenever the Agency determines:
    (1) That, as a matter of administrative discretion, the interest of 
the United States Government would be served, or
    (2) That it is in the public interest because it is likely to 
contribute significantly to the public understanding of the operations 
or activities of the United States Government and is not primarily in 
the commercial interest of the requester; the Agency shall consider the 
following factors when making this determination:
    (i) Whether the subject of the request concerns the operations or 
activities of the United States Government; and, if so,
    (ii) Whether the disclosure of the requested documents is likely to 
contribute to an understanding of United States Government operations or 
activities; and, if so,
    (iii) Whether the disclosure of the requested documents will 
contribute to public understanding of United States Government 
operations or activities; and, if so,
    (iv) Whether the disclosure of the requested documents is likely to 
contribute significantly to public understanding of United States 
Government operations and activities; and
    (v) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and, if so,
    (vi) Whether the disclosure is primarily in the commercial interest 
of the requester.
    (c) Fee waiver appeals. Denials of requests for fee waivers or 
reductions may be appealed to the Chair of the Agency Release Panel via 
the Coordinator. A requester is encouraged to provide any explanation or 
argument as to how his or her request satisfies the statutory 
requirement set forth above.
    (d) Time for fee waiver requests and appeals. It is suggested that 
such requests and appeals be made and resolved prior to the initiation 
of processing and the incurring of costs. However, fee waiver requests 
will be accepted at any time prior to the release of documents or the 
completion of a case, and fee waiver appeals within forty-five (45) days 
of our initial decision subject to the following condition: If 
processing has been initiated, then the requester must agree to be 
responsible for costs in the event of an adverse administrative or 
judicial decision.
    (e) Agreement to pay fees. In order to protect requesters from large 
and/or unanticipated charges, the Agency will request specific 
commitment when it estimates that fees will exceed $100.00. The Agency 
will hold in abeyance for forty-five (45) days requests requiring such 
agreement and will thereafter deem the request closed. This action, of 
course, would not prevent an individual from refiling his or her FOIA 
request with a fee commitment at a subsequent date.
    (f) Deposits. The Agency may require an advance deposit of up to 100 
percent of the estimated fees when fees may exceed $250.00 and the 
requester has no history of payment, or when, for fees of any amount, 
there is evidence that the requester may not pay the fees which would be 
accrued by processing the request. The Agency will hold in abeyance for 
forty-five (45) days those requests where deposits have been requested.
    (g) Schedule of fees--(1) In general. The schedule of fees for 
services performed in responding to requests for records is established 
as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
                       Personnel Search and Review
------------------------------------------------------------------------
Clerical/Technical...................  Quarter hour...........     $5.00
Professional/Supervisory.............  Quarter hour...........     10.00
Manager/Senior Professional..........  Quarter hour...........     18.00
------------------------------------------------------------------------

[[Page 431]]

 
                     Computer Search and Production
------------------------------------------------------------------------
Search (on-line).....................  Flat rate..............     10.00
Search (off-line)....................  Flat rate..............     30.00
Other activity.......................  Per minute.............     10.00
Tapes (mainframe cassette)...........  Each...................      9.00
Tapes (mainframe cartridge)..........  Each...................      9.00
Tapes (mainframe reel)...............  Each...................     20.00
Tapes (PC 9mm).......................  Each...................     25.00
Diskette (3.5)............  Each...................      4.00
CD (bulk recorded)...................  Each...................     10.00
CD (recordable)......................  Each...................     20.00
Telecommunications...................  Per minute.............       .50
Paper (mainframe printer)............  Per page...............       .10
Paper (PC b&w laser printer).........  Per page...............       .10
Paper (PC color printer).............  Per page...............      1.00
------------------------------------------------------------------------
                            Paper Production
------------------------------------------------------------------------
Photocopy (standard or legal)........  Per page...............       .10
Microfiche...........................  Per frame..............       .20
Pre-printed (if available)...........  Per 100 pages..........      5.00
Published (if available).............  Per item...............      NTIS
------------------------------------------------------------------------

    (2) Application of schedule. Personnel search time includes time 
expended in either manual paper records searches, indices searches, 
review of computer search results for relevance, personal computer 
system searches, and various reproduction services. In any event where 
the actual cost to the Agency of a particular item is less than the 
above schedule (e.g., a large production run of a document resulted in a 
cost less than $5.00 per hundred pages), then the actual lesser cost 
will be charged. Items published and available at the National Technical 
Information Service (NTIS) are also available from CIA pursuant to this 
part at the NTIS price as authorized by statute.
    (3) Other services. For all other types of output, production, or 
reproduction (e.g., photographs, maps, or published reports), actual 
cost or amounts authorized by statute. Determinations of actual cost 
shall include the commercial cost of the media, the personnel time 
expended in making the item to be released, and an allocated cost of the 
equipment used in making the item, or, if the production is effected by 
a commercial service, then that charge shall be deemed the actual cost 
for purposes of this part.
    (h) Limitations on collection of fees--(1) In general. No fees will 
be charged if the cost of collecting the fee is equal to or greater than 
the fee itself. That cost includes the administrative costs to the 
Agency of billing, receiving, recording, and processing the fee for 
deposit to the Treasury Department and, as of the date of these 
regulations, is deemed to be $10.00.
    (2) Requests for personal information. No fees will be charged for 
requesters seeking records about themselves under the FOIA; such 
requests are processed in accordance with both the FOIA and the Privacy 
Act in order to ensure the maximum disclosure without charge.
    (i) Fee categories. There are four categories of FOIA requesters for 
fee purposes: Commercial use requesters, educational and non-commercial 
scientific institution requesters, representatives of the news media 
requesters, and all other requesters. The categories are defined in 
Sec. 1900.02, and applicable fees, which are the same in two of the 
categories, will be assessed as follows:
    (1) Commercial use requesters: Charges which recover the full direct 
costs of searching for, reviewing, and duplicating responsive records 
(if any);
    (2) Educational and non-commercial scientific institution requesters 
as well as ``representatives of the news media'' requesters: Only 
charges for reproduction beyond the first 100 pages;
    (3) All other requesters: Charges which recover the full direct cost 
of searching for and reproducing responsive records (if any) beyond the 
first 100 pages of reproduction and the first two hours of search time 
which will be furnished without charge.
    (j) Associated requests. A requester or associated requesters may 
not file a series of multiple requests, which are merely discrete 
subdivisions of the information actually sought for the purpose of 
avoiding or reducing applicable fees. In such instances, the Agency

[[Page 432]]

may aggregate the requests and charge the applicable fees.



Sec. 1900.14  Fee estimates (pre-request option).

    In order to avoid unanticipated or potentially large fees, a 
requester may submit a request for a fee estimate. The Agency will 
endeavor within ten (10) days to provide an accurate estimate, and, if a 
request is thereafter submitted, the Agency will not accrue or charge 
fees in excess of our estimate without the specific permission of the 
requester. Effective October 2, 1997, the ten (10) day provision is 
modified to twenty (20) days pursuant to the Electronic Freedom of 
Information Act Amendments of 1996.

                       CIA Action on FOIA Requests



Sec. 1900.21  Processing of requests for records.

    (a) In general. Requests meeting the requirements of Secs. 1900.11 
through 1900.13 shall be accepted as formal requests and processed under 
the Freedom of Information Act, 5 U.S.C. 552, and these regulations. 
Upon receipt, the Agency shall within ten (10) days record each request, 
acknowledge receipt to the requester in writing, and thereafter effect 
the necessary taskings to the CIA components reasonably believed to hold 
responsive records. Effective October 2, 1997, the ten (10) day 
provision is modified to twenty (20) days pursuant to the Electronic 
Freedom of Information Act Amendments of 1996.
    (b) Database of ``officially released information.'' As an 
alternative to extensive tasking and as an accommodation to many 
requesters, the Agency maintains a database of ``officially released 
information'' which contains copies of documents released by this 
Agency. Searches of this database, containing currently in excess of 
500,000 pages, can be accomplished expeditiously. Moreover, requests 
that are specific and well-focused will often incur minimal, if any, 
costs. Requesters interested in this means of access should so indicate 
in their correspondence. Effective November 1, 1997 and consistent with 
the mandate of the Electronic Freedom of Information Act Amendments of 
1996, on-the public. Detailed information regarding such access will 
line electronic access to these records will be available to be 
available at that time from the point of contact specified in 
Sec. 1900.03.
    (c) Effect of certain exemptions. In processing a request, the 
Agency shall decline to confirm or deny the existence or nonexistence of 
any responsive records whenever the fact of their existence or 
nonexistence is itself classified under Executive Order 12958 or 
revealing of intelligence sources and methods protected pursuant to 
section 103(c)(5) of the National Security Act of 1947. In such 
circumstances, the Agency, in the form of a final written response, 
shall so inform the requester and advise of his or her right to an 
administrative appeal.
    (d) Time for response. The Agency will utilize every effort to 
determine within the statutory guideline of ten (10) days after receipt 
of an initial request whether to comply with such a request. However, 
the current volume of requests require that the Agency seek additional 
time from a requester pursuant to 32 CFR 1900.33. In such event, the 
Agency will inform the requester in writing and further advise of his or 
her right to file an administrative appeal of any adverse determination. 
Effective October 2, 1997, the ten (10) day provision is modified to 
twenty (20) days pursuant to the Electronic Freedom of Information Act 
Amendments of 1996.



Sec. 1900.22  Action and determination(s) by originator(s) or any interested party.

    (a) Initial action for access. CIA components tasked pursuant to a 
FOIA request shall search all relevant record systems within their 
cognizance which have not been excepted from search by the provisions of 
the CIA Information Act of 1984. They shall:
    (1) Determine whether a record exists;
    (2) Determine whether and to what extent any FOIA exemptions apply;
    (3) Approve the disclosure of all non-exempt records or portions of 
records for which they are the originator; and
    (4) Forward to the Coordinator all records approved for release or 
necessary for coordination with or referral

[[Page 433]]

to another originator or interested party. In making these decisions, 
the CIA component officers shall be guided by the applicable law as well 
as the procedures specified at 32 CFR 1900.31 and 32 CFR 1900.32 
regarding confidential commercial information and personal information 
(about persons other than the requester).
    (b) Referrals and coordinations. As applicable and within ten (10) 
days of receipt by the Coordinator, any CIA records containing 
information originated by other CIA components shall be forwarded to 
those entities for action in accordance with paragraph (a) of this 
section and return. Records originated by other federal agencies or CIA 
records containing other federal agency information shall be forwarded 
to such agencies within ten (10) days of our completion of initial 
action in the case for action under their regulations and direct 
response to the requester (for other agency records) or return to the 
CIA (for CIA records). Effective October 2, 1997, the ten (10) day 
provision is modified to twenty (20) days pursuant to the Electronic 
Freedom of Information Act Amendments of 1996.



Sec. 1900.23  Payment of fees, notification of decision, and right of appeal.

    (a) Fees in general. Fees collected under this part do not accrue to 
the Central Intelligence Agency and shall be deposited immediately to 
the general account of the United States Treasury.
    (b) Notification of decision. Upon completion of all required review 
and the receipt of accrued fees (or promise to pay such fees), the 
Agency will promptly inform the requester in writing of those records or 
portions of records which may be released and which must be denied. With 
respect to the former, the Agency will provide copies; with respect to 
the latter, the Agency shall explain the reasons for the denial, 
identify the person(s) responsible for such decisions by name and title, 
and give notice of a right of administrative appeal.
    (c) Availability of reading room. As an alternative to receiving 
records by mail, a requester may arrange to inspect the records deemed 
releasable at a CIA ``reading room'' in the metropolitan Washington, DC 
area. Access will be granted after applicable and accrued fees have been 
paid. Requests to review or browse documents in our database of 
``officially released records'' will also be honored in this manner to 
the extent that paper copies or electronic copies in unclassified 
computer systems exist. All such requests shall be in writing and 
addressed pursuant to 32 CFR 1900.03. The records will be available at 
such times as mutually agreed but not less than three (3) days from our 
receipt of a request. The requester will be responsible for reproduction 
charges for any copies of records desired.

                    Additional Administrative Matters



Sec. 1900.31  Procedures for business information.

    (a) In general. Business information obtained by the Central 
Intelligence Agency by a submitter shall not be disclosed pursuant to a 
Freedom of Information Act request except in accordance with this 
section. For purposes of this section, the following definitions apply:
    (1) Business information means commercial or financial information 
in which a legal entity has a recognized property interest;
    (2) Confidential commercial information means such business 
information provided to the United States Government by a submitter 
which is reasonably believed to contain information exempt from release 
under exemption (b)(4) of the Freedom of Information Act, 5 U.S.C. 552, 
because disclosure could reasonably be expected to cause substantial 
competitive harm;
    (3) Submitter means any person or entity who provides confidential 
commercial information to the United States Government; it includes, but 
is not limited to, corporations, businesses (however organized), state 
governments, and foreign governments; and
    (b) Designation of confidential commercial information. A submitter 
of business information will use good-faith efforts to designate, by 
appropriate markings, either at the time of submission or at a 
reasonable time thereafter, any portions of its submission that it

[[Page 434]]

considers to be confidential commercial information and hence protected 
from required disclosure pursuant to exemption (b)(4). Such designations 
shall expire ten (10) years after the date of the submission unless the 
submitter requests, and provides justification for, a longer designation 
period.
    (c) Process in event of FOIA request--(1) Notice to submitters. The 
Agency shall provide a submitter with prompt written notice of receipt 
of a Freedom of Information Act request encompassing business 
information whenever:
    (i) The submitter has in good faith designated the information as 
confidential commercial information, or
    (ii) The Agency believes that disclosure of the information could 
reasonably be expected to cause substantial competitive harm, and
    (iii) The information was submitted within the last ten (10) years 
unless the submitter requested and provided acceptable justification for 
a specific notice period of greater duration.
    (2) Form of notice. This notice shall either describe the exact 
nature of the confidential commercial information at issue or provide 
copies of the responsive records containing such information.
    (3) Response by submitter. (i) Within seven (7) days of the above 
notice, all claims of confidentiality by a submitter must be supported 
by a detailed statement of any objection to disclosure. Such statement 
shall:
    (A) Specify that the information has not been disclosed to the 
public;
    (B) Explain why the information is contended to be a trade secret or 
confidential commercial information;
    (C) Explain how the information is capable of competitive damage if 
disclosed;
    (D) State that the submitter will provide the Agency and the 
Department of Justice with such litigation defense as requested; and
    (E) Be certified by an officer authorized to legally bind the 
corporation or similar entity.
    (ii) It should be noted that information provided by a submitter 
pursuant to this provision may itself be subject to disclosure under the 
FOIA.
    (4) Decision and notice of intent to disclose. (i) The Agency shall 
consider carefully a submitter's objections and specific grounds for 
nondisclosure prior to its final determination. If the Agency decides to 
disclose a document over the objection of a submitter, the Agency shall 
provide the submitter a written notice which shall include:
    (A) A statement of the reasons for which the submitter's disclosure 
objections were not sustained;
    (B) A description of the information to be disclosed; and
    (C) A specified disclosure date which is seven (7) days after the 
date of the instant notice.
    (ii) When notice is given to a submitter under this section, the 
Agency shall also notify the requester and, if the Agency notifies a 
submitter that it intends to disclose information, then the requester 
shall be notified also and given the proposed date for disclosure.
    (5) Notice of FOIA lawsuit. If a requester initiates a civil action 
seeking to compel disclosure of information asserted to be within the 
scope of this section, the Agency shall promptly notify the submitter. 
The submitter, as specified above, shall provide such litigation 
assistance as required by the Agency and the Department of Justice.
    (6) Exceptions to notice requirement. The notice requirements of 
this section shall not apply if the Agency determines that:
    (i) The information should not be disclosed in light of other FOIA 
exemptions;
    (ii) The information has been published lawfully or has been 
officially made available to the public;
    (iii) The disclosure of the information is otherwise required by law 
or federal regulation; or
    (iv) The designation made by the submitter under this section 
appears frivolous, except that, in such a case, the Agency will, within 
a reasonable time prior to the specified disclosure date, give the 
submitter written notice of any final decision to disclose the 
information.



Sec. 1900.32  Procedures for information concerning other persons.

    (a) In general. Personal information concerning individuals other 
than the requester shall not be disclosed under the Freedom of 
Information Act if the

[[Page 435]]

proposed release would constitute a clearly unwarranted invasion of 
personal privacy. See 5 U.S.C. 552(b)(6). For purposes of this section, 
the following definitions apply:
    (1) Personal information means any information about an individual 
that is not a matter of public record, or easily discernible to the 
public, or protected from disclosure because of the implications that 
arise from Government possession of such information.
    (2) Public interest means the public interest in understanding the 
operations and activities of the United States Government and not simply 
any matter which might be of general interest to the requester or 
members of the public.
    (b) Determination to be made. In making the required determination 
under this section and pursuant to exemption (b)(6) of the FOIA, the 
Agency will balance the privacy interests that would be compromised by 
disclosure against the public interest in release of the requested 
information.
    (c) Otherwise. A requester seeking information on a third person is 
encouraged to provide a signed affidavit or declaration from the third 
person waiving all or some of their privacy rights. However, all such 
waivers shall be narrowly construed and the Coordinator, in the exercise 
of his discretion and administrative authority, may seek clarification 
from the third party prior to any or all releases.



Sec. 1900.33  Allocation of resources; agreed extensions of time.

    (a) In general. Agency components shall devote such personnel and 
other resources to the responsibilities imposed by the Freedom of 
Information Act as may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director of 
Central Intelligence or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of FOIA responsibilities. Components shall exercise 
due diligence in their responsibilities under the FOIA and must allocate 
a reasonable level of resources to requests under the Act in a strictly 
``first-in, first-out'' basis and utilizing two or more processing 
queues to ensure that smaller as well as larger (i.e., project) cases 
receive equitable attention. The Information and Privacy Coordinator is 
responsible for management of the Agency-wide program defined by this 
part and for establishing priorities for cases consistent with 
established law. The Director, Information Management through the Agency 
Release Panel shall provide policy and resource direction as necessary 
and render decisions on administrative appeals.
    (c) Requests for extension of time. When the Agency is unable to 
meet the statutory time requirements of the FOIA, it will inform the 
requester that the request cannot be processed within the statutory time 
limits, provide an opportunity for the requester to limit the scope of 
the request so that it can be processed within the statutory time 
limits, or arrange with the requester an agreed upon time frame for 
processing the request, or determine that exceptional circumstances 
mandate additional time. In such instances the Agency will, however, 
inform a requester of his or her right to decline our request and 
proceed with an administrative appeal or judicial review as appropriate. 
Effective October 2 1997, the definition of exceptional circumstances is 
modified per section 552(a)(6)(C) of the Freedom of Information Act, as 
amended.



Sec. 1900.34  Requests for expedited processing.

    (a) In general. All requests will be handled in the order received 
on a strictly ``first-in, first-out'' basis. Exceptions to this rule 
will only be made in accordance with the following procedures. In all 
circumstances, however, and consistent with established judicial 
precedent, requests more properly the scope of requests under the 
Federal Rules of Civil or Criminal Procedure (or other federal, state, 
or foreign judicial or quasi-judicial rules) will not be granted 
expedited processing under

[[Page 436]]

this or related (e.g., Privacy Act) provisions unless expressly ordered 
by a federal court of competent jurisdiction.
    (b) Procedure prior to October 2, 1997. Requests for expedited 
processing shall be granted only in circumstances that the Agency deems 
to be exceptional. In making this determination, the Agency shall 
consider and must decide in the affirmative on all of the following 
factors:
    (i) That there is a genuine need for the specific requested records; 
and
    (ii) That the personal need is exceptional; and
    (iii) That there are no alternative forums for the records or 
information sought; and
    (iv) That it is reasonably believed that substantive records 
relevant to the stated needs may exist and be deemed releasable.
    (2) In sum, requests shall be considered for expedited processing 
only when health, humanitarian, or due process considerations involving 
possible deprivation of life or liberty create circumstances of 
exceptional urgency and extraordinary need.
    (c) Procedure on or after October 2, 1997. Requests for expedited 
processing will be approved only when a compelling need is established 
to the satisfaction of the Agency. A requester may make such a request 
with a certification of ``compelling need'' and, within ten (10) days of 
receipt, the Agency will decide whether to grant expedited processing 
and will notify the requester of its decision. The certification shall 
set forth with specificity the relevant facts upon which the requester 
relies and it appears to the Agency that substantive records relevant to 
the stated needs may exist and be deemed releasable. A ``compelling 
need'' is deemed to exist:
    (1) When the matter involves an imminent threat to the life or 
physical safety of an individual; or
    (2) When the request is made by a person primarily engaged in 
disseminating information and the information is relevant to a subject 
of public urgency concerning an actual or alleged Federal government 
activity.

                CIA Action on FOIA Administrative Appeals



Sec. 1900.41  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established by 
the Director of Central Intelligence to facilitate the processing of 
administrative appeals under the Freedom of Information Act. Their 
membership, authority, and rules of procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release.
    (1) Membership. The HRPB is composed of the Executive Director, who 
serves as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees.
    (2) Authorities and activities. The HRPB, by majority vote, may 
delegate to one or more of its members the authority to act on any 
appeal or other matter or authorize the Chair to delegate such 
authority, as long as such delegation is not to the same individual or 
body who made the initial denial. The Executive Secretary of the HRPB is 
the Director, Information Management. The Chair may request interested 
parties to participate when special equities or expertise are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel.
    (1) Membership. The ARP is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information

[[Page 437]]

and Privacy Coordinator; the Chief, Historical Review Group; the Chair, 
Publications Review Board; the Chief, Records Declassification Program; 
and representatives from the Office of General Counsel, the Office of 
Congressional Affairs, and the Public Affairs Staff.
    (2) Authorities and activities. The Panel shall meet on a regular 
schedule and may take action when a simple majority of the total 
membership is present. The Panel shall advise and assist the HRPB on all 
information release issues, monitor the adequacy and timeliness of 
Agency releases, set component search and review priorities, review 
adequacy of resources available to and planning for all Agency release 
programs, and perform such other functions as deemed necessary by the 
Board. The Information and Privacy Coordinator also serves as Executive 
Secretary of the Panel. The Chair may request interested parties to 
participate when special equities or expertise are involved. The Panel, 
functioning as a committee of the whole or through individual members, 
will make final Agency decisions from appeals of initial adverse 
decisions under the Freedom of Information Act and such other 
information release decisions made under 32 CFR parts 1901, 1907, and 
1908. Issues shall be decided by a majority of members present; in all 
cases of a divided vote, any member of the ARP then present may refer 
such matter to the HRPB by written memorandum to the Executive Secretary 
of the HRPB. Matters decided by the Panel or Board will be deemed a 
final decision by the Agency.



Sec. 1900.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for a fee waiver is denied. The Agency will apprise all requesters in 
writing of their right to appeal such decisions to the CIA Agency 
Release Panel through the Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
the Agency's initial decision. The Agency may, for good cause and as a 
matter of administrative discretion, permit an additional thirty (30) 
days for the submission of an appeal. All appeals shall be in writing 
and addressed as specified in 32 CFR 1900.03. All appeals must identify 
the documents or portions of documents at issue with specificity and may 
present such information, data, and argument in support as the requester 
may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or another federal 
agency. In addition, no appeal shall be accepted if the information in 
question has been the subject of a review within the previous two (2) 
years or is the subject of pending litigation in the federal courts.
    (d) Receipt, recording, and tasking. The Agency shall promptly 
record each request received under this part, acknowledge receipt to the 
requester in writing, and thereafter effect the necessary taskings to 
the Deputy Director(s) in charge of the directorate(s) which originated 
or has an interest in the record(s) subject to the appeal. As used 
herein, the term Deputy Director includes an equivalent senior official 
in the DCI-area as well as a designee known as the Information Review 
Officer for a directorate or area.
    (e) Time for response. The Agency shall attempt to complete action 
on an appeal within twenty (20) days of the date of receipt. The current 
volume of requests, however, often requires that the Agency request 
additional time from the requester pursuant to 32 CFR 1900.33. In such 
event, the Agency will inform the requester of the right to judicial 
review.



Sec. 1900.43  Determination(s) by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond

[[Page 438]]

in writing to the Coordinator with a finding as to the exempt status of 
the information. This response shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the parties and consistent with the information rights 
of members of the general public under the various information review 
and release laws.



Sec. 1900.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator, acting in the capacity 
of Executive Secretary of the Agency Release Panel, shall place 
administrative appeals of FOIA requests ready for adjudication on the 
agenda at the next occurring meeting of that Panel. The Executive 
Secretary shall provide a summation memorandum for consideration of the 
members; the complete record of the request consisting of the request, 
the document(s) (sanitized and full text) at issue, and the findings of 
the concerned Deputy Director(s) or designee(s).
    (b) Decision by the Agency Release Panel. The Agency Release Panel 
shall meet and decide requests sitting as a committee of the whole. 
Decisions are by majority vote of those present at a meeting and shall 
be based on the written record and their deliberations; no personal 
appearances shall be permitted without the express permission of the 
Panel.
    (c) Decision by the Historical Records Policy Board. In any cases of 
divided vote by the ARP, any member of that body is authorized to refer 
the request to the CIA Historical Records Policy Board which acts as the 
senior corporate board for the Agency. The record compiled (the request, 
the memoranda filed by the originator and interested parties, and the 
previous decision(s)) as well as any memorandum of law or policy the 
referent desires to be considered, shall be certified by the Executive 
Secretary of the Agency Release Panel and shall constitute the official 
record of the proceedings and must be included in any subsequent 
filings.



Sec. 1900.45  Notification of decision and right of judicial review.

    The Executive Secretary of the Agency Release Panel shall promptly 
prepare and communicate the decision of the Panel or Board to the 
requester. With respect to any decision to deny information, that 
correspondence shall state the reasons for the decision, identify the 
officer responsible, and include a notice of a right to judicial review.



PART 1901--PUBLIC RIGHTS UNDER THE PRIVACY ACT OF 1974--Table of Contents




                                 General

Sec.
1901.01  Authority and purpose.
1901.02  Definitions.
1901.03  Contact for general information and requests.
1901.04  Suggestions and complaints.

                     Filing of Privacy Act Requests

1901.11  Preliminary information.
1901.12  Requirements as to form.
1901.13  Requirements as to identification of requester.
1901.14  Fees.

                     Action on Privacy Act Requests

1901.21  Processing requests for access to or amendment of records.
1901.22  Action and determination(s) by originator(s) or any interested 
          party.
1901.23  Notification of decision and right of appeal.

                    Additional Administrative Matters

1901.31  Special procedures for medical and psychological records.
1901.32  Requests for expedited processing.
1901.33  Allocation of resources; agreed extensions of time.

              Action on Privacy Act Administrative Appeals

1901.41  Establishment of appeals structure.
1901.42  Right of appeal and appeal procedures.
1901.43  Determination(s) by Deputy Director(s).
1901.44  Action by appeals authority.
1901.45  Notification of decision and right of judicial review.

                              Prohibitions

1901.51  Limitations on disclosure.
1901.52  Criminal penalties.

[[Page 439]]

                               Exemptions

1901.61  Purpose and authority.
1901.62  General exemptions.
1901.63  Specific exemptions.

    Authority: National Security Act of 1947, as amended; Central 
Intelligence Agency Act of 1949, as amended; Privacy Act, as amended; 
and Executive Order 12958 (or successor Orders).

    Source: 62 FR 32488, June 16, 1997, unless otherwise noted.

                                 General



Sec. 1901.01  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement the Privacy Act of 1974 (5 U.S.C. 552a); sec. 102 of 
the National Security Act of 1947, as amended (50 U.S.C. 403); and sec. 
6 of the Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 
403g).
    (b) Purpose in general. This part prescribes procedures for a 
requester, as defined herein:
    (1) To request notification of whether the Central Intelligence 
Agency maintains a record concerning them in any non-exempt portion of a 
system of records or any non-exempt system of records;
    (2) To request a copy of all non-exempt records or portions of 
records;
    (3) To request that any such record be amended or augmented; and
    (4) To file an administrative appeal to any initial adverse 
determination to deny access to or amend a record.
    (c) Other purposes. This part also sets forth detailed limitations 
on how and to whom the Agency may disclose personal information and 
gives notice that certain actions by officers or employees of the United 
States Government or members of the public could constitute criminal 
offenses.



Sec. 1901.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the Privacy Act;
    (e) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (f) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (g) Maintain means maintain, collect, use, or disseminate;
    (h) Originator means the U.S. Government official who originated the 
document at issue or successor in office or such official who has been 
delegated release or declassification authority pursuant to law;
    (i) Privacy Act or PA means the statute as codified at 5 U.S.C. 
552a;
    (j) Record means an item, collection, or grouping of information 
about an individual that is maintained by the Central Intelligence 
Agency in a system of records;
    (k) Requester or individual means a citizen of the United States or 
an alien lawfully admitted for permanent residence who is a living being 
and to whom a record might pertain;
    (l) Responsive record means those documents (records) which the 
Agency has determined to be within the scope of a Privacy Act request;
    (m) Routine use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which the record is maintained;
    (n) System of records means a group of any records under the control 
of the

[[Page 440]]

Central Intelligence Agency from which records are retrieved by the name 
of an individual or by some identifying number, symbol, or other 
identifying particular assigned to that individual.



Sec. 1901.03  Contact for general information and requests.

    For general information on this part, to inquire about the Privacy 
Act program at CIA, or to file a Privacy Act request, please direct your 
communication in writing to the Information and Privacy Coordinator, 
Central Intelligence Agency, Washington, DC. 20505. Requests with the 
required identification statement pursuant to 32 CFR 1901.13 must be 
filed in original form by mail. Subsequent communications and any 
inquiries will be accepted by mail or facsimile at (703) 613-3007 or by 
telephone at (703) 613-1287. Collect calls cannot be accepted.



Sec. 1901.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Privacy Act. Many requesters will receive pre-
paid, customer satisfaction survey cards. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive communications 
and take such actions as determined feasible and appropriate.

                     Filing of Privacy Act Requests



Sec. 1901.11  Preliminary information.

    Members of the public shall address all communications to the 
contact specified at Sec. 1901.03 and clearly delineate the 
communication as a request under the Privacy Act and this regulation. 
Requests and administrative appeals on requests, referrals, and 
coordinations received from members of the public who owe outstanding 
fees for information services at this or other federal agencies will not 
be accepted and action on existing requests and appeals will be 
terminated in such circumstances.



Sec. 1901.12  Requirements as to form.

    (a) In general. No particular form is required. All requests must 
contain the identification information required at Sec. 1901.13.
    (b) For access. For requests seeking access, a requester should, to 
the extent possible, describe the nature of the record sought and the 
record system(s) in which it is thought to be included. Requesters may 
find assistance from information described in the Privacy Act Issuances 
Compilation which is published biannually by the Federal Register. In 
lieu of this, a requester may simply describe why and under what 
circumstances it is believed that this Agency maintains responsive 
records; the Agency will undertake the appropriate searches.
    (c) For amendment. For requests seeking amendment, a requester 
should identify the particular record or portion subject to the request, 
state a justification for such amendment, and provide the desired 
amending language.



Sec. 1901.13  Requirements as to identification of requester.

    (a) In general. Individuals seeking access to or amendment of 
records concerning themselves shall provide their full (legal) name, 
address, date and place of birth, and current citizenship status 
together with a statement that such information is true under penalty of 
perjury or a notarized statement swearing to or affirming identity. If 
the Agency determines that this information is not sufficient, the 
Agency may request additional or clarifying information.
    (b) Requirement for aliens. Only aliens lawfully admitted for 
permanent residence (PRAs) may file a request pursuant to the Privacy 
Act and this part. Such individuals shall provide, in addition to the 
information required under paragraph (a) of this section, their Alien 
Registration Number and the date that status was acquired.
    (c) Requirement for representatives. The parent or guardian of a 
minor individual, the guardian of an individual under judicial 
disability, or an attorney retained to represent an individual shall 
provide, in addition to establishing the identity of the minor or 
individual represented as required in

[[Page 441]]

paragraph (a) or (b) of this section, evidence of such representation by 
submission of a certified copy of the minor's birth certificate, court 
order, or representational agreement which establishes the relationship 
and the requester's identity.
    (d) Procedure otherwise. If a requester or representative fails to 
provide the information in paragraph (a), (b), or (c) of this section 
within forty-five (45) days of the date of our request, the Agency will 
deem the request closed. This action, of course, would not prevent an 
individual from refiling his or her Privacy Act request at a subsequent 
date with the required information.



Sec. 1901.14  Fees.

    No fees will be charged for any action under the authority of the 
Privacy Act, 5 U.S.C. 552a, irrespective of the fact that a request is 
or may be processed under the authority of both the Privacy Act and the 
Freedom of Information Act.

                     Action on Privacy Act Requests



Sec. 1901.21  Processing requests for access to or amendment of records.

    (a) In general. Requests meeting the requirements of 32 CFR 1901.11 
through 1901.13 shall be processed under both the Freedom of Information 
Act, 5 U.S.C. 552, and the Privacy Act, 5 U.S.C. 552a, and the 
applicable regulations, unless the requester demands otherwise in 
writing. Such requests will be processed under both Acts regardless of 
whether the requester cites one Act in the request, both, or neither. 
This action is taken in order to ensure the maximum possible disclosure 
to the requester.
    (b) Receipt, recording and tasking. Upon receipt of a request 
meeting the requirements of Secs. 1901.11 through 1901.13, the Agency 
shall within ten (10) days record each request, acknowledge receipt to 
the requester, and thereafter effect the necessary taskings to the 
components reasonably believed to hold responsive records.
    (c) Effect of certain exemptions. In processing a request, the 
Agency shall decline to confirm or deny the existence or nonexistence of 
any responsive records whenever the fact of their existence or 
nonexistence is itself classified under Executive Order 12958 or 
revealing of intelligence sources and methods protected pursuant to 
section 103(c)(5) of the National Security Act of 1947. In such 
circumstances, the Agency, in the form of a final written response, 
shall so inform the requester and advise of his or her right to an 
administrative appeal.
    (d) Time for response. Although the Privacy Act does not mandate a 
time for response, our joint treatment of requests under both the 
Privacy Act and the FOIA means that the Agency should provide a response 
within the FOIA statutory guideline of ten (10) days on initial requests 
and twenty (20) days on administrative appeals. However, the current 
volume of requests require that the Agency often seek additional time 
from a requester pursuant to 32 CFR 1901.33. In such event, the Agency 
will inform the requester in writing and further advise of his or her 
right to file an administrative appeal.



Sec. 1901.22  Action and determination(s) by originator(s) or any interested party.

    (a) Initial action for access. CIA components tasked pursuant to a 
Privacy Act access request shall search all relevant record systems 
within their cognizance. They shall:
    (1) Determine whether responsive records exist;
    (2) Determine whether access must be denied in whole or part and on 
what legal basis under both Acts in each such case;
    (3) Approve the disclosure of records for which they are the 
originator; and
    (4) Forward to the Coordinator all records approved for release or 
necessary for coordination with or referral to another originator or 
interested party as well as the specific determinations with respect to 
denials (if any).
    (b) Initial action for amendment. CIA components tasked pursuant to 
a Privacy Act amendment request shall review the official records 
alleged to be inaccurate and the proposed amendment submitted by the 
requester. If they determine that the Agency's records are not accurate, 
relevant,

[[Page 442]]

timely or complete, they shall promptly:
    (1) Make the amendment as requested;
    (2) Write to all other identified persons or agencies to whom the 
record has been disclosed (if an accounting of the disclosure was made) 
and inform of the amendment; and
    (3) Inform the Coordinator of such decisions.
    (c) Action otherwise on amendment request. If the CIA component 
records manager declines to make the requested amendment or declines to 
make the requested amendment but agrees to augment the official records, 
that manager shall promptly:
    (1) Set forth the reasons for refusal; and
    (2) Inform the Coordinator of such decision and the reasons 
therefore.
    (d) Referrals and coordinations. As applicable and within ten (10) 
days of receipt by the Coordinator, any CIA records containing 
information originated by other CIA components shall be forwarded to 
those entities for action in accordance with paragraphs (a), (b), or (c) 
of this section and return. Records originated by other federal agencies 
or CIA records containing other federal agency information shall be 
forwarded to such agencies within ten (10) days of our completion of 
initial action in the case for action under their regulations and direct 
response to the requester (for other agency records) or return to the 
CIA (for CIA records).
    (e) Effect of certain exemptions. This section shall not be 
construed to allow access to systems of records exempted by the Director 
of Central Intelligence pursuant to subsections (j) and (k) of the 
Privacy Act or where those exemptions require that the CIA can neither 
confirm nor deny the existence or nonexistence of responsive records.



Sec. 1901.23  Notification of decision and right of appeal.

    Within ten (10) days of receipt of responses to all initial taskings 
and subsequent coordinations (if any), and dispatch of referrals (if 
any), the Agency will provide disclosable records to the requester. If a 
determination has been made not to provide access to requested records 
(in light of specific exemptions) or that no records are found, the 
Agency shall so inform the requester, identify the denying official, and 
advise of the right to administrative appeal.

                    Additional Administrative Matters



Sec. 1901.31  Special procedures for medical and psychological records.

    (a) In general. When a request for access or amendment involves 
medical or psychological records and when the originator determines that 
such records are not exempt from disclosure, the Agency will, after 
consultation with the Director of Medical Services, determine:
    (1) Which records may be sent directly to the requester and
    (2) Which records should not be sent directly to the requester 
because of possible medical or psychological harm to the requester or 
another person.
    (b) Procedure for records to be sent to physician. In the event that 
the Agency determines, in accordance with paragraph (a)(2) of this 
section, that records should not be sent directly to the requester, the 
Agency will notify the requester in writing and advise that the records 
at issue can be made available only to a physician of the requester's 
designation. Upon receipt of such designation, verification of the 
identity of the physician, and agreement by the physician:
    (1) To review the documents with the requesting individual,
    (2) To explain the meaning of the documents, and
    (3) To offer counseling designed to temper any adverse reaction, the 
Agency will forward such records to the designated physician.
    (c) Procedure if physician option not available. If within sixty 
(60) days of the paragraph (a)(2) of this section, the requester has 
failed to respond or designate a physician, or the physician fails to 
agree to the release conditions, the Agency will hold the documents in 
abeyance and advise the requester that

[[Page 443]]

this action may be construed as a technical denial. The Agency will also 
advise the requester of the responsible official and of his or her 
rights to administrative appeal and thereafter judicial review.



Sec. 1901.32  Requests for expedited processing.

    (a) All requests will be handled in the order received on a strictly 
``first-in, first-out'' basis. Exceptions to this rule will only be made 
in circumstances that the Agency deems to be exceptional. In making this 
determination, the Agency shall consider and must decide in the 
affirmative on all of the following factors:
    (1) That there is a genuine need for the records; and
    (2) That the personal need is exceptional; and
    (3) That there are no alternative forums for the records sought; and
    (4) That it is reasonably believed that substantive records relevant 
to the stated needs may exist and be deemed releasable.
    (b) In sum, requests shall be considered for expedited processing 
only when health, humanitarian, or due process considerations involving 
possible deprivation of life or liberty create circumstances of 
exceptional urgency and extraordinary need. In accordance with 
established judicial precedent, requests more properly the scope of 
requests under the Federal Rules of Civil or Criminal Procedure (or 
equivalent state rules) will not be granted expedited processing under 
this or related (e.g., Freedom of Information Act) provisions unless 
expressly ordered by a federal court of competent jurisdiction.



Sec. 1901.33  Allocation of resources; agreed extensions of time.

    (a) In general. Agency components shall devote such personnel and 
other resources to the responsibilities imposed by the Privacy Act as 
may be appropriate and reasonable considering:
    (1) The totality of resources available to the component,
    (2) The business demands imposed on the component by the Director of 
Central Intelligence or otherwise by law,
    (3) The information review and release demands imposed by the 
Congress or other governmental authority, and
    (4) The rights of all members of the public under the various 
information review and disclosure laws.
    (b) Discharge of Privacy Act responsibilities. Components shall 
exercise due diligence in their responsibilities under the Privacy Act 
and must allocate a reasonable level of resources to requests under the 
Act in a strictly ``first-in, first-out'' basis and utilizing two or 
more processing queues to ensure that smaller as well as larger (i.e., 
project) cases receive equitable attention. The Information and Privacy 
Coordinator is responsible for management of the Agency-wide program 
defined by this Part and for establishing priorities for cases 
consistent with established law. The Director, Information Management 
through the Agency Release Panel shall provide policy and resource 
direction as necessary and shall make determinations on administrative 
appeals.
    (c) Requests for extension of time. While the Privacy Act does not 
specify time requirements, our joint treatment of requests under the 
FOIA means that when the Agency is unable to meet the statutory time 
requirements of the FOIA, the Agency may request additional time from a 
requester. In such instances the Agency will inform a requester of his 
or her right to decline our request and proceed with an administrative 
appeal or judicial review as appropriate.

              Action on Privacy Act Administrative Appeals



Sec. 1901.41  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established by 
the Director of Central Intelligence to facilitate the processing of 
administrative appeals under the Freedom of Information Act. Their 
membership, authority, and rules of procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release.

[[Page 444]]

    (1) Membership. The HRPB is composed of the Executive Director, who 
serves as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees.
    (2) Authorities and activities. The HRPB, by majority vote, may 
delegate to one or more of its members the authority to act on any 
appeal or other matter or authorize the Chair to delegate such 
authority, as long as such delegation is not to the same individual or 
body who made the initial denial. The Executive Secretary of the HRPB is 
the Director, Information Management. The Chair may request interested 
parties to participate when special equities or expertise are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel.
    (1) Membership. The ARP is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information and Privacy Coordinator; the Chief, Historical 
Review Group; the Chair, Publications Review Board; the Chief, Records 
Declassification Program; and representatives from the Office of General 
Counsel, the Office of Congressional Affairs, and the Public Affairs 
Staff.
    (2) Authorities and activities. The Panel shall meet on a regular 
schedule and may take action when a simple majority of the total 
membership is present. The Panel shall advise and assist the HRPB on all 
information release issues, monitor the adequacy and timeliness of 
Agency releases, set component search and review priorities, review 
adequacy of resources available to and planning for all Agency release 
programs, and perform such other functions as deemed necessary by the 
Board. The Information and Privacy Coordinator also serves as Executive 
Secretary of the Panel. The Chair may request interested parties to 
participate when special equities or expertise are involved. The Panel, 
functioning as a committee of the whole or through individual members, 
will make final Agency decisions from appeals of initial adverse 
decisions under the Freedom of Information Act and such other 
information release decisions made under 32 CFR parts 1901, 1907, and 
1908. Issues shall be decided by a majority of members present; in all 
cases of a divided vote, any member of the ARP then present may refer 
such matter to the HRPB by written memorandum to the Executive Secretary 
of the HRPB. Matters decided by the Panel or Board will be deemed a 
final decision by the Agency.



Sec. 1901.42  Right of appeal and appeal procedures.

    (a) Right of Appeal. A right of administrative appeal exists 
whenever access to any requested record or any portion thereof is 
denied, no records are located in response to a request, or a request 
for amendment is denied. The Agency will apprise all requesters in 
writing of their right to appeal such decisions to the CIA Agency 
Release Panel through the Coordinator.
    (b) Requirements as to time and form. Appeals of decisions must be 
received by the Coordinator within forty-five (45) days of the date of 
the Agency's initial decision. The Agency may, for good cause and as a 
matter of administrative discretion, permit an additional thirty (30) 
days for the submission of an appeal. All appeals to the Panel shall be 
in writing and addressed as specified in 32 CFR 1901.03. All appeals 
must identify the documents or portions of documents at issue with 
specificity, provide the desired amending language (if applicable), and 
may present such information, data, and argument in support as the 
requester may desire.
    (c) Exceptions. No appeal shall be accepted if the requester has 
outstanding fees for information services at this or

[[Page 445]]

another federal agency. In addition, no appeal shall be accepted if the 
information in question has been the subject of an administrative review 
within the previous two (2) years or is the subject of pending 
litigation in the federal courts.
    (d) Receipt, recording, and tasking. The Agency shall promptly 
record each administrative appeal, acknowledge receipt to the requester 
in writing, and thereafter effect the necessary taskings to the Deputy 
Director(s) in charge of the directorate(s) which originated or has an 
interest in the record(s) subject to the appeal. As used herein, the 
term Deputy Director includes an equivalent senior official within the 
DCI-area as well as a designee known as the Information Review Officer 
for a directorate or area.



Sec. 1901.43  Determination(s) by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the exempt or non-exempt status of the 
information including citations to the applicable exemption and/or their 
agreement or disagreement as to the requested amendment and the reasons 
therefore. Each response shall be provided expeditiously on a ``first-
in, first-out'' basis taking into account the business requirements of 
the parties and consistent with the information rights of members of the 
general public under the various information review and release laws.



Sec. 1901.44  Action by appeals authority.

    (a) Preparation of docket. The Coordinator, acting as the Executive 
Secretary of the Agency Release Panel, shall place administrative 
appeals of Privacy Act requests ready for adjudication on the agenda at 
the next occurring meeting of that Panel. The Executive Secretary shall 
provide a summation memorandum for consideration of the members; the 
complete record of the request consisting of the request, the 
document(s) (sanitized and full text) at issue, and the findings of the 
concerned Deputy Director(s) or designee(s).
    (b) Decision by the Agency Release Panel. The Agency Release Panel 
shall meet and decide requests sitting as a committee of the whole. 
Decisions are by majority vote of those present at a meeting and shall 
be based on the written record and their deliberations; no personal 
appearances shall be permitted without the express permission of the 
Panel.
    (c) Decision by the Historical Records Policy Board. In any cases of 
divided vote by the ARP, any member of that body is authorized to refer 
the request to the CIA Historical Records Policy Board which acts as the 
senior corporate board for the Agency. The record compiled (the request, 
the memoranda filed by the originator and interested parties, and the 
previous decision(s)) as well as any memorandum of law or policy the 
referent desires to be considered, shall be certified by the Executive 
Secretary of the Agency Release Panel and shall constitute the official 
record of the proceedings and must be included in any subsequent 
filings.



Sec. 1901.45  Notification of decision and right of judicial review.

    (a) In general. The Executive Secretary of the Agency Release Panel 
shall promptly prepare and communicate the decision of the Panel or 
Board to the requester. With respect to any decision to deny information 
or deny amendment, that correspondence shall state the reasons for the 
decision, identify the officer responsible, and include a notice of the 
right to judicial review.
    (b) For amendment requests. With further respect to any decision to 
deny an amendment, that correspondence shall also inform the requester 
of the right to submit within forty-five (45) days a statement of his or 
her choice which shall be included in the official records of the CIA. 
In such cases, the applicable record system manager shall clearly note 
any portion of the official record which is disputed, append the

[[Page 446]]

requester's statement, and provide copies of the statement to previous 
recipients (if any are known) and to any future recipients when and if 
the disputed information is disseminated in accordance with a routine 
use.

                              Prohibitions



Sec. 1901.51  Limitations on disclosure.

    No record which is within a system of records shall be disclosed by 
any means of communication to any individual or to another agency, 
except pursuant to a written request by, or with the prior written 
consent of, the individual to whom the record pertains, unless 
disclosure of the record would be:
    (a) To those officers and employees of this Agency which maintains 
the record who have a need for the record in the performance of their 
duties;
    (b) Required under the Freedom of Information Act, 5 U.S.C. 552;
    (c) For a routine use as defined in Sec. 1901.02(m), as contained in 
the Privacy Act Issuances Compilation which is published biennially in 
the Federal Register, and as described in Secs. (a)(7) and (e)(4)(D) of 
the Act;
    (d) To the Bureau of the Census for purposes of planning or carrying 
out a census or survey or related activity pursuant to the provisions of 
U.S.C. Title 13;
    (e) To a recipient who has provided the Agency 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;
    (f) To the National Archives and Records Administration as a record 
which has sufficient historical or other value to warrant its continued 
preservation by the United States Government, or for evaluation by the 
Archivist of the United States or designee to determine whether the 
record has such value;
    (g) 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 that agency or instrumentality has made a 
written request to the CIA specifying the particular information desired 
and the law enforcement activity for which the record is sought;
    (h) To a person pursuant to a showing of compelling circumstances 
affecting the health or safety of an individual if upon such disclosure 
notification is transmitted to the last known address of such 
individual;
    (i) To either House of Congress, or, to the extent of matter within 
its jurisdiction, any committee or subcommittee thereof, any joint 
committee of Congress or subcommittee of any such joint committee;
    (j) To the Comptroller General or any of his authorized 
representatives in the course of the performance of the duties of the 
General Accounting Office; or
    (k) To any agency, government instrumentality, or other person or 
entity pursuant to the order of a court of competent jurisdiction of the 
United States or constituent states.



Sec. 1901.52  Criminal penalties.

    (a) Unauthorized disclosure. Criminal penalties may be imposed 
against any officer or employee of the CIA who, by virtue of employment, 
has possession of or access to Agency records which contain information 
identifiable with an individual, the disclosure of which is prohibited 
by the Privacy Act or by these rules, and who, knowing that disclosure 
of the specific material is so prohibited, willfully discloses the 
material in any manner to any person or agency not entitled to receive 
same.
    (b) Unauthorized maintenance. Criminal penalties may be imposed 
against any officer or employee of the CIA who willfully maintains a 
system of records without meeting the requirements of section (e)(4) of 
the Privacy Act, 5 U.S.C.552a. The Coordinator and the Inspector General 
are authorized independently to conduct such surveys and inspect such 
records as necessary from time to time to ensure that these requirements 
are met.
    (c) Unauthorized requests. Criminal penalties may be imposed upon 
any person who knowingly and willfully requests or obtains any record 
concerning an individual from the CIA under false pretenses.

[[Page 447]]

                               Exemptions



Sec. 1901.61  Purpose and authority.

    Purpose of exemptions. This Part sets forth those systems of records 
or portions of systems of records which the Director of Central 
Intelligence has determined to exempt from the procedures established by 
this regulation and from certain provisions of the Privacy Act:
    (a) The purpose of the following specified general exemption of 
polygraph records is to prevent access and review of records which 
intimately reveal CIA operational methods. The purpose of the general 
exemption from the provisions of sections (c)(3) and (e)(3) (A)-(D) of 
the Privacy Act is to avoid disclosures that may adversely affect 
ongoing operational relationships with other intelligence and related 
organizations and thus reveal or jeopardize intelligence sources and 
methods or risk exposure of intelligence sources and methods in the 
processing of covert employment applications.
    (b) The purpose of the general exemption from sections (d), 
(e)(4)(G), (f)(1), and (g) of the Privacy Act is to protect only those 
portions of systems of records which if revealed would risk exposure of 
intelligence sources and methods or hamper the ability of the CIA to 
effectively use information received from other agencies or foreign 
governments.
    (c) It should be noted that by subjecting information which would 
consist of, reveal, or pertain to intelligence sources and methods to 
separate determinations by the Director of Central Intelligence under 
the provision entitled ``General exemptions,'' 32 CFR 1901.62 regarding 
access and notice, an intent is established to apply the exemption from 
access and notice only in those cases where notice in itself would 
constitute a revelation of intelligence sources and methods; in all 
cases where only access to information would reveal such source or 
method, notice will be given upon request.
    (d) The purpose of the general exemption for records that consist 
of, pertain to, or would otherwise reveal the identities of employees 
who provide information to the Office of the Inspector General is to 
implement section 17 of the CIA Act of 1949, as amended, 50 U.S.C. 
403q(e)(3), and to ensure that no action constituting a reprisal or 
threat of reprisal is taken because an employee has cooperated with the 
Office of Inspector General.
    (e) The purpose of the specific exemptions provided for under 
section (k) of the Privacy Act is to exempt only those portions of 
systems of records which would consist of, reveal, or pertain to that 
information which is enumerated in that section of the Act.
    (f) In each case, the Director of Central Intelligence currently or 
then in office has determined that the enumerated classes of information 
should be exempt in order to comply with dealing with the proper 
classification of national defense or foreign policy information; 
protect the identification of persons who provide information to the CIA 
Inspector General; protect the privacy of other persons who supplied 
information under an implied or express grant of confidentiality in the 
case of law enforcement or employment and security suitability 
investigations (or promotion material in the case of the armed 
services); protect information used in connection with protective 
services under 18 U.S.C. 3056; protect the efficacy of testing 
materials; and protect information which is required by statute to be 
maintained and used solely as statistical records.



Sec. 1901.62  General exemptions.

    (a) Pursuant to authority granted in section (j) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from all 
sections of the Act--except sections 552a(b); (c) (1) and (2); (e) (1), 
(4) (A)-(F), (5), (6), (7), (9), (10), and (11); and (i)--the following 
systems of records or portions of records in a system of record:
    (1) Polygraph records.
    (2) [Reserved]
    (b) Pursuant to authority granted in section (j) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from 
sections (c)(3) and (e)(3) (A)-(D) of the Act all systems of records 
maintained by this Agency.
    (c) Pursuant to authority granted in section (j) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from 
notification

[[Page 448]]

under sections (e)(4)(G) and (f)(1) those portions of each and all 
systems of records which have been exempted from individual access under 
section (j) in those cases where the Coordinator determines after advice 
by the responsible components that confirmation of the existence of a 
record may jeopardize intelligence sources and methods. In such cases 
the Agency must neither confirm nor deny the existence of the record and 
will advise a requester that there is no record which is available 
pursuant to the Privacy Act of 1974.
    (d) Pursuant to authority granted in section (j) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from 
access by individuals under section (d) of the Act those portions and 
only those portions of all systems of records maintained by the CIA 
that:
    (1) Consist of, pertain to, or would otherwise reveal intelligence 
sources and methods;
    (2) Consist of documents or information provided by any foreign 
government entity, international organization, or, any United States 
federal, state, or other public agency or authority; and
    (3) Consist of information which would reveal the identification of 
persons who provide information to the CIA Inspector General.
    (e) Pursuant to authority granted in section (j) of the Privacy Act, 
the Director of Central Intelligence has determined to exempt from 
judicial review under section (g) of the Act all determinations to deny 
access under section (d) of the Act and all decisions to deny notice 
under sections (e)(4)(G) and (f)(1) of the Act pursuant to determination 
made under paragraph (c) of this section when it has been determined by 
an appropriate official of the CIA that such access would disclose 
information which would:
    (1) Consist of, pertain to, or otherwise reveal intelligence sources 
and methods;
    (2) Consist of documents or information provided by any foreign 
government entity, international organization, or, any United States 
federal, state, or other public agency or authority; and
    (3) Consist of information which would reveal the identification of 
persons who provide information to the CIA Inspector General.



Sec. 1901.63  Specific exemptions.

    Pursuant to authority granted in section (k) of the Privacy Act, the 
Director of Central Intelligence has determined to exempt from section 
(d) of the Privacy Act those portions and only those portions of all 
systems of records maintained by the CIA that would consist of, pertain 
to, or otherwise reveal information that is:
    (a) Classified pursuant to Executive Order 12958 (or successor or 
prior Order) and thus subject to the provisions of 5 U.S.C. 552(b)(1) 
and 5 U.S.C. 552a(k)(1);
    (b) Investigatory in nature and compiled for law enforcement 
purposes, other than material within the scope of section (j)(2) of the 
Act; provided however, that if an individual is denied any right, 
privilege, or benefit to which they are otherwise eligible, as a result 
of the maintenance of such material, then such material shall be 
provided to that individual except to the extent that the disclosure 
would reveal the identity of a source who furnished the information to 
the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;
    (c) Maintained in connection with providing protective services to 
the President of the United States or other individuals pursuant to 18 
U.S.C. 3056;
    (d) Required by statute to be maintained and used solely as 
statistical records;
    (e) Investigatory in nature and compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for federal 
civilian employment, military service, federal contracts, or access to 
classified information, but only to the extent that the disclosure of 
such material would reveal the identity of a source who furnished 
information to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality;

[[Page 449]]

    (f) Testing or examination material used solely to determine 
individual qualifications for appointment or promotion in the federal 
service the disclosure of which would compromise the objectivity or 
fairness of the testing or examination process; or
    (g) Evaluation material used to determine potential for promotion in 
the armed services, but only to the extent that the disclosure of such 
material would reveal the identity of a source who furnished information 
to the United States Government under an express promise of 
confidentiality, or, prior to the effective date of this section, under 
an implied promise of confidentiality.



PART 1902--INFORMATION SECURITY REGULATIONS--Table of Contents




Subparts A-E [Reserved]



               Subpart F--Declassification and Downgrading

    Authority: Sec. 5-402 of Executive Order 12065.



Sec. 1902.13  Declassification and downgrading policy.

    (a)-(b) [Reserved]
    (c) The Executive Order provides that in some cases the need to 
protect properly classified information ``may be outweighed by the 
public interest in disclosure of the information,'' and that ``when such 
questions arise'' the competing interests in protection and disclosure 
are to be balanced. The Order further provides that the information is 
to be declassified in such cases if the balance is struck in favor of 
disclosure. The drafters of the Order recognized that such cases would 
be rare and that declassification decisions in such cases would remain 
the responsibility of the Executive Branch. For purposes of these 
provisions, a question as to whether the public interest favoring the 
continued protection of properly classified information is outweighed by 
a public interest in the disclosure of that information will be deemed 
to exist only in circumstances where, in the judgment of the agency, 
nondisclosure could reasonably be expected to:
    (1) Place a person's life in jeopardy.
    (2) Adversely affect the public health and safety.
    (3) Impede legitimate law enforcement functions.
    (4) Impede the investigative or oversight functions of the Congress.
    (5) Obstruct the fair administration of justice.
    (6) Deprive the public of information indispensable to public 
decisions on issues of critical national importance (effective for 
declassification reviews conducted on or after 1 February 1980).
    (d) When a case arises that requires a balancing of interests under 
paragraph (c) above, the reviewing official shall refer the matter to an 
Agency official having Top Secret classification authority, who shall 
balance. If it appears that the public interest in disclosure of the 
information may outweigh any continuing need for its protection, the 
case shall be referred with a recommendation for decision to the 
appropriate Deputy Director or Head of Independent Office. If those 
officials believe disclosure may be warranted, they, in coordination 
with OGC, as appropriate, shall refer the matter and a recommendation to 
the DDCI. If the DDCI determines that the public interest in disclosure 
of the information outweighs any damage to national security that might 
reasonably be expected to result from disclosure, the information shall 
be declassified.

[45 FR 64175, Sept. 29, 1980]



PART 1903--CONDUCT ON AGENCY INSTALLATIONS--Table of Contents




Sec.
1903.1  Definitions.
1903.2  Applicability.
1903.3  State law applicable.
1903.4  Vehicles and traffic safety.
1903.5  Enforcement of parking regulations.
1903.6  Admission on to an Agency installation.
1903.7  Trespassing.
1903.8  Interfering with Agency functions.
1903.9  Explosives.
1903.10  Weapons.
1903.11  Restrictions on photographic, transmitting, and recording 
          equipment.
1903.12  Alcoholic beverages and controlled substances.

[[Page 450]]

1903.13  Intoxicated on an Agency installation.
1903.14  Disorderly conduct.
1903.15  Preservation of property.
1903.16  Restrictions on animals.
1903.17  Soliciting, vending, and debt collection.
1903.18  Distribution of materials.
1903.19  Gambling.
1903.20  Penalties and effects on other laws.

    Authority: 50 U.S.C. 403o.

    Source: 63 FR 44786, Aug. 21, 1998, unless otherwise noted.



Sec. 1903.1  Definitions.

    As used in this part:
    Agency installation. For the purposes of this part, the term Agency 
installation means the property within the Agency Headquarters Compound 
and the property controlled and occupied by the Federal Highway 
Administration located immediately adjacent to such Compound, and 
property within any other Agency installation and protected property 
(i.e., property owned, leased, or otherwise controlled by the Central 
Intelligence Agency).
    Authorized person. An officer of the Security Protective Service, or 
any other Central Intelligence Agency employee who has been authorized 
by the Director of Central Intelligence pursuant to section 15 of the 
Central Intelligence Agency Act of 1949 to enforce the provisions of 
this part.
    Blasting agents. The term is defined for the purposes of this part 
as it is defined in Title 18 U.S.C. 841.
    Controlled Substance. Any drug or other substance, or immediate 
precursor that has been defined as a controlled substance in the 
Controlled Substances Act (Title 21 U.S.C. 801 et seq.).
    Explosives/Explosive Materials. The term is defined for the purposes 
of this part as it is defined in Title 18 U.S.C. 841.
    Operator. A person who operates, drives, controls, or otherwise has 
charge of, or is in actual physical control of a mechanical mode of 
transportation or any other mechanical equipment.
    Permit. A written authorization to engage in uses or activities that 
are otherwise prohibited, restricted, or regulated.
    Possession. Exercising direct physical control or dominion, with or 
without ownership, over the property.
    State law. The applicable and non-conflicting laws, statutes, 
regulations, ordinances, and codes of the State(s) and other political 
subdivision(s) within whose exterior boundaries an Agency installation 
or a portion thereof is located.
    Traffic. Pedestrians, ridden or herded animals, vehicles, and other 
conveyances, either singly or together, while using any road, path, 
street, or other thoroughfare for the purpose of travel.
    Vehicles. Any vehicle that is self-propelled or designed for self-
propulsion, any motorized vehicle, and any vehicle drawn by or designed 
to be drawn by a motor vehicle, including any device in, upon, or by 
which any person or property is or can be transported or drawn upon a 
roadway, highway, hallway, or pathway; to include any device moved by 
human or animal power. Whether required to be licensed in any State or 
otherwise.
    Weapons. Any firearms or any other loaded or unloaded pistol, rifle, 
shotgun, or other weapon which is designed to, or may be readily 
converted to expel a projectile by ignition of a propellant, by 
compressed gas, or which is spring-powered. Any bow and arrow, crossbow, 
blowgun, spear gun, hand-thrown spear, sling-shot, irritant gas device, 
explosive device, or any other implement designed to discharge missiles; 
or a weapon, device, instrument, material, or substance, animate or 
inanimate, that is used for or is readily capable of, causing death or 
serious bodily injury, including any weapon the possession of which is 
prohibited under the laws of the State in which the Agency installation 
or portion thereof is located; except that such term does not include a 
closing pocket knife with a blade of less than 2\1/2\ inches in length.



Sec. 1903.2  Applicability.

    The provisions of this part apply to all Agency installations, and 
to all persons entering on to or when on an Agency installation. They 
supplement the provisions of Title 18, United States Code, relating to 
crimes and

[[Page 451]]

criminal procedures, and those provisions of State law that are federal 
criminal offenses by virtue of the Assimilative Crimes Act, 18 U.S.C. 
13. The Director of Central Intelligence, at his discretion, may suspend 
the applicability of this part, or a portion thereof, on any Agency 
installation, or any portion of the installation, covered under this 
part. Where necessary and when consistent with national security 
requirements notices will be posted on the affected Agency installation 
to indicate that the applicability of this part or a portion thereof has 
been suspended.



Sec. 1903.3  State law applicable.

    (a) Unless specifically addressed by the regulations in this part, 
traffic safety and the permissible use and operation of vehicles within 
an Agency installation are governed by State law. State law that is now 
or may later be in effect is adopted and made a part of the regulations 
in this part.
    (b) Violating a provision of State law is prohibited.



Sec. 1903.4  Vehicles and traffic safety.

    (a) Open container of alcoholic beverage. (1) Each person within the 
vehicle is responsible for complying with the provisions of this section 
that pertain to carrying an open container. The operator of the vehicle 
is the person responsible for complying with the provisions of this 
section that pertain to the storage of an open container.
    (2) Carrying or storing a bottle, can, or other receptacle 
containing an alcoholic beverage that is open or has been opened, or 
whose seal is broken, or the contents of which have been partially 
removed, within a vehicle on an Agency installation is prohibited.
    (3) This section does not apply to:
    (i) An open container stored in the trunk of a vehicle or, if a 
vehicle is not equipped with a trunk, to an open container stored in 
some other portion of the vehicle designated for the storage of luggage 
and not normally occupied by or readily accessible to the operator or 
passenger; or
    (ii) An open container stored in the living quarters of a motor home 
or camper.
    (4) For the purpose of paragraph (a)(3)(i) of this section, a 
utility compartment or glove compartment is deemed to be readily 
accessible to the operator and passengers of a vehicle.
    (b) Operating under the influence of alcohol, drugs, or controlled 
substances. (1) Operating or being in actual physical control of a 
vehicle is prohibited while.
    (i) Under the influence of alcohol, drug or drugs, a controlled 
substance, or any combination thereof, to a degree that renders the 
operator incapable of safe operation; or
    (ii) The alcohol concentration in the operator's blood is 0.08 grams 
or more of alcohol per 100 milliliters of blood or 0.08 grams or more 
alcohol per 210 liters of breath. Provided, however, that if the 
applicable State law that applies to operating a vehicle while under the 
influence of alcohol establishes more restrictive limits of alcohol 
concentration in the operator's blood or breath, those limits supersede 
the limits specified in this section.
    (2) The provisions or paragraph (b)(1) of this section shall also 
apply to an operator who is or has been legally entitled to use alcohol 
or another drug.
    (3) Test. (i) At the request or direction of an authorized person 
who has probable cause to believe that an operator of a vehicle within 
an Agency installation has violated a provision of paragraph (b)(1) of 
this section, the operator shall submit to one or more tests of blood, 
breath, saliva, or urine for the purpose of determining blood alcohol, 
drug, and controlled substance content.
    (ii) Refusal by an operator to submit to a test is prohibited and 
may result in detention and citation by an authorized person. Proof of 
refusal many be admissible in any related judicial proceeding.
    (iii) Any test or tests for the presence of alcohol, drugs, and 
controlled substances shall be determined by and administered at the 
direction of an officer of the Security Protective Service.
    (iv) Any test shall be conducted by using accepted scientific 
methods and equipment of proven accuracy and reliability and operated by 
personnel certified in its use.
    (4) Presumptive levels. (i) The results of chemical or other 
quantitative tests

[[Page 452]]

are intended to supplement the elements of probable cause used as the 
basis for the arrest of an operator charged with a violation of this 
section. If the alcohol concentration in the operator's blood or breath 
at the time of the testing is less than the alcohol concentration 
specified in paragraph (b)(1)(ii) of this section this fact does not 
give rise to any presumption that the operator is or is not under the 
influence of alcohol.
    (ii) The provisions of paragraph (b)(4)(i) of this section are not 
intended to limit the introduction of any other competent evidence 
bearing upon the question of whether the operator, at the time of the 
alleged violation, was under the influence of alcohol, a drug or drugs, 
or a controlled substance, or any combination thereof.

[63 FR 44786, Aug. 21, 1998; 64 FR 27041, May 18, 1999]



Sec. 1903.5  Enforcement of parking regulations.

    (a) A vehicle parked in any location without authorization, pursuant 
to a fraudulent, fabricated, copied or altered parking permit, or parked 
contrary to the directions of posted signs or markings, shall be subject 
to any penalties imposed by this section and the vehicle may be removal 
from the Agency installation a the owner's risk and expense. The Central 
Intelligence Agency assumes no responsibility for the payment of any 
fees or costs related to the removal and/or storage of the vehicle which 
may be charged to the owner of the vehicle by the towing organization.
    (b) The use, attempted use or possession of a fraudulent, 
fabricated, copied or altered parking permit is prohibited.
    (c) The blocking of entrances, driveways, sidewalks, paths, loading 
platforms, or fire hydrants on an Agency installation is prohibited.
    (d) This section may be supplemented or the applicability suspended 
from time to time by the Director of the Center for CIA Security, or by 
his or her designee, by the issuance and posting of such parking 
directives as may be required, and when so issued and posted, such 
directives shall the same force and effects as if made a part thereof.
    (e) Proof that a vehicle was parked in violation of the regulations 
of this section or directives may be taken as prima facie evidence that 
the registered owner was responsible for the violation.



Sec. 1903.6  Admission on to an Agency installation.

    (a) Access on to any Agency installation shall be controlled and 
restricted to ensure the orderly and secure conduct of Agency business. 
Admission on to an Agency installation or into a restricted area on an 
Agency installation shall be limited to Agency employees and other 
persons with proper authorization.
    (b) All persons entering on to or when on an Agency installation 
shall, when required and/or requested, produce and display proper 
identification to authorized persons.
    (c) All personal property, including but not limited to any 
packages, briefcases, other containers or vehicles brought on to, on, or 
being removed from an Agency installation are subject to inspection and 
search by authorized persons.
    (d) A full search of a person may accompany an investigative stop or 
an arrest.
    (e) Persons entering on to an Agency installation or into a 
restricted area who refuse to permit an inspection and search will be 
denied further entry and will be ordered to leave the Agency 
installation or restricted area pursuant to Sec. 1903.7(a) of this part.
    (f) All persons entering on to or when on any Agency installation 
shall comply with all official signs of a prohibitory, regulatory, or 
directory nature at all times while on the Agency installation.
    (g) All persons entering on to or when on any Agency installation 
shall comply with the instructions or directions of authorized persons.



Sec. 1903.7  Trespassing.

    (a) Entering, or remaining on any Agency installation without proper 
authorization is prohibited. Failure to obey an order to leave given 
under this section by an authorized person, or reentry or attempted 
reentry onto the Agency installation after being ordered

[[Page 453]]

to leave or after being instructed not to reenter by an authorized 
person under this section is also prohibited.
    (b) Any person who violates the provisions of this part may be 
ordered to leave the Agency installation by an authorized person. A 
violator's reentry may also be prohibited.



Sec. 1903.8  Interfering with Agency functions.

    The following are prohibited:
    (a) Interference. Threatening, resisting, intimidating, or 
intentionally interfering with a government employee or agent engaged in 
an official duty, or on account of the performance of an official duty.
    (b) Violation of a lawful order. Violating the lawful order of an 
authorized person to maintain order and control, public access and 
movement during fire fighting operations, law enforcement actions, and 
emergency operations that involve a threat to public safety or 
government resources, or other activities where the control of public 
movement and activities is necessary to maintain order and public health 
or safety.
    (c) False information. Knowingly giving false information:
    (1) To an authorized person investigating an accident or violation 
of law or regulation; or
    (2) On an application for a permit.
    (d) False report. Knowingly giving a false report for the purpose of 
misleading an authorized person in the conduct of official duties, or 
making a false report that causes a response by the government to a 
fictitious event.



Sec. 1903.9  Explosives.

    (a) Using, possessing, storing, or transporting explosives, blasting 
agents, ammunition or explosive materials is prohibited on any Agency 
installation, except as authorized by the Director of the Center for CIA 
Security. When permitted, the use, possession, storage, and 
transportation shall be in accordance with applicable Federal and State 
laws, and shall also be in accordance with applicable Central 
Intelligence Agency rules and/or regulations.
    (b) Using, possessing, storing, or transporting items intended to be 
used to fabricate an explosive or incendiary device, either openly or 
concealed, except for official purposes is prohibited.



Sec. 1903.10  Weapons.

    (a) Except as provided in paragraph (c) of this section, knowingly 
possessing or causing to be present a weapon on an Agency installation, 
or attempting to do so is prohibited.
    (b) Knowingly possessing or causing to be present a weapon on an 
Agency installation, incident to hunting or other lawful purposes is 
prohibited.
    (c) This section does not apply--
    (1) Where Title 18 U.S.C. 930 applies;
    (2) To any person who has received authorization from the Director 
of the Center for CIA Security, or from his or her designee to possess, 
carry, transport, or use a weapon in support of the Agency's mission or 
for other lawful purposes as determined by the Director of the Center 
for CIA Security;
    (3) To the lawful performance of official duties by an officer, 
agent, or employee of the United States, a State, or a political 
subdivision thereof, who is authorized by law to engage in or supervise 
the prevention, detection, investigation, or prosecution of any 
violation of law; or
    (4) To the possession of a weapon by a Federal official or a member 
of the Armed Forces if such possession is authorized by law.



Sec. 1903.11  Restrictions on photographic, transmitting, and recording equipment.

    (a) Except as otherwise authorized under this section, the following 
are prohibited on Agency installations:
    (1) Possessing a camera, other visual or audio recording devices, or 
electronic transmitting equipment of any kind.
    (2) Carrying a camera, other visual or audio recording devices, or 
electronic transmitting equipment of any kind.
    (3) Using a camera, other visual or audio recording devices, or 
electronic transmitting equipment of any kind.
    (b) This section does not apply to any person using, possessing or 
storing a government or privately owned cellular telephone or pager 
while on any

[[Page 454]]

Agency installation. The Central Intelligence Agency may regulate or 
otherwise administratively control cellular telephones and pagers 
outside the provisions of this part.
    (c) This section does not apply to any officer, agent, or employee 
of the United States, a State, or a political subdivision thereof, who 
may enter on to an Agency installation to engage in or supervise the 
prevention, detection, investigation, or prosecution of any violation of 
law.
    (d) This section does not apply to any person who has received 
approval from the Director of the Center for CIA Security, or from his 
or her designee to carry, transport, or use a camera, other visual or 
audio recording devices, or electronic transmitting equipment while on 
an Agency installation.



Sec. 1903.12  Alcoholic beverages and controlled substance.

    (a) Alcoholic beverages. The possession, transportation of alcoholic 
beverages in closed containers and their consumption on an Agency 
installation will be administratively controlled by the Agency outside 
the provisions of this part.
    (b) Controlled substances. The following are prohibited on an Agency 
installation:
    (1) The delivery of a controlled substance, except when distribution 
is made by a licensed physician or pharmacist in accordance with 
applicable Federal or State law, or as otherwise permitted by Federal or 
State law. For the purpose of this paragraph, delivery means the actual, 
attempt, or constructive transfer of a controlled substance.
    (2) The possession of a controlled substance, unless such substance 
was obtained by the possessor directly from, or pursuant to a valid 
prescription or ordered by, a licensed physician or pharmacist, or as 
otherwise allowed by Federal or State law.



Sec. 1903.13  Intoxicated on an Agency installation.

    Presence on an Agency installation when under the influence of 
alcohol, a drug, or a controlled substance or a combination thereof to a 
degree that interferes with, impedes or hinders the performance of the 
official duties of any government employee, or damages government or 
personal property is prohibited.



Sec. 1903.14  Disorderly conduct.

    A person commits disorderly conduct when, with intent to cause 
public alarm, nuisance, jeopardy, or violence, or knowingly or 
recklessly creating a risk thereof, such person commits any of the 
following prohibited acts:
    (a) Engages in fighting or threatening, or in violent behavior.
    (b) Acts in a manner that is physically threatening or menacing, or 
acts in a manner that is likely to inflict injury or incite an immediate 
breach of peace.
    (c) Makes noises that are unreasonable considering the nature and 
purpose of the actor's conduct, location, time of day or night, and 
other factors that would govern the conduct of a reasonable prudent 
person under the circumstances.
    (d) Uses obscene language, an utterance, or gesture, or engages in a 
display or act that is obscene.
    (e) Impedes or threatens the security of persons or property, or 
disrupts the performance of official duties by employees, officers, 
contractors or visitors on an Agency installation or obstructs the use 
of areas on an Agency installation such as entrances, foyers, lobbies, 
corridors, concourses, offices, elevators, stairways, roadways, 
driveways, walkways, or parking lots.



Sec. 1903.15  Preservation of property.

    The following are prohibited:
    (a) Property Damage. Destroying or damaging private property.
    (b) Theft. The theft of private property, except where Title 18 
U.S.C. 661 applies.
    (c) Creation of hazard. The creation of hazard to persons or things, 
the throwing of articles of any kind from or at buildings, vehicles, or 
persons while on an Agency installation.
    (d) Improper disposal. The improper disposal of trash or rubbish 
while on an Agency installation.



Sec. 1903.16  Restriction on animals.

    Animals, except for those animals used for the assistance of persons 
with

[[Page 455]]

disabilities, or animals under the charge and control of the Central 
Intelligence Agency, shall not be brought onto an Agency installation 
for other than official purposes.



Sec. 1903.17  Soliciting, vending, and debt collection.

    Commercial or political soliciting, vending of all kinds, displaying 
or distributing commercial advertising, collecting private debts or 
soliciting alms on any Agency installation is prohibited. This does not 
apply to:
    (a) National or local drives for funds for welfare, health, or other 
purposes as authorized by Title 5 CFR parts 110 and 950 as amended and 
sponsored or approved by the Director of Central Intelligence, or by his 
or her designee.
    (b) Personal notices posted on authorized bulletin boards and in 
compliance with Central Intelligence Agency rules governing the use of 
such authorized bulletin boards advertising to sell or rent property of 
Central Intelligence Agency employees or their immediate families.



Sec. 1903.18  Distribution of materials.

    Distributing, posting, or affixing materials, such as pamphlets, 
handbills, or flyers, on any Agency installation is prohibited except as 
authorized by Sec. 1903.17(b), or by other authorization from the 
Director of the Center for CIA Security, or from his or her designee.



Sec. 1903.19  Gambling.

    Gambling in any form, or the operation of gambling devices, is 
prohibited. This prohibition shall not apply to the vending or exchange 
of chances by licensed blind operators of vending facilities for any 
lottery set forth in a State law and authorized by the provisions of the 
Randolph-Sheppard Act (Title 20 U.S.C. 107 et seq.).



Sec. 1903.20  Penalties and effects on other laws.

    (a) Whoever shall be found guilty of violating any rule or 
regulation enumerated in this part is subject to the penalties imposed 
by Federal law for the commission of a Class B misdemeanor offense.
    (b) Nothing in this part shall be construed to abrogate or supersede 
any other Federal law or any non-conflicting State or local law, 
ordinance or regulation applicable to any location where the Agency 
installation is situated.



PART 1904--PROCEDURES GOVERNING ACCEPTANCE OF SERVICE OF PROCESS--Table of Contents




Sec.
1904.1  Scope and purpose.
1904.2  Definitions.
1904.3  Procedures governing acceptance of service of process.
1904.4  Notification to CIA Office of General Counsel.
1904.5  Authority of General Counsel.

    Authority: 50 U.S.C. 403g; 50 U.S.C. 403(d)(3); E.O. 12333 sections 
1.8(h), 1.8(i), 3.2.

    Source: 56 FR 41458, Aug. 21, 1991, unless otherwise noted.



Sec. 1904.1  Scope and purpose.

    (a) This part sets forth the limits of authority of CIA personnel to 
accept service of process on behalf of the CIA or any CIA employee.
    (b) This part is intended to ensure the orderly execution of the 
Agency's affairs and not to impede any legal proceeding.
    (c) CIA regulations concerning employee responses to demands for 
production of official information in proceedings before federal, state, 
or local government entities are set out in part 1905 of this chapter.



Sec. 1904.2  Definitions.

    (a) Agency or CIA means the Central Intelligence Agency and include 
all staff elements of the Director of Central Intelligence.
    (b) Process means a summons, complaint, subpoena, or other official 
paper (except garnishment orders) issued in conjunction with a 
proceeding or hearing being conducted by a federal, state, or local 
governmental entity of competent jurisdiction.
    (c) Employee means any CIA officer, any staff, contract, or other 
employee of CIA, any person including independent contractors associated 
with or acting for or on behalf of CIA, and any person formerly having 
such a relationship with CIA.

[[Page 456]]

    (d) General Counsel includes the Deputy General Counsel or Acting 
General Counsel.



Sec. 1904.3  Procedures governing acceptance of service of process.

    (a) Service of Process Upon the CIA or a CIA Employee in An Official 
Capacity--(1) Personal service. Unless otherwise expressly authorized by 
the General Counsel, or designee, personal service of process may be 
accepted only by attorneys of the Office of General Counsel at CIA 
Headquarters in Langley, Virginia.
    (2) Mail service. Where service of process by registered or 
certified mail is authorized by law, unless expressly directed otherwise 
by the General Counsel or designee, such process may only be accepted by 
attorneys of the Office of General Counsel. Process by mail should be 
addressed as follows: Litigation Division, Office of General Counsel, 
Central Intelligence Agency, Washington, DC 20505.
    (b) Service of Process Upon a CIA Employee Solely in An Individual 
Capacity--(1) General. Consistent with section 6 of the CIA Act of 1949, 
as amended, 50 U.S.C. 403g, CIA will not provide the name or address of 
any current or former employee of CIA to individuals or entities seeking 
to serve process upon such employee solely in his or her individual 
capacity, even where the matter is related to CIA activities.
    (2) Personal Service. Subject to the sole discretion of appropriate 
officials of the CIA, process servers generally will not be allowed to 
enter CIA facilities or premises for the purpose of serving process upon 
any CIA employee solely in his or her individual capacity. The Office of 
General Counsel is not authorized to accept service of process on behalf 
of a CIA employee--except the Director and Deputy Director of Central 
Intelligence--in his or her individual capacity.
    (3) Mail Service. Unless otherwise expressly authorized by the 
General Counsel, or designee, CIA personnel are not authorized to accept 
or forward mailed service of process directed to any CIA employee in his 
or her individual capacity. Any such process will be returned to the 
sender via appropriate postal channels.
    (c) Service of Process Upon a CIA Employee in A Combined Official 
and Individual Capacity. Unless expressly directed otherwise by the 
General Counsel, or designee, any process to be served upon a CIA 
employee in his or her combined official and individual capacity, in 
person or by mail, can be accepted only by attorneys of the Office of 
General Counsel at CIA Headquarters in Langley, Virginia.
    (d) The documents for which service is accepted in official capacity 
only shall be stamped ``Service Accepted in Official Capacity Only.'' 
Acceptance of service of process shall not constitute an admission or 
waiver with respect to jurisdiction, propriety of service, improper 
venue, or any other defense in law or equity available under the laws or 
rules applicable to the service of process.



Sec. 1904.4  Notification to CIA Office of General Counsel.

    A CIA employee who receives or has reason to expect service of 
process in an individual, official, or combined individual and official 
capacity, in a matter that may involve testimony or the furnishing of 
documents and that could reasonably be expected to involve Agency 
interests, shall promptly notify the Litigation Division, Office of 
General Counsel (703-874-3118). Such notification should be given prior 
to providing the requestor, counsel or other representative any Agency 
information, and prior to accepting service of process.



Sec. 1904.5  Authority of General Counsel.

    Any questions concerning interpretation of this regulation shall be 
referred to the Office of General Counsel for resolution.



PART 1905--PRODUCTION OF OFFICIAL RECORDS OR DISCLOSURE OF OFFICIAL INFORMATION IN PROCEEDINGS BEFORE FEDERAL, STATE OR LOCAL GOVERNMENTAL ENTITIES OF COMPETENT 
JURISDICTION--Table of Contents




Sec.
1905.1  Scope and purpose.
1905.2  Definitions.
1905.3  General.

[[Page 457]]

1905.4  Procedure for production.

    Authority: 5 U.S.C. 403(d)(3); 50 U.S.C. 403g; United States ex rel. 
Touhy v. Ragen, 340 U.S. 462 (1951); E.O. 12333 Secs. 1.8(i), 1.5(h), 
3.2; E.O. 12356; U.S. v. Snepp, 444 U.S. 507 (1980).

    Source: 56 FR 41459, Aug. 21, 1991, unless otherwise noted.



Sec. 1905.1  Scope and purpose.

    This part sets forth the policy and procedures with respect to the 
production or disclosure of (a) material contained in the files of CIA, 
(b) information relating to or based upon material contained in the 
files of CIA, and (c) information acquired by any person while such 
person was an employee of CIA as part of the performance of that 
person's official duties or because of that person's association with 
CIA.



Sec. 1905.2  Definitions.

    For the purpose of this part:
    (a) CIA or Agency means the Central Intelligence Agency and includes 
all staff elements of the Director of Central Intelligence.
    (b) Demand means any subpoena, order, or other legal summons (except 
garnishment orders) that is issued by a federal, state, or local 
governmental entity of competent jurisdiction with the authority to 
require a response on a particular matter, or a request for appearance 
of an individual where a demand could issue.
    (c) Employee means any officer, any staff, contract, or other 
employee of CIA; any person including independent contractors associated 
with or acting on behalf of CIA; and any person formerly having such a 
relationship with CIA.
    (d) Production or produce means the disclosure of:
    (1) Any material contained in the files of CIA; or
    (2) Any information relating to material contained in the files of 
CIA, including but not limited to summaries of such information or 
material, or opinions based on such information or material; or
    (3) Any information acquired by persons while such persons were 
employees of CIA as a part of the performance of their official duties 
or because of their official status or association with CIA;

in response to a demand upon an employee of CIA.
    (e) General Counsel includes the Deputy General Counsel or Acting 
General Counsel.



Sec. 1905.3  General.

    (a) No employee shall produce any materials or information in 
response to a demand without prior authorization as set forth in this 
part. This part applies to former employees to the extent consistent 
with applicable nondisclosure agreements.
    (b) This part is intended only to provide procedures for responding 
to demands for production of documents or information, and is not 
intended to, does not, and may not be relied upon to, create any right 
or benefit, substantive or procedural, enforceable by any party against 
the United States.



Sec. 1905.4  Procedure for production.

    (a) Whenever a demand for production is made upon an employee, the 
employee shall immediately notify the Litigation Division, Office of 
General Counsel, Central Intelligence Agency, Washington, DC 20505 (703/
874-3118), which shall follow the procedures set forth in this section.
    (b) The General Counsel of CIA and Deputy Directors or Heads of 
Independent Offices with responsibility for the information sought in 
the demand, or their designees, shall determine whether any information 
or materials may properly be produced in response to the demand, except 
that the Office of General Counsel may assert any and all legal defenses 
and objections to the demand available to CIA prior to the start of any 
search for information responsive to the demand. CIA may, in its sole 
discretion, decline to begin any search for information responsive to 
the demand until a final and non-appealable disposition of any such 
defenses and objections raised by CIA has been made by the entity or 
person that issued the demand.
    (c) CIA officials shall consider the following factors, among 
others, in reaching a decision:
    (1) Whether production is appropriate in light of any relevant 
privilege;

[[Page 458]]

    (2) Whether production is appropriate under the applicable rules of 
discovery or the procedures governing the case or matter in which the 
demand arose; and
    (3) Whether any of the following circumstances apply:
    (i) Disclosure would violate a statute, including but not limited to 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a;
    (ii) Disclosure would be inconsistent with the statutory 
responsibility of the Director of Central Intelligence to protect 
intelligence sources and methods;
    (iii) Disclosure would violate a specific CIA regulation or 
directive;
    (iv) Disclosure would reveal classified information;
    (v) Disclosure would improperly reveal trade secrets or proprietary 
confidential information without the owner's consent; or
    (vi) Disclosure would unduly interfere with the orderly conduct of 
CIA's functions.
    (d) If oral or written testimony is sought by a demand in a case or 
matter in which the CIA is not a party, a reasonably detailed 
description of the testimony sought, in the form of an affidavit or, if 
that is not feasible, a written statement, by the party seeking the 
testimony or by the party's attorney must be furnished to the CIA Office 
of General Counsel.
    (e) The Office of General Counsel shall be responsible for notifying 
the appropriate employees and other persons of all decisions regarding 
responses to demands and providing advice and counsel as to the 
implementation of such decisions.
    (f) If response to a demand is required before a decision is made 
whether to provide the documents or information sought by the demand, an 
attorney from the Office of General Counsel, after consultation with the 
Department of Justice, shall appear before and furnish the court or 
other competent authority with a copy of this Regulation and state that 
the demand has been or is being, as the case may be, referred for the 
prompt consideration of the appropriate CIA officials, and shall 
respectfully request the court or other authority to stay the demand 
pending receipt of the requested instructions.
    (g) If the court or other authority declines to stay the demand 
pending receipt of instructions in response to a request made in 
accordance with Sec. 1905.4(g), or rules that the demand must be 
complied with irrespective of instructions rendered in accordance with 
this part not to produce the material or disclose the information 
sought, the employee upon whom the demand has been made shall, if so 
directed by the General Counsel of CIA, or designee, respectfully 
decline to comply with the demand under the authority of United States 
ex rel. Touhy v. Ragen, 340 U.S. 462 (1951), and this Regulation.
    (h) With respect to any function granted to CIA officials in this 
part, such officials are authorized to delegate in writing their 
authority in any case or matter or category thereof to subordinate 
officials.
    (i) Any nonemployee who receives a demand for the production or 
disclosure of CIA information acquired because of that person's 
association or contacts with CIA should notify CIA's Office of General 
Counsel, Litigation Division (703/874-3118) for guidance and assistance. 
In such cases the provisions of this regulation shall be applicable.



PART 1906--ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE CENTRAL INTELLIGENCE AGENCY--Table of Contents




Sec.
1906.101  Purpose.
1906.102  Application.
1906.103  Definitions.
1906.104-1906.109  [Reserved]
1906.110  Self-evaluation.
1906.111  Notice.
1906.112-1906.129  [Reserved]
1906.130  General prohibitions against discrimination.
1906.131-1906.139  [Reserved]
1906.140  Employment.
1906.141-1906.148  [Reserved]
1906.149  Program accessibility: Discrimination prohibited.
1906.150  Program accessibility: Existing facilities.
1906.151  Program accessibility: New construction and alterations.
1906.152-1906.159  [Reserved]
1906.160  Communications.
1906.161-1906.169  [Reserved]

[[Page 459]]

1906.170  Compliance procedures.

    Authority: 19 U.S.C. 794.

    Source: 57 FR 39610, Sept. 1, 1992, unless otherwise noted.



Sec. 1906.101  Purpose.

    The purpose of this part is to effectuate section 119 of the 
Rehabilitation, Comprehensive Services, and Developmental Disabilities 
Amendments of 1978, which amended section 504 of the Rehabilitation Act 
of 1973 to prohibit discrimination on the basis of handicap in programs 
or activities conducted by Executive agencies or the United States 
Postal Service.



Sec. 1906.102  Application.

    This part applies to all programs or activities conducted by the 
Agency except for programs or activities conducted outside the United 
States that do not involve handicapped persons in the United States. 
This regulation will apply to the Agency only to the extent consistent 
with the National Security Act of 1947 (50 U.S.C. 402 et seq.), as 
amended; the Central Intelligence Agency Act of 1949 (50 U.S.C. 403a et 
seq.), as amended; and other applicable law.



Sec. 1906.103  Definitions.

    For purposes of this part, the following terms means--
    Assistant Attorney General means the Assistant Attorney General, 
Civil Rights Division, United States Department of Justice.
    Auxiliary aids means services or devices that enable persons with 
impaired sensory, manual, or speaking skills to have an equal 
opportunity to participate in, and enjoy the benefits of, programs or 
activities conducted by the Agency. For example, auxiliary aids useful 
for persons with impaired vision include readers, materials in braille, 
audio recordings, and other similar services and devices. Auxiliary aids 
useful for persons with impaired hearing include telephone handset 
amplifiers, telephones compatible with hearing aids, telecommunication 
devices for deaf persons (TDD's), interpreters, notetakers, written 
materials, and other similar services and devices. The Central 
Intelligence Agency may prohibit from any of its facilities any 
auxiliary aid, or category of auxiliary aid, that the Office of Security 
(OS) determines creates a security risk or potential security risk. OS 
reserves the right to examine any auxiliary aid brought into an Agency 
facility.
    Complete complaint means a written statement that contains the 
complainant's name and address and describes the Agency's alleged 
discriminatory action in sufficient detail to inform the Agency of the 
nature and date of the alleged violation of section 504. It must be 
signed by the complainant or by someone authorized to do so on his or 
her behalf. Complaints filed on behalf of classes or third parties must 
describe or identify (by name, if possible) the alleged victims of 
discrimination.
    Director means the Director of Central Intelligence or an official 
or employee of the Agency acting for the Director under a delegation of 
authority.
    Facility means all or any portion of buildings, structures, 
equipment, roads, walks, parking lots, rolling stock or other 
conveyances or other real or personal property.
    Individual with handicaps means any person who has a physical or 
mental impairment that substantially limits one or more major life 
activities, has a record of such an impairment, or is regarded as having 
such an impairment. As used in this definition, the phrase--
    (1) Physical or mental impairment includes--
    (i) Any physiological disorder or condition, cosmetic disfigurement, 
or anatomical loss affecting one or more of the following body systems: 
Cardiovascular; Neurological; musculoskeletal; special sense organs; 
respiratory, including speech organs; reproductive; digestive; 
genitourinary; hemic and lymphatic; skin; and endocrine; or
    (ii) Any mental or psychological disorder, such as mental 
retardation, organic brain syndrome, emotional or mental illness, and 
specific learning disabilities. The term ``physical or mental 
impairment'' includes, but is not limited to, such diseases and 
conditions as orthopedic, visual, speech, and hearing impairments, 
cerebral palsy, epilepsy, muscular dystrophy, multiple

[[Page 460]]

sclerosis, cancer, heart disease, diabetes, mental retardation, 
emotional illness, drug addiction, and alcoholism.
    (2) Major life activities includes functions such as caring for 
one's self, performing manual tasks, walking, seeing, hearing, speaking, 
breathing, learning, and working;
    (3) Has a record of such an impairment means has a history of, or 
has been misclassified as having a mental or physical impairment that 
substantially limits one or more major life activities.
    (4) Is regarded as having an impairment means--
    (i) Has a physical or mental impairment that does not substantially 
limit major life activities but is treated by the Agency as constituting 
such a limitation;
    (ii) Has a physical or mental impairment that substantially limits 
major life activities only as a result of the attitudes of others toward 
the impairment; or
    (iii) Has none of the impairments defined in paragraph (1) of this 
definition but is treated by the Agency as having such an impairment.
    Qualified individual with handicaps means--
    (1) With respect to any Agency program or activity under which a 
person is required to perform services or to achieve a level of 
accomplishment, an individual with handicaps who meets the essential 
eligibility requirements and who can achieve the purpose of the program 
or activity without modifications in the program or activity that the 
Agency can demonstrate would result in a fundamental alteration in its 
nature;
    (2) With respect to any other Agency program or activity, an 
individual with handicaps who meets the essential eligibility 
requirements for participation in, or receipt of benefits from, that 
program or activity; and
    (3) Qualified handicapped person as that term is defined for 
purposes of employment in 29 CFR 1613.702(f), which is made applicable 
to this part by Sec. 1906.140.
    Section 504 means section 504 of the Rehabilitation Act of 1973 
(Pub. L. 93-112, 87 Stat. 394 (29 U.S.C. 794)), as amended by the 
Rehabilitation Act Amendments of 1974 (Pub. L. 93-516, 88 Stat. 1617); 
the Rehabilitation, Comprehensive Services, and Developmental 
Disabilities Amendments of 1978 (Pub. L. 95-002, 92 Stat. 2955); and the 
Rehabilitation Act Amendments of 1986 (Pub. L. 99-506, 100 Stat. 1810). 
As used in this part, section 504 applies only to programs or activities 
conducted by the Agency and not to federally assisted programs.



Secs. 1906.104-1906.109  [Reserved]



Sec. 1906.110  Self-evaluation.

    (a) The Agency shall, within one year of the effective date of this 
part, evaluate its current policies and practices, and the effect 
thereof, that do not or may not meet the requirements of this part, and 
to the extent modification of any of those policies and practices is 
required, the Agency shall proceed to make the necessary modifications.
    (b) The Agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps to participate in the self-evaluation process 
by submitting comments (both oral and written).
    (c) The Agency shall, for at least 3 years following completion of 
the self-evaluation, maintain on file, and make available for public 
inspection--
    (1) A description of areas examined and any problems identified; and
    (2) A description of any modifications made.



Sec. 1906.111  Notice.

    The Agency shall make available, to employees, applicants, 
participants, beneficiaries, and other interested persons, such 
information regarding the provisions of this part and its applicability 
to the programs or activities conducted by the Agency, and make that 
information available to them in such manner as the Director finds 
necessary to apprise those persons of the protections against 
discrimination assured them by section 504 and the regulations in this 
part.

[[Page 461]]



Secs. 1906.112-1906.129  [Reserved]



Sec. 1906.130  General prohibitions against discrimination.

    (a) No qualified individual with handicaps shall, on the basis of 
handicap, be excluded from participation in, be denied the benefits of, 
or otherwise be subjected to discrimination under, any program or 
activity conducted by the Agency.
    (b)(1) The Agency, in providing any aid, benefit, or service, may 
not, directly or through contractual, licensing, or other arrangements, 
on the basis of handicap:
    (i) Deny a qualified individual with handicap the opportunity to 
participate in or benefit from the aid, benefit, or service;
    (ii) Deny a qualified individual with handicaps an opportunity to 
obtain the same result, to gain the same benefit, to reach the same 
level of achievement as that provided to others;
    (iii) Provide a qualified individual with handicaps with an aid, 
benefit, or service that is not as effective in affording equal 
opportunity to obtain the same result, to gain the same benefit, or to 
reach the same level of achievement as that provided to others;
    (iv) Provide different or separate aid, benefits, or services to 
individuals with handicaps or to any class of individuals with handicaps 
than is provided to others unless that action is necessary to provide 
qualified individuals with handicaps with aid, benefits, or services 
that are as effective as those provided to others;
    (v) Deny a qualified individual with handicaps the opportunity to 
participate as a member of planning or advisory boards; or
    (vi) Otherwise limit a qualified individual with handicaps in the 
enjoyment of any right, privilege, advantage, or opportunity enjoyed by 
others receiving the aid, benefit, or service.
    (2) The Agency may not deny a qualified individual with handicaps 
the opportunity to participate in programs or activities that are not 
separate or different, despite the existence of permissibly separate or 
different programs or activities.
    (3) The Agency may not, directly or through contractual or other 
arrangements, utilize criteria or methods of administration the purpose 
or effect of which would--
    (i) Subject qualified individuals with handicaps to discrimination 
on the basis of handicap; or
    (ii) Defeat or substantially impair accomplishment of the objectives 
of a program or activity with respect to individuals with handicaps.
    (4) The Agency may not, in determining the site or location of a 
facility, make selections the purpose or effect of which would--
    (i) Exclude individuals with handicaps from, deny them the benefits 
of, or otherwise subject them to discrimination under, any program or 
activity conducted by the Agency; or
    (ii) Defeat or substantially impair the accomplishment of the 
objectives of a program or activity with respect to individuals with 
handicaps.
    (5) The Agency, in the selection of procurement contractors, may not 
use criteria that subject qualified individuals with handicaps to 
discrimination on the basis of handicap.
    (6) The Agency may not administer a licensing or certification 
program in a manner that subjects qualified individuals with handicaps 
to discrimination on the basis of handicap, nor may the Agency establish 
requirements for the programs or activities of licensees or certified 
entities that subject qualified individuals with handicaps to 
discrimination on the basis on handicap. However, the programs or 
activities of entities that are licensed or certified by the Agency are 
not, themselves, covered by this part.
    (c) The exclusion of nonhandicapped persons from the benefits or a 
program limited by Federal statute or Executive Order to individuals 
with handicaps or the exclusion of a specific class of individuals with 
handicaps from a program limited by Federal statute or Executive Order 
to a different class of individuals with handicaps is not prohibited by 
this part.
    (d) The Agency shall administer programs and activities in the most 
integrated setting appropriate to the needs of qualified individuals 
with handicaps.

[[Page 462]]



Secs. 1906.131-1906.139  [Reserved]



Sec. 1906.140  Employment.

    No qualified individual with handicaps shall, solely on the basis of 
handicap, be subjected to discrimination in employment under any program 
or activity conducted by the Agency. The definitions, requirements, and 
procedures of section 501 of the Rehabilitation Act of 1979 (29 U.S.C. 
791), as established by the Equal Employment Opportunity Commission in 
29 CFR part 1613, shall apply to employment in federally conducted 
programs or activities.



Secs. 1906.141-1906.148  [Reserved]



Sec. 1906.149  Program accessibility: Discrimination prohibited.

    Except as otherwise provided in Sec. 1906.150, no qualified 
individual with handicaps shall, because the Agency's facilities are 
inaccessible to or unusable by individuals with handicaps, be denied the 
benefits of, be excluded from participation in, or otherwise be 
subjected to discrimination under any program or activity conducted by 
the Agency.



Sec. 1906.150  Program accessibility: Existing facilities.

    (a) General. The Agency shall operate each program or activity so 
that the program or activity, viewed in its entirety, is readily 
accessible to and usable by individuals with handicaps. This program 
does not--
    (1) Necessarily require the Agency to make each of its existing 
facilities accessible to and usable by individuals with handicaps;
    (2)(i) Require the Agency to take any action that it can demonstrate 
would result in a fundamental alteration in the nature of a program or 
activity or in undue financial and administrative burdens.
    (ii) The Agency has the burden of proving that compliance with 
Sec. 1906.150(a) would result in that alteration or those burdens.
    (iii) The decision that compliance would result in that alteration 
or those burdens must be made by the Director after considering all of 
the Agency's resources available for use in the funding and operation of 
the conducted program or activity, and must be accompanied by a written 
statement of the reasons for reaching that conclusion.
    (iv) If an action would result in that alteration or those burdens, 
the Agency shall take any other action that would not result in the 
alteration or burdens but would nevertheless ensure that individuals 
with handicaps receive the benefits and services of the program or 
activity.
    (b) Methods. (1) The Agency may comply with the requirements of this 
section through such means as redesign of equipment, reassignment of 
services to accessible buildings, assignment of aides to beneficiaries, 
home visits, delivery of services at alternate accessible sites, 
alteration of existing facilities and construction of new facilities, 
use of accessible rolling stock, or any other methods that result in 
making its programs or activities readily accessible to and usable by 
individuals with handicaps.
    (2) The Agency is not required to make structural changes in 
existing facilities if other methods are effective in achieving 
compliance with this section.
    (3) The Agency, in making alterations to existing buildings, shall 
meet accessibility requirements to the extent compelled by the 
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), 
and any regulations implementing that Act.
    (4) In choosing among available methods for meeting the requirements 
of this section, the Agency shall give priority to those methods that 
offer programs and activities to qualified individuals with handicaps in 
the most integrated setting appropriate.
    (c) Time period for compliance. The Agency shall comply with the 
obligations established under this section within 60 days of the 
effective date of this part except that if structural changes in 
facilities are undertaken, the changes shall be made within 3 years of 
the effective date of this part, but in any event as expeditiously as 
possible.
    (d) Transition plan. (1) In the event that structural changes to 
facilities will be undertaken to achieve program accessibility, the 
Agency shall develop,

[[Page 463]]

within 6 months of the effective date of this part, a transition plan 
setting forth the steps necessary to complete those changes.
    (2) The Agency shall provide an opportunity to interested persons, 
including individuals with handicaps or organizations representing 
individuals with handicaps, to participate in the development of the 
transition plan by submitting comments (both oral and written). A copy 
of the transition plan must be made available for public inspection.
    (3) The plan must, at a minimum--
    (i) Identify physical obstacles in the Agency's facilities that 
limit the accessibility of its programs or activities to individuals 
with handicaps;
    (ii) Describe in detail the methods that will be used to make the 
facilities accessible;
    (iii) Specify the schedule for taking the steps necessary to achieve 
compliance with this section and, if the time period of the transition 
plan is longer than one year, identify steps that will be taken during 
each year of the transition period; and
    (iv) Indicate the official responsible for implementation of the 
plan.



Sec. 1906.151  Program accessibility: New construction and alterations.

    Each building or part of a building that is constructed or altered 
by, on behalf of, or for the use of, the Agency shall be designed, 
constructed, or altered so as to be readily accessible to and usable by 
individuals with handicaps. The definitions, requirements, and standards 
of the Architectural Barriers Act of 1968 (42 U.S.C. 4151-4175), as 
established in 41 CFR 101-19.600 to 101-19-607, apply to buildings 
covered by this section.



Secs. 1906.152-1906.159  [Reserved]



Sec. 1906.160  Communications.

    (a) The Agency shall take appropriate steps to ensure effective 
communication with applicants, participants, personnel of other Federal 
entities, and members of the public as follows:
    (1)(i) The Agency shall furnish appropriate auxiliary aids if 
necessary to afford an individual with handicaps an equal opportunity to 
participate in, and enjoy the benefits of, a program or activity 
conducted by the Agency.
    (ii) In determining what type of auxiliary aid is necessary, the 
Agency shall give primary consideration to the requests of the 
individual with handicaps.
    (2) Where the Agency communicates with applicants and beneficiaries 
by telephone, telecommunication devices for deaf persons (TDD's) or 
equally effective telecommunication systems shall be used to communicate 
with persons with impaired hearing.
    (b) The Agency shall ensure that interested persons, including 
persons with impaired vision or hearing, can obtain information as to 
the existence and location of accessible services, activities, and 
facilities.
    (c) The Agency shall provide signage at a primary entrance to each 
of its inaccessible facilities, directing users to a location at which 
they can obtain information about accessible facilities. The 
international symbol for accessibility shall be used at each primary 
entrance of an accessible facility.
    (d) This section does not require the Agency to take any action that 
it can demonstrate would result in a fundamental alteration in the 
nature of a program or activity or in undue financial and administrative 
burdens. In those circumstances where Agency personnel believe that the 
proposed action would fundamentally alter the program or activity or 
would result in undue financial and administrative burdens, the Agency 
has the burden of proving that compliance with Sec. 1906.160 would 
result in such alteration or burdens. The decision that compliance would 
result in such alteration or burdens must be made by the Agency head or 
his or her designee after considering all Agency resources available for 
use in the funding and operation of the conducted program or activity 
and must be accompanied by a written statement of the reasons for 
reaching that conclusion. If an action required to comply with this 
section would result in such an alteration or such burdens, the Agency 
shall take any other action that would not result in such an alteration 
or such burdens but would nevertheless ensure that, to the maximum

[[Page 464]]

extent possible, individuals with handicaps receive the benefits and 
services of the program or activity.



Secs. 1906.161-1906.169  [Reserved]



Sec. 1906.170  Compliance procedures.

    (a) Except as provided in paragraph (b) of this section, this 
section applies to all allegations of discrimination on the basis of 
handicap in programs and activities conducted by the Agency.
    (b) The Agency shall process complaints alleging violations of 
section 504 with respect to employment according to the procedures 
established by the Equal Employment Opportunity Commission in 29 CFR 
part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 
U.S.C. 791).
    (c) The Director, Office of Equal Employment Opportunity, is 
responsible for coordinating implementation of this section. Complaints 
may be sent to Central Intelligence Agency, Director, Office of Equal 
Employment Opportunity, Washington, DC 20505.
    (d) The Agency shall accept and investigate all complete complaints 
for which it has jurisdiction. All complete complaints must be filed 
within 180 days of the alleged act of discrimination. The Agency may 
extend this time period for good cause.
    (e) If the Agency receives a complaint over which it does not have 
jurisdiction, it shall promptly notify the complainant and shall make 
reasonable efforts to refer the complaint to the appropriate government 
entity.
    (f) The Agency shall notify the Architectural and Transportation 
Barriers Compliance Board upon receipt of any complaint alleging that a 
building or facility that is subject to the Architectural Barriers Act 
of 1968, as amended (42 U.S.C. 4151-4157) is not readily accessible to 
and usable by individuals with handicaps.
    (g) Within 180 days of the receipt of a complete complaint for which 
it has jurisdiction, The Agency shall notify the complainant of the 
results of the investigation in a letter containing--
    (1) Findings of fact and conclusions of law;
    (2) A description of a remedy for each violation found; and
    (3) A notice of the right to appeal.
    (h) Appeals of the findings of fact and conclusions of law or 
remedies must be filed by the complainant within 90 days of receipt from 
the Agency of the letter required by Sec. 1906.170(g). The Agency may 
extend this time for good cause.
    (i) Timely appeals shall be accepted and processed by the Director.
    (j) The Agency shall notify the complainant of the results of the 
appeal within 60 days of the receipt of the request. If the Agency 
determines that it needs additional information from the complainant, it 
shall have 60 days from the date it receives the additional information 
to make its determination on the appeal.
    (k) The time limits cited in paragraphs (g) and (j) of this section 
may be extended with the permission of the Assistant Attorney General.
    (l) The Director may delegate the authority for conducting complaint 
investigations to other Federal agencies, except that the authority for 
making the final determination may not be delegated.



PART 1907--CHALLENGES TO CLASSIFICATION OF DOCUMENTS BY AUTHORIZED HOLDERS PURSUANT TO Sec. 1.9 OF EXECUTIVE ORDER 12958--Table of Contents




                                 General

Sec.
1907.01  Authority and purpose.
1907.02  Definitions.
1907.03  Contact for general information and requests.
1907.04  Suggestions and complaints.

                          Filing of Challenges

1907.11  Prerequisites.
1907.12  Requirements as to form.
1907.13  Identification of material at issue.
1907.14  Transmission.

                          Action on Challenges

1907.21  Receipt, recording, and tasking.
1907.22  Challenges barred by res judicata.
1907.23  Response by originator(s) and/or any interested party.
1907.24  Designation of authority to hear challenges.
1907.25  Action on challenge.
1907.26  Notification of decision and prohibition on adverse action.

                             Right of Appeal

1907.31  Right of appeal.


[[Page 465]]


    Authority: Executive Order 12958, 60 FR 19825, 3 CFR 1996 Comp., P. 
333-356 (or successor orders).

    Source: 62 FR 32494, June 16, 1997, unless otherwise noted.

                                 General



Sec. 1907.01  Authority and purpose.

    (a) Authority. This Part is issued under the authority of and in 
order to implement Sec. 1.9 of Executive Order (E.O.) 12958, sec. 102 of 
the National Security Act of 1947, and sec. 6 of the CIA Act of 1949.
    (b) Purpose. This part prescribes procedures for authorized holders 
of information classified under the various provisions of E.O. 12958, or 
predecessor Orders, to seek a review or otherwise challenge the 
classified status of information to further the interests of the United 
States Government. This part and Sec. 1.9 of E.O. 12958 confer no rights 
upon members of the general public, or authorized holders acting in 
their personal capacity, both of whom shall continue to request reviews 
of classification under the mandatory declassification review provisions 
set forth at Sec. 3.6 of E.O. 12958.



Sec. 1907.02  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Authorized holders means any member of any United States 
executive department, military department, the Congress, or the 
judiciary (Article III) who holds a security clearance from or has been 
specifically authorized by the Central Intelligence Agency to possess 
and use on official business classified information, or otherwise has 
Constitutional authority pursuant to their office;
    (c) Ddays means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this CFR Part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (d) Challenge means a request in the individual's official, not 
personal, capacity and in furtherance of the interests of the United 
States;
    (e) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (f) Coordinator means the CIA Information and Privacy Coordinator 
acting in the capacity of Executive Secretary of the Agency Release 
Panel;
    (g) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form, that is:
    (1) Owned by, produced by or for, or under the control of the United 
States Government, and
    (2) Lawfully and actually in the possession of an authorized holder 
and for which ownership and control has not been relinquished by the 
CIA;
    (h) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (i) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (j) This Order means Executive Order 12958 of April 17, 1995 and 
published at 60 FR 19825-19843 (or successor Orders).



Sec. 1907.03  Contact for general information and requests.

    For information on this part or to file a challenge under this part, 
please direct your inquiry to the Executive Secretary, Agency Release 
Panel, Central Intelligence Agency, Washington, DC 20505. The commercial 
(non-secure) telephone is (703) 613-1287; the classified (secure) 
telephone for voice and facsimile is (703) 613-3007.

[[Page 466]]



Sec. 1907.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the Executive Order. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive communications 
and take such actions as determined feasible and appropriate.

                          Filing of Challenges



Sec. 1907.11  Prerequisites.

    The Central Intelligence Agency has established liaison and 
procedures with many agencies for declassification issues. Prior to 
reliance on this Part, authorized holders are required to first exhaust 
such established administrative procedures for the review of classified 
information. Further information on these procedures is available from 
the point of contact, see 32 CFR 1907.03.



Sec. 1907.12  Requirements as to form.

    The challenge shall include identification of the challenger by full 
name and title of position, verification of security clearance or other 
basis of authority, and an identification of the documents or portions 
of documents or information at issue. The challenge shall also, in 
detailed and factual terms, identify and describe the reasons why it is 
believed that the information is not protected by one or more of the 
Sec. 1.5 provisions, that the release of the information would not cause 
damage to the national security, or that the information should be 
declassified due to the passage of time. The challenge must be properly 
classified; in this regard, until the challenge is decided, the 
authorized holder must treat the challenge, the information being 
challenged, and any related or explanatory information as classified at 
the same level as the current classification of the information in 
dispute.



Sec. 1907.13  Identification of material at issue.

    Authorized holders shall append the documents at issue and clearly 
mark those portions subject to the challenge. If information not in 
documentary form is in issue, the challenge shall state so clearly and 
present or otherwise refer with specificity to that information in the 
body of the challenge.



Sec. 1907.14  Transmission.

    Authorized holders must direct challenge requests to the CIA as 
specified in Sec. 1907.03. The classified nature of the challenge, as 
well as the appended documents, require that the holder transmit same in 
full accordance with established security procedures. In general, 
registered U.S. mail is approved for SECRET, non-compartmented material; 
higher classifications require use of approved Top Secret facsimile 
machines or CIA-approved couriers. Further information is available from 
the CIA as well as corporate or other federal agency security 
departments.

                          Action on Challenges



Sec. 1907.21  Receipt, recording, and tasking.

    The Executive Secretary of the Agency Release Panel shall within ten 
(10) days record each challenge received under this Part, acknowledge 
receipt to the authorized holder, and task the originator and other 
interested parties. Additional taskings, as required during the review 
process, shall be accomplished within five (5) days of notification.



Sec. 1907.22  Challenges barred by res judicata.

    The Executive Secretary of the Agency Release Panel shall respond on 
behalf of the Panel and deny any challenge where the information in 
question has been the subject of a classification review within the 
previous two (2) years or is the subject of pending litigation in the 
federal courts.



Sec. 1907.23  Response by originator(s) and/or any interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any challenge; other interested 
parties may become involved through the request of the Executive 
Secretary or the originator when it is determined that some or all of 
the information is also within their official cognizance.
    (b) Determination. These parties shall respond in writing to the 
Executive

[[Page 467]]

Secretary of the Agency Release Panel with a mandatory unclassified 
finding, to the greatest extent possible, and an optional classified 
addendum. This finding shall agree to a declassification or, in specific 
and factual terms, explain the basis for continued classification 
including identification of the category of information, the harm to 
national security which could be expected to result from disclosure, 
and, if older than ten (10) years, the basis for the extension of 
classification time under Secs. 1.6 and 3.4 of this Order. These parties 
shall also provide a statement as to whether or not there is any other 
statutory, common law, or Constitutional basis for withholding as 
required by Sec. 6.1(c) of this Order.
    (c) Time. The determination(s) shall be provided on a ``first-in, 
first-out'' basis with respect to all challenges pending under this 
section and shall be accomplished expeditiously taking into account the 
requirements of the authorized holder as well as the business 
requirements of the originator including their responsibilities under 
the Freedom of Information Act, the Privacy Act, or the mandatory 
declassification review provisions of this Order.



Sec. 1907.24  Designation of authority to hear challenges.

    The Deputy Director for Administration has designated the Agency 
Release Panel and the Historical Records Policy Board, established 
pursuant to 32 CFR 1900.41, as the Agency authority to hear and decide 
challenges under these regulations.



Sec. 1907.25  Action on challenge.

    (a) Action by Agency Release Panel. The Executive Secretary shall 
place challenges ready for adjudication on the agenda at the next 
occurring meeting of the Agency Release Panel. The Executive Secretary 
shall provide a summation memorandum for consideration of the members; 
the complete package consisting of the challenge, the information at 
issue, and the findings of the originator and interested parties shall 
also be provided. The Agency Release Panel shall meet and decide 
challenges sitting as a committee of the whole. Decisions are by 
majority vote of those present at a meeting and shall be based on the 
written record and their deliberations; no personal appearances shall be 
permitted without the express permission of the Panel.
    (b) Action by Historical Records Policy Board. In any cases of 
divided vote by the ARP, any member of that body is authorized to refer 
the request to the CIA Historical Records Policy Board which acts as the 
senior corporate board for the Agency. The record compiled (the request, 
the memoranda filed by the originator and interested parties, and the 
previous decision(s)) as well as any memorandum of law or policy the 
referent desires to be considered, shall be certified by the Executive 
Secretary of the Agency Release Panel and shall constitute the official 
record of the proceedings and must be included in any subsequent 
filings.



Sec. 1907.26  Notification of decision and prohibition on adverse action.

    The Executive Secretary of the Agency Release Panel shall 
communicate the decision of the Agency to the authorized holder, the 
originator, and other interested parties within ten (10) days of the 
decision by the Panel or Board. That correspondence shall include a 
notice that no adverse action or retribution can be taken in regard to 
the challenge and that an appeal of the decision may be made to the 
Interagency Security Classification Appeals Panel (ISCAP) established 
pursuant to Sec. 5.4 of this Order.

                             Right of Appeal



Sec. 1907.31  Right of appeal.

    A right of appeal is available to the ISCAP established pursuant to 
Sec. 5.4 of this Order. Action by that body will be the subject of rules 
to be promulgated by the Information Security Oversight Office (ISOO).

[[Page 468]]



PART 1908--PUBLIC REQUESTS FOR MANDATORY DECLASSIFICATION REVIEW OF CLASSIFIED INFORMATION PURSUANT TO Sec. 3.6 OF EXECUTIVE ORDER 12958--Table of Contents




                                 General

Sec.
1908.01  Authority and purpose.
1908.02  Definitions.
1908.03  Contact for general information and requests.
1908.04  Suggestions and complaints.

       Filing of Mandatory Declassification Review (MDR) Requests

1908.11  Preliminary information.
1908.12  Requirements as to form.
1908.13  Fees.

                      Agency Action on MDR Requests

1908.21  Receipt, recording, and tasking.
1908.22  Requests barred by res judicata.
1908.23  Determination by originator or interested party.
1908.24  Notification of decision and right of appeal.

                      Agency Action on MDR Appeals

1908.31  Requirements as to time and form.
1908.32  Receipt, recording, and tasking.
1908.33  Determination by Deputy Director(s).
1908.34  Establishment of appeals structure.
1908.35  Action by appeals authority.
1908.36  Notification of decision and right of further appeal.

                             Further Appeals

1908.41  Right of further appeal.

    Authority: Executive Orders 12958, 60 FR 19825, 3 CFR 1996 Comp., p. 
333-356 (or successor Orders).

    Source: 62 FR 32495, June 16, 1997, unless otherwise noted.

                                 General



Sec. 1908.01  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 3.6 of Executive Order (E.O.) 12958 (or 
successor Orders); the CIA Information Act of 1984 (50 U.S.C. 431); sec. 
102 of the National Security Act of 1947, as amended (50 U.S.C. 403); 
and sec. 6 of the CIA Act of 1949, as amended (5 U.S.C. 403g).
    (b) Purpose. This part prescribes procedures, subject to limitations 
set forth below, for members of the public to request a declassification 
review of information classified under the various provisions of this or 
predecessor Orders. Section 3.6 of E.O. 12958 and these regulations do 
not create any right or benefit, substantive or procedural, enforceable 
at law by a party against the United States, its agencies, officers, or 
employees.



Sec. 1908.02  Definitions.

    For purposes of this part, the following terms have the meanings as 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;
    (c) Control means ownership or the authority of the CIA pursuant to 
Federal statute or privilege to regulate official or public access to 
records;
    (d) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the information review and release 
program instituted under the mandatory declassification review 
provisions of Executive Order 12958;
    (e) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (f) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or under the control of the United States 
Government; it does not include:
    (1) Information within the scope of the CIA Information Act, or
    (2) Information originated by the incumbent President, White House 
Staff, appointed committees, commissions or boards, or any entities 
within the Executive Office that solely advise and assist the incumbent 
President;

[[Page 469]]

    (g) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (h) NARA means the National Archives and Records Administration;
    (i) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (j) Presidential libraries means the libraries or collection 
authorities established by statute to house the papers of former 
Presidents Hoover, Roosevelt, Truman, Eisenhower, Kennedy, Nixon, Ford, 
Carter, Reagan, Bush and similar institutions or authorities as may be 
established in the future;
    (k) Referral means coordination with or transfer of action to an 
interested party;
    (l) This Order means Executive Order 12958 of April 17, 1995 and 
published at 60 FR 19825-19843 (or successor Orders);



Sec. 1908.03  Contact for general information and requests.

    For general information on this Part or to request a 
declassification review, please direct your communication to the 
Information and Privacy Coordinator, Central Intelligence Agency, 
Washington, DC 20505. Such inquiries will also be accepted by facsimile 
at (703) 613-3007. For general or status information only, the telephone 
number is (703) 613-1287. Collect calls cannot be accepted.



Sec. 1908.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the mandatory declassification review program 
established under Executive Order 12958. Many requesters will receive 
pre-paid, customer satisfaction survey cards. Letters of suggestion or 
complaint should identify the specific purpose and the issues for 
consideration. The Agency will respond to all substantive communications 
and take such actions as determined feasible and appropriate.

       Filing of Mandatory Declassification Review (MDR) Requests



Sec. 1908.11  Preliminary information.

    Members of the public shall address all communications to the point 
of contact specified above and clearly delineate the communication as a 
request under this regulation. Requests and appeals on requests received 
from members of the public who owe outstanding fees for information 
services under this Order or the Freedom of Information Act at this or 
another federal agency will not be accepted until such debts are 
resolved.



Sec. 1908.12  Requirements as to form.

    The request shall identify the document(s) or material(s) with 
sufficient specificity (e.g., National Archives and Records 
Administration (NARA) Document Accession Number or other applicable, 
unique document identifying number) to enable the Agency to locate it 
with reasonable effort. Broad or topical requests for records on a 
particular subject may not be accepted under this provision. A request 
for documents contained in the various Presidential libraries shall be 
effected through the staff of such institutions who shall forward the 
document(s) in question for Agency review. The requester shall also 
provide sufficient personal identifying information when required by the 
Agency to satisfy requirements of this part.



Sec. 1908.13  Fees.

    Requests submitted via NARA or the various Presidential libraries 
shall be responsible for reproduction costs required by statute or 
regulation. Requests made directly to this Agency will be liable for 
costs in the same amount and under the same conditions as specified in 
32 CFR part 1900.

                      Agency Action on MDR Requests



Sec. 1908.21  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each mandatory declassification review

[[Page 470]]

request received under this part, acknowledge receipt to the requester 
in writing (if received directly from a requester), and shall thereafter 
task the originator and other interested parties. Additional taskings, 
as required during the review process, shall be accomplished within ten 
(10) days of notification.



Sec. 1908.22  Requests barred by res judicata.

    The Coordinator shall respond to the requester and deny any request 
where the information in question has been the subject of a 
classification review within the previous two (2) years or is the 
subject of pending litigation in the federal courts.



Sec. 1908.23  Determination by originator or interested party.

    (a) In general. The originator of the classified information 
(document) is a required party to any mandatory declassification review 
request; other interested parties may become involved through a referral 
by the Coordinator when it is determined that some or all of the 
information is also within their official cognizance.
    (b) Required determinations. These parties shall respond in writing 
to the Coordinator with a finding as to the classified status of the 
information including the category of protected information as set forth 
in Sec. 1.5 of this Order, and, if older than ten (10) years, the basis 
for the extension of classification time under Secs. 1.6 and 3.4 of this 
Order. These parties shall also provide a statement as to whether or not 
there is any other statutory, common law, or Constitutional basis for 
withholding as required by Sec. 6.1(c) of this Order.
    (c) Time. This response shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the originator or interested parties and consistent with 
the information rights of members of the general public under the 
Freedom of Information Act and the Privacy Act.



Sec. 1908.24  Notification of decision and right of appeal.

    The Coordinator shall communicate the decision of the Agency to the 
requester within ten (10) days of completion of all review action. That 
correspondence shall include a notice of a right of administrative 
appeal to the Agency Release Panel pursuant to Sec. 3.6(d) of this 
Order.

                      Agency Action on MDR Appeals



Sec. 1908.31  Requirements as to time and form.

    Appeals of decisions must be received by the Coordinator within 
forty-five (45) days of the date of mailing of the Agency's initial 
decision. It shall identify with specificity the documents or 
information to be considered on appeal and it may, but need not, provide 
a factual or legal basis for the appeal.



Sec. 1908.32  Receipt, recording, and tasking.

    The Coordinator shall promptly record each appeal received under 
this part, acknowledge receipt to the requester, and task the originator 
and other interested parties. Additional taskings, as required during 
the review process, shall be accomplished within ten (10) days of 
notification.



Sec. 1908.33  Determination by Deputy Director(s).

    Each Deputy Director in charge of a directorate which originated or 
has an interest in any of the records subject to the appeal, or 
designee, is a required party to any appeal; other interested parties 
may become involved through the request of the Coordinator when it is 
determined that some or all of the information is also within their 
official cognizance. These parties shall respond in writing to the 
Coordinator with a finding as to the classified status of the 
information including the category of protected information as set forth 
in Sec. 1.5 of this Order, and, if older than ten (10) years, the basis 
for continued classification under Secs. 1.6 and 3.4 of this Order. 
These parties shall also provide a statement as to whether or not there 
is any other statutory, common law, or Constitutional basis for 
withholding as required by Sec. 6.1(c) of this Order. This response 
shall be provided expeditiously on a ``first-in, first-out'' basis

[[Page 471]]

taking into account the business requirements of the parties and 
consistent with the information rights of members of the general public 
under the Freedom of Information Act and the Privacy Act.



Sec. 1908.34  Establishment of appeals structure.

    (a) In general. Two administrative entities have been established by 
the Director of Central Intelligence to facilitate the processing of 
administrative appeals under the mandatory declassification review 
provisions of this Order. Their membership, authority, and rules of 
procedure are as follows.
    (b) Historical Records Policy Board (``HRPB'' or ``Board''). This 
Board, the successor to the CIA Information Review Committee, acts as 
the senior corporate board in the CIA on all matters of information 
review and release. It is composed of the Executive Director, who serves 
as its Chair, the Deputy Director for Administration, the Deputy 
Director for Intelligence, the Deputy Director for Operations, the 
Deputy Director for Science and Technology, the General Counsel, the 
Director of Congressional Affairs, the Director of the Public Affairs 
Staff, the Director, Center for the Study of Intelligence, and the 
Associate Deputy Director for Administration/Information Services, or 
their designees. The Board, by majority vote, may delegate to one or 
more of its members the authority to act on any appeal or other matter 
or authorize the Chair to delegate such authority, as long as such 
delegation is not to the same individual or body who made the initial 
denial. The Executive Secretary of the HRPB is the Director, Information 
Management. The Chair may request interested parties to participate when 
special equities or expertise are involved.
    (c) Agency Release Panel (``ARP'' or ``Panel''). The HRPB, pursuant 
to its delegation of authority, has established a subordinate Agency 
Release Panel. This Panel is composed of the Director, Information 
Management, who serves as its Chair; the Information Review Officers 
from the Directorates of Administration, Intelligence, Operations, 
Science and Technology, and the Director of Central Intelligence Area; 
the CIA Information and Privacy Coordinator; the Chief, Historical 
Review Group; the Chair, Publications Review Board; the Chief, Records 
Declassification Program; and representatives from the Offices of 
General Counsel and Congressional Affairs, and the Public Affairs Staff. 
The Information and Privacy Coordinator also serves as the Executive 
Secretary of the Panel. The Panel advises and assists the HRPB on all 
information release issues, monitors the adequacy and timeliness of 
Agency releases, sets component search and review priorities, reviews 
adequacy of resources available to and planning for all Agency release 
programs, and performs such other functions as deemed necessary by the 
Board. The Chair may request interested parties to participate when 
special equities or expertise are involved. The Panel, functioning as a 
committee of the whole or through individual members, will make final 
Agency decisions from appeals of initial denial decisions under E.O. 
12958. Issues not resolved by the Panel will be referred by the Panel to 
the HRPB. Matters decided by the Panel or Board will be deemed a final 
decision by the Agency.



Sec. 1908.35  Action by appeals authority.

    (a) Action by Agency Release Panel. The Coordinator, in his or her 
capacity as Executive Secretary of the Agency Release Panel, shall place 
appeals of mandatory declassification review requests ready for 
adjudication on the agenda at the next occurring meeting of the Agency 
Release Panel. The Executive Secretary shall provide a summation 
memorandum for consideration of the members, the complete record of the 
request consisting of the request, the document(s) (sanitized and full 
text) at issue, and the findings of the originator and interested 
parties. The Panel shall meet and decide requests sitting as a committee 
of the whole. Decisions are by majority vote of those present at a 
meeting and shall be based on the written record and their 
deliberations; no personal appearances shall be permitted without the 
express permission of the Panel.
    (b) Action by Historical Records Policy Board. In any cases of 
divided vote by

[[Page 472]]

the ARP, any member of that body is authorized to refer the request to 
the CIA Historical Records Policy Board which acts as the senior 
corporate board for the Agency. The record compiled (the request, the 
memoranda filed by the originator and interested parties, and the 
previous decision(s)) as well as any memorandum of law or policy the 
referent desires to be considered, shall be certified by the Executive 
Secretary of the Agency Release Panel and shall constitute the official 
record of the proceedings and must be included in any subsequent 
filings.



Sec. 1908.36  Notification of decision and right of further appeal.

    The Coordinator shall communicate the decision of the Panel or Board 
to the requester, NARA, or the particular Presidential Library within 
ten (10) days of such decision. That correspondence shall include a 
notice that an appeal of the decision may be made to the Interagency 
Security Classification Appeals Panel (ISCAP) established pursuant to 
Sec. 5.4 of this Order.

                             Further Appeals



Sec. 1908.41  Right of further appeal.

    A right of further appeal is available to the ISCAP established 
pursuant to Sec. 5.4 of this Order. Action by that Panel will be the 
subject of rules to be promulgated by the Information Security Oversight 
Office (ISOO).



PART 1909--ACCESS BY HISTORICAL RESEARCHERS AND FORMER PRESIDENTIAL APPOINTEES PURSUANT TO Sec. 4.5 OF EXECUTIVE ORDER 12958--Table of Contents




                                 General

Sec.
1909.01  Authority and purpose.
1909.02  Definitions.
1909.03  Contact for general information and requests.
1909.04  Suggestions and complaints.

                     Requests for Historical Access

1909.11  Requirements as to who may apply.
1909.12  Designations of authority to hear requests.
1909.13  Receipt, recording, and tasking.
1909.14  Determinations by tasked officials.
1909.15  Action by hearing authority.
1909.16  Action by appeal authority.
1909.17  Notification of decision.
1909.18  Termination of access.

    Authority: Executive Order 12958, 60 FR 19825. 3 CFR 1996 Comp., p. 
333-356 (or successor Orders).

    Source: 62 FR 32498, June 16, 1997, unless otherwise noted.

                                 General



Sec. 1909.01  Authority and purpose.

    (a) Authority. This part is issued under the authority of and in 
order to implement Sec. 4.5 of Executive Order 12958 (or successor 
Orders); the CIA Information Act of 1984 (50 U.S.C. 431); sec. 102 of 
the National Security Act of 1947, as amended (50 U.S.C. 403); and sec. 
6 of the Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 
403g).
    (b) Purpose. (1) This part prescribes procedures for:
    (i) Requesting access to CIA records for purposes of historical 
research, or
    (ii) Requesting access to CIA records as a former Presidential 
appointee.
    (2) Section 4.5 of Executive Order 12958 and these regulations do 
not create any right or benefit, substantive or procedural, enforceable 
at law by a party against the United States, its agencies, officers, or 
employees.



Sec. 1909.02  Definitions.

    For purposes of this part, the following terms have the meanings 
indicated:
    (a) Agency or CIA means the United States Central Intelligence 
Agency acting through the CIA Information and Privacy Coordinator;
    (b) Agency Release Panel or Panel or ARP means the CIA Agency 
Release Panel established pursuant to 32 CFR 1900.41;
    (c) Days means calendar days when the Agency is operating and 
specifically excludes Saturdays, Sundays, and legal public holidays. 
Three (3) days may be added to any time limit imposed on a requester by 
this part if responding by U.S. domestic mail; ten (10) days may be 
added if responding by international mail;

[[Page 473]]

    (d) Control means ownership or the authority of the CIA pursuant to 
federal statute or privilege to regulate official or public access to 
records;
    (e) Coordinator means the CIA Information and Privacy Coordinator 
who serves as the Agency manager of the historical access program 
established pursuant to Sec. 4.5 of this Order;
    (f) Director, Center for the Study of Intelligence or ``D/CSI'' 
means the Agency official responsible for the management of the CIA's 
various historical programs including the management of access granted 
under this section;
    (g) Director of Personnel Security means the Agency official 
responsible for making all security and access approvals and for 
effecting the necessary non-disclosure and/or pre-publication agreements 
as may be required;
    (h) Federal agency means any executive department, military 
department, or other establishment or entity included in the definition 
of agency in 5 U.S.C. 552(f);
    (i) Former Presidential appointee means any person who has 
previously occupied a policy-making position in the executive branch of 
the United States Government to which they were appointed by the current 
or former President and confirmed by the United States Senate;
    (j) Historian or historical researcher means any individual with 
professional training in the academic field of history (or related 
fields such as journalism) engaged in a research project leading to 
publication (or any similar activity such as academic course 
development) reasonably intended to increase the understanding of the 
American public into the operations and activities of the United States 
government;
    (k) Information means any knowledge that can be communicated or 
documentary material, regardless of its physical form that is owned by, 
produced by or for, or is under the control of the United States 
Government;
    (l) Interested party means any official in the executive, military, 
congressional, or judicial branches of government, United States or 
foreign, or U.S. Government contractor who, in the sole discretion of 
the CIA, has a subject matter or physical interest in the documents or 
information at issue;
    (m) Originator means the CIA officer who originated the information 
at issue, or successor in office, or a CIA officer who has been 
delegated declassification authority for the information at issue in 
accordance with the provisions of this Order;
    (n) This Order means Executive Order 12958 of April 17 1995 and 
published at 60 FR 19825-19843 (or successor Orders).



Sec. 1909.03  Contact for general information and requests.

    For general information on this Part, to inquire about historical 
access to CIA records, or to make a formal request for such access, 
please direct your communication in writing to the Information and 
Privacy Coordinator, Central Intelligence Agency, Washington, DC. 20505. 
Inquiries will also be accepted by facsimile at (703) 613-3007. For 
general information only, the telephone number is (703) 613-1287. 
Collect calls cannot be accepted.



Sec. 1909.04  Suggestions and complaints.

    The Agency welcomes suggestions or complaints with regard to its 
administration of the historical access program established pursuant to 
Executive Order 12958. Letters of suggestion or complaint should 
identify the specific purpose and the issues for consideration. The 
Agency will respond to all substantive communications and take such 
actions as determined feasible and appropriate.

                     Requests for Historical Access



Sec. 1909.11  Requirements as to who may apply.

    (a) Historical researchers--(1) In general. Any historian engaged in 
a historical research project as defined above may submit a request in 
writing to the Coordinator to be given access to classified information 
for purposes of that research. Any such request shall indicate the 
nature, purpose, and scope of the research project.
    (2) Additional considerations. In light of the very limited 
resources for the Agency's various historical programs,

[[Page 474]]

it is the policy of the Agency to consider applications for historical 
research privileges only in those instances where the researcher's needs 
cannot be satisfied through requests for access to reasonably described 
records under the Freedom of Information Act or the mandatory 
declassification review provisions of Executive Order 12958 and where 
issues of internal resource availability and fairness to all members of 
the historical research community militate in favor of a particular 
grant.
    (b) Former Presidential appointees. Any former Presidential 
appointee as defined herein may also submit a request to be given access 
to any classified records which they originated, reviewed, signed, or 
received while serving in that capacity. Such appointees may also 
request approval for a research associate but there is no entitlement to 
such enlargement of access and the decision in this regard shall be in 
the sole discretion of the Agency. Requests from appointees shall be in 
writing to the Coordinator and shall identify the records of interest.



Sec. 1909.12  Designations of authority to hear requests.

    The Deputy Director for Administration has designated the 
Coordinator, the Agency Release Panel, and the Historical Records Policy 
Board, established pursuant to 32 CFR 1900.41, as the Agency authorities 
to decide requests for historical and former Presidential appointee 
access under Executive Order 12958 (or successor Orders) and these 
regulations.



Sec. 1909.13  Receipt, recording, and tasking.

    The Information and Privacy Coordinator shall within ten (10) days 
record each request for historical access received under this Part, 
acknowledge receipt to the requester in writing and take the following 
action:
    (a) Compliance with general requirements. The Coordinator shall 
review each request under this part and determine whether it meets the 
general requirements as set forth in 32 CFR 1909.11; if it does not, the 
Coordinator shall so notify the requester and explain the legal basis 
for this decision.
    (b) Action on requests meeting general requirements. For requests 
which meet the requirements of 32 CFR 1909.11, the Coordinator shall 
thereafter task the D/CSI, the originator(s) of the materials for which 
access is sought, and other interested parties. Additional taskings, as 
required during the review process, shall be accomplished within ten 
(10) days of notification.



Sec. 1909.14  Determinations by tasked officials.

    (a) Required determinations. The tasked parties as specified below 
shall respond in writing to the Coordinator with recommended findings to 
the following issues:
    (1) That a serious professional or scholarly research project by the 
requester is contemplated (by D/CSI);
    (2) That such access is clearly consistent with the interests of 
national security (by originator and interested party, if any);
    (3) That a non-disclosure agreement has been or will be executed by 
the requester (or research associate, if any) and other appropriate 
steps have been taken to assure that classified information will not be 
disclosed or otherwise compromised (by Director of Personnel Security 
and representative of the Office of General Counsel);
    (4) That a pre-publication agreement has been or will be executed by 
the requester (or research associate, if any) which provides for a 
review of notes and any resulting manuscript (by Director of Personnel 
Security and representative of the Office of General Counsel);
    (5) That the information requested is reasonably accessible and can 
be located and compiled with a reasonable effort (by D/CSI and 
originator);
    (6) That it is reasonably expected that substantial and substantive 
government documents and/or information will be amenable to 
declassification and release and/or publication (by D/CSI and 
originator);
    (7) That sufficient resources are available for the administrative 
support of the researcher given current mission requirements (by D/CSI 
and originator); and,

[[Page 475]]

    (8) That the request cannot be satisfied to the same extent through 
requests for access to reasonably described records under the Freedom of 
Information Act or the mandatory declassification review provisions of 
Executive Order 12958 (by Coordinator, D/CSI and originator).
    (b) Time. These responses shall be provided expeditiously on a 
``first-in, first-out'' basis taking into account the business 
requirements of the tasked offices and consistent with the information 
rights of members of the general public under the Freedom of Information 
Act and the Privacy Act. The Agency will utilize its best efforts to 
complete action on requests under this part within thirty (30) days of 
date of receipt.



Sec. 1909.15  Action by hearing authority.

    Action by Agency Release Panel. The Coordinator, in his or her 
capacity as Executive Secretary of the Agency Release Panel, shall place 
historical access requests ready for adjudication on the agenda at the 
next occurring meeting of the Agency Release Panel. The Executive 
Secretary shall provide a summation memorandum for consideration of the 
members, the complete record of the request consisting of the request 
and the findings of the tasked parties. The Panel shall meet and decide 
requests sitting as a committee of the whole on the basis of the eight 
factors enumerated at 32 CFR 1909.14(a). Decisions are by majority vote 
of those present at a meeting and shall be based on the written record 
and their deliberations; no personal appearances shall be permitted 
without the express permission of the Panel.



Sec. 1909.16  Action by appeal authority.

    In any cases of divided vote by the ARP, any member of that body is 
authorized to refer the request to the CIA Historical Records Policy 
Board which acts as the senior corporate board for the Agency. The 
record compiled (the request, the memoranda filed by the originator and 
interested parties, and the previous decision(s)) as well as any 
memorandum of law or policy the referent desires to be considered, shall 
be certified by the Executive Secretary of the Agency Release Panel and 
shall constitute the official record of the proceedings and must be 
included in any subsequent filings. In such cases, the factors to be 
determined as specified in 32 CFR 1909.14(a) will be considered by the 
Board de novo and that decision shall be final.



Sec. 1909.17  Notification of decision.

    The Coordinator shall inform the requester of the decision of the 
Agency Release Panel or the Historical Records Policy Board within ten 
(10) days of the decision and, if favorable, shall manage the access for 
such period as deemed required but in no event for more than two (2) 
years unless renewed by the Panel or Board in accordance with the 
requirements of 32 CFR 1909.14(a).



Sec. 1909.18  Termination of access.

    The Coordinator shall cancel any authorization whenever the Director 
of Personnel Security cancels the security clearance of a requester (or 
research associate, if any) or whenever the Agency Release Panel 
determines that continued access would not be in compliance with one or 
more of the requirements of 32 CFR 1909.14(a).

[[Page 477]]



CHAPTER XX--INFORMATION SECURITY OVERSIGHT OFFICE, NATIONAL ARCHIVES AND 
                         RECORDS ADMINISTRATION




  --------------------------------------------------------------------
Part                                                                Page
2000

Administrative procedures [Reserved]

2001            Classified national security information....         479
2002            General guidelines for systematic 
                    declassification review of foreign 
                    government information..................         504
2003            National security information--standard 
                    forms...................................         509
2004            Directive on safeguarding classified 
                    national security information...........         516

[[Page 479]]

             PART 2000--ADMINISTRATIVE PROCEDURES [RESERVED]



PART 2001--CLASSIFIED NATIONAL SECURITY INFORMATION--Table of Contents




                        Subpart A--Classification

Sec.
2001.10  Classification definitions and standards [1.1 and 1.2].
2001.11  Classification authority [1.4].
2001.12  Duration of classification [1.6].
2001.13  Classification challenges [1.9].
2001.14  Classification guides [2.3].

                 Subpart B--Identification and Markings

2001.20  General [1.7].
2001.21  Original classification [1.7(a)].
2001.22  Derivative classification [2.2].
2001.23  Additional requirements [1.7].
2001.24  Declassification markings. [Reserved]

                       Subpart C--Self-Inspections

2001.30  General [5.6].
2001.31  Coverage [5.6(c)(4)].

               Subpart D--Security Education and Training

2001.40  General [5.6].
2001.41  Coverage [5.6(c)(3)].

                       Subpart E--Declassification

2001.50  Definition [3.1].
2001.51  Automatic declassification [3.4].
2001.52  Systematic declassification review [3.5].
2001.53  Declassification guides [3.5(b)].
2001.54  Mandatory review for declassification [3.6, 3.7].
2001.55  Document referral.

                          Subpart F--Reporting

2001.60  Statistical reporting [5.3].
2001.61  Accounting for costs [5.6(c)(8)].
2001.62  Effective date [6.2].

Appendix A to Part 2001--Interagency Security Classification Appeals 
          Panel Bylaws.

    Authority: Section 5.2 (a) and (b), and section 5.4., E.O. 12958, 60 
FR 19825, April 20, 1995.

    Source: 60 FR 53492, Oct. 13, 1995, unless otherwise noted.



                        Subpart A--Classification



Sec. 2001.10  Classification definitions and standards [1.1 and 1.2].\1\

    (a) Definitions. (1) An original classification authority with 
jurisdiction over the information includes:
---------------------------------------------------------------------------

    \1\ Bracketed references pertain to related sections of Executive 
Order 12958.
---------------------------------------------------------------------------

    (i) The official who authorized the original classification, if that 
official is still serving in the same position;
    (ii) The originator's current successor in function;
    (iii) A supervisory official of either; or
    (iv) The senior agency official under Executive Order 12958 (``the 
Order'').
    (2) Permanently valuable information or permanent historical value 
refers to information contained in:
    (i) Records that have been accessioned into the National Archives of 
the United States;
    (ii) Records that have been scheduled as permanent under a records 
retention schedule approved by the National Archives and Records 
Administration (NARA); and
    (iii) Presidential historical materials, presidential records or 
donated historical materials located in the National Archives of the 
United States, a presidential library, or any other approved repository.
    (b) Identifying or describing damage to the national security. 
Section 1.2(a) of the Order sets forth the conditions for classifying 
information in the first instance. One of these conditions, the ability 
to identify or describe the damage to the national security, is critical 
to the process of making an original classification decision. There is 
no requirement, at the time of the decision, for the original 
classification authority to prepare a written description of such 
damage. However, the original classification authority must be able to 
support the decision in writing, including identifying or describing the 
damage, should the classification decision become the subject of a 
challenge or access demand.



Sec. 2001.11  Classification authority [1.4].

    (a) General. Agencies with original classification authority shall 
establish a training program for original classifiers in accordance with 
subpart D of this part.

[[Page 480]]

    (b) Requests for original classification authority. Agencies not 
possessing such authority shall forward requests to the Director of the 
Information Security Oversight Office (ISOO). The agency head must make 
the request and shall provide a specific justification of the need for 
this authority. The Director of ISOO shall forward the request, along 
with the Director's recommendation, to the President through the 
Director of the Office of Management and Budget within 30 days. Agencies 
wishing to increase their assigned level of original classification 
authority shall forward requests in accordance with the procedures of 
this section.



Sec. 2001.12  Duration of classification [1.6].

    (a) Determining duration of classification for information 
originally classified under the Order--(1) Establishing duration of 
classification. When determining the duration of classification for 
information originally classified under this Order, an original 
classification authority shall follow the sequence listed in paragraphs 
(a)(1)(i), (ii), and (iii) of this section.
    (i) The original classification authority shall attempt to determine 
a date or event that is less than 10 years from the date of original 
classification and which coincides with the lapse of the information's 
national security sensitivity, and shall assign such date or event as 
the declassification instruction.
    (ii) If unable to determine a date or event of less than 10 years, 
the original classification authority shall ordinarily assign a 
declassification date that is 10 years from the date of the original 
classification decision.
    (iii) The original classification authority may assign an exemption 
designation to the information only if the information qualifies for 
exemption from automatic declassification as described in section 1.6(d) 
of the Order. Unless declassified earlier, such information contained in 
records determined by the Archivist of the United States to be 
permanently valuable shall remain classified for 25 years from the date 
of its origin, at which time it will be subject to section 3.4 of the 
Order.
    (2) Extending duration of classification for information originally 
classified under the Order. Extensions of classification are not 
automatic. If an original classification authority with jurisdiction 
over the information does not extend the classification of information 
assigned a date or event for declassification, the information is 
automatically declassified upon the occurrence of the date or event. If 
an original classification authority has assigned a date or event for 
declassification that is 10 years or less from the date of 
classification, an original classification authority with jurisdiction 
over the information may extend the classification duration of such 
information for additional periods not to exceed 10 years at a time.
    (i) For information in records determined to have permanent 
historical value, successive extensions may not exceed a total of 25 
years from the date of the information's origin. Continued 
classification of this information beyond 25 years is governed by 
section 3.4 of the Order.
    (ii) For information in records not determined to have permanent 
historical value, successive extensions may exceed 25 years from the 
date of the information's origin.
    (3) Conditions for extending classification. When extending the 
duration of classification, the original classification authority must:
    (i) Be an original classification authority with jurisdiction over 
the information;
    (ii) Ensure that the information continues to meet the standards for 
classification under the Order; and
    (iii) Make reasonable attempts to notify all known holders of the 
information.
    (b) Information classified under prior orders--(1) Specific date or 
event. Unless declassified earlier, information marked with a specific 
date or event for declassification under a prior order is automatically 
declassified upon that date or event. However, if the information is 
contained in records determined by the Archivist of the United States to 
be permanently valuable, and the prescribed date or event will take 
place more than 25 years from the information's origin, the 
declassification of the

[[Page 481]]

information will instead be subject to section 3.4 of the Order.
    (2) Indefinite duration of classification. For information marked 
``Originating Agency's Determination Required,'' its acronym ``OADR,'' 
or with some other marking indicating an indefinite duration of 
classification under a prior order:
    (i) A declassification authority, as defined in section 3.1 of the 
Order, may declassify it;
    (ii) An authorized original classification authority with 
jurisdiction over the information may re-mark the information to 
establish a duration of classification consistent with the requirements 
for information originally classified under the Order, as provided in 
paragraph (a) of this section; or
    (iii) Unless declassified earlier, such information contained in 
records determined by the Archivist of the United States to be 
permanently valuable shall remain classified for 25 years from the date 
of its origin, at which time it will be subject to section 3.4 of the 
Order.
    (c) Foreign government information. The declassifying agency is the 
agency that initially received or classified the information. When 
foreign government information is being considered for declassification 
or appears to be subject to automatic declassification, the 
declassifying agency shall determine whether the information is subject 
to a treaty or international agreement that would prevent its 
declassification at that time. Depending on the age of the information 
and whether it is contained in permanently valuable records, the 
declassifying agency shall also determine if another exemption under 
section 1.6(d) (other than section 1.6(d)(5)) or 3.4(b) of the Order, 
such as the exemptions that pertain to United States foreign relations, 
may apply to the information. If the declassifying agency believes such 
an exemption may apply, it should consult with any other concerned 
agencies in making its declassification determination. The declassifying 
agency or the Department of State, as appropriate, should consult with 
the foreign government prior to declassification.
    (d) Determining when information is subject to automatic 
declassification. The ``date of the information's origin'' or ``the 
information's origin,'' as used in the Order and this part, pertains to 
the date that specific information, which is contemporaneously or 
subsequently classified, is first recorded in an agency's records, or in 
presidential historical materials, presidential records or donated 
historical materials. The following examples illustrate this process:

    Example 1. An agency first issues a classification guide on the F-99 
aircraft on October 20, 1995. The guide states that the fact that the F-
99 aircraft has a maximum velocity of 500 m.p.h. shall be classified at 
the ``Secret'' level for a period of ten years. A document dated July 
10, 1999, is classified because it includes the maximum velocity of the 
F-99. The document should be marked for declassification on October 20, 
2005, ten years after the specific information was first recorded in the 
guide, not on July 10, 2009, ten years after the derivatively classified 
document was created.
    Example 2. An agency classification guide issued on October 20, 
1995, states that the maximum velocity of any fighter aircraft shall be 
classified at the ``Secret'' level for a period of ten years. The agency 
first records the specific maximum velocity of the new F-88 aircraft on 
July 10, 1999. The document should be marked for declassification on 
July 10, 2009, ten years after the specific information is first 
recorded, and not on October 20, 2005, ten years after the date of the 
guide's generic instruction.



Sec. 2001.13  Classification challenges [1.9].

    (a) Challenging classification. Authorized holders wishing to 
challenge the classification status of information shall present such 
challenges to an original classification authority with jurisdiction 
over the information. An authorized holder is any individual, including 
an individual external to the agency, who has been granted access to 
specific classified information in accordance with section 4.2(g) of the 
Order. A formal challenge under this provision must be in writing, but 
need not be any more specific than to question why information is or is 
not classified, or is classified at a certain level.
    (b) Agency procedures. (1) Because the Order encourages authorized 
holders to challenge classification as a means for promoting proper and 
thoughtful classification actions, agencies shall ensure that no 
retribution is taken

[[Page 482]]

against any authorized holders bringing such a challenge in good faith.
    (2) Agencies shall establish a system for processing, tracking and 
recording formal classification challenges made by authorized holders. 
Agencies shall consider classification challenges separately from 
Freedom of Information Act or other access requests, and shall not 
process such challenges in turn with pending access requests.
    (3) The agency shall provide an initial written response to a 
challenge within 60 days. If the agency is unable to respond to the 
challenge within 60 days, the agency must acknowledge the challenge in 
writing, and provide a date by which the agency will respond. The 
acknowledgment must include a statement that if no agency response is 
received within 120 days, the challenger has the right to forward the 
challenge to the Interagency Security Classification Appeals Panel for a 
decision. The challenger may also forward the challenge to the 
Interagency Security Classification Appeals Panel if an agency has not 
responded to an internal appeal within 90 days of the agency's receipt 
of the appeal. Agency responses to those challenges it denies shall 
include the challenger's appeal rights to the Interagency Security 
Classification Appeals Panel.
    (4) Whenever an agency receives a classification challenge to 
information that has been the subject of a challenge within the past two 
years, or that is the subject of pending litigation, the agency is not 
required to process the challenge beyond informing the challenger of 
this fact and of the challenger's appeal rights, if any.
    (c) Additional considerations. (1) Challengers and agencies shall 
attempt to keep all challenges, appeals and responses unclassified. 
However, classified information contained in a challenge, an agency 
response, or an appeal shall be handled and protected in accordance with 
the Order and its implementing directives. Information being challenged 
for classification shall remain classified unless and until a final 
decision is made to declassify it.
    (2) The classification challenge provision is not intended to 
prevent an authorized holder from informally questioning the 
classification status of particular information. Such informal inquiries 
should be encouraged as a means of holding down the number of formal 
challenges.



Sec. 2001.14  Classification guides [2.3].

    (a) Preparation of classification guides. Originators of 
classification guides are encouraged to consult users of guides for 
input when developing or updating guides. When possible, originators of 
classification guides are encouraged to communicate within their 
agencies and with other agencies that are developing guidelines for 
similar activities to ensure the consistency and uniformity of 
classification decisions. Each agency shall maintain a list of its 
classification guides in use.
    (b) General content of classification guides. Classification guides 
shall, at a minimum:
    (1) Identify the subject matter of the classification guide;
    (2) Identify the original classification authority by name or 
personal identifier, and position;
    (3) Identify an agency point-of-contact or points-of-contact for 
questions regarding the classification guide;
    (4) Provide the date of issuance or last review;
    (5) State precisely the elements of information to be protected;
    (6) State which classification level applies to each element of 
information, and, when useful, specify the elements of information that 
are unclassified;
    (7) State, when applicable, special handling caveats;
    (8) Prescribe declassification instructions or the exemption 
category from automatic declassification for each element of 
information;
    (9) Specify, when citing the exemption category listed in section 
1.6(d)(8) of the Order, the applicable statute, treaty or international 
agreement; and
    (10) State a concise reason for classification which, at a minimum, 
cites the applicable classification category or categories in section 
1.5 of the Order.
    (c) Dissemination of classification guides. Classification guides 
shall be disseminated as widely as necessary to ensure the proper and 
uniform derivative classification of information.

[[Page 483]]

    (d) Reviewing and updating classification guides. (1) Classification 
guides, including guides created under prior orders, shall be reviewed 
and updated as circumstances require, but, in any event, at least once 
every five years. Updated instructions for guides first created under 
prior orders shall comply with the requirements of the Order and this 
part.
    (2) Originators of classification guides are encouraged to consult 
the users of guides for input when reviewing or updating guides. Also, 
users of classification guides are encouraged to notify the originator 
of the guide when they acquire information that suggests the need for 
change in the instructions contained in the guide.



                 Subpart B--Identification and Markings



Sec. 2001.20  General [1.7].

    A uniform security classification system requires that standard 
markings be applied to classified information. Except in extraordinary 
circumstances, or as approved by the Director of ISOO, the marking of 
classified information created after October 14, 1995, shall not deviate 
from the following prescribed formats. If markings cannot be affixed to 
specific classified information or materials, the originator shall 
provide holders or recipients of the information with written 
instructions for protecting the information. Markings shall be uniformly 
and conspicuously applied to leave no doubt about the classified status 
of the information, the level of protection required, and the duration 
of classification.



Sec. 2001.21  Original classification [1.7(a)].

    (a) Primary markings. On the face of each originally classified 
document, including electronic media, the classifier shall apply the 
following markings.
    (1) Classification authority. The name or personal identifier, and 
position title of the original classifier shall appear on the 
``Classified By'' line. An example might appear as:

Classified By: David Smith, Chief, Division 5 or
Classified By: ID IMNO1, Chief, Division 5

    (2) Agency and office of origin. If not otherwise evident, the 
agency and office of origin shall be identified and placed below the 
name on the ``Classified By'' line. An example might appear as:

Classified By: David Smith, Chief, Division 5 Department of Good Works, 
Office of Administration

    (3) Reason for classification. The original classifier shall 
identify the reason(s) for the decision to classify. The classifier 
shall include, at a minimum, a brief reference to the pertinent 
classification category(ies), or the number 1.5 plus the letter(s) that 
corresponds to that classification category in section 1.5 of the Order.
    (i) These categories, as they appear in the Order, are as follows:

    (a) military plans, weapons, or operations;
    (b) foreign government information;
    (c) intelligence activities (including special activities), 
intelligence sources or methods, or cryptology;
    (d) foreign relations or foreign activities of the United States, 
including confidential sources;
    (e) scientific, technological, or economic matters relating to the 
national security;
    (f) United States Government programs for safeguarding nuclear 
materials or facilities; or
    (g) vulnerabilities or capabilities of systems, installations, 
projects or plans relating to the national security.

    (ii) An example might appear as:

Classified By: David Smith, Chief, Division 5, Department of Good Works, 
Office of Administration
Reason: Vulnerabilities or capabilities of plans relating to the 
national security or
Reason: 1.5(g)

    (iii) When the reason for classification is not apparent from the 
content of the information, e.g., classification by compilation, the 
classifier shall provide a more detailed explanation of the reason for 
classification.
    (4) Declassification instructions. The duration of the original 
classification decision shall be placed on the ``Declassify On'' line. 
The classifier will apply one of the following instructions.
    (i) The classifier will apply a date or event for declassification 
that corresponds to the lapse of the information's national security 
sensitivity, which may not exceed 10 years from

[[Page 484]]

the date of the original decision. When linking the duration of 
classification to a specific date or event, mark that date or event as:

Classified By: David Smith, Chief, Division 5, Department of Good Works, 
Office of Administration
Reason: 1.5(g)
Declassify On: October 14, 2004 or
Declassify On: Completion of Operation

    (ii) When a specific date or event within 10 years cannot be 
established, the classifier will apply the date that is 10 years from 
the date of the original decision. For example, on a document that 
contains information classified on October 14, 1995, mark the 
``Declassify On'' line as:

Classified By: David Smith, Chief, Division 5, Department of Good Works, 
Office of Administration
Reason: 1.5(g)
Declassify On: October 14, 2005

    (iii) Upon the determination that the information must remain 
classified beyond 10 years, the classifier will apply the letter ``X'' 
plus a brief recitation of the exemption category(ies), or the letter 
``X'' plus the number that corresponds to that exemption category(ies) 
in section 1.6(d) of the Order.
    (A) Exemption categories in E.O. 12958.

    X1: reveal an intelligence source, method, or activity, or a 
cryptologic system or activity;
    X2: reveal information that would assist in the development or use 
of weapons of mass destruction;
    X3: reveal information that would impair the development or use of 
technology within a United States weapons system;
    X4: reveal United States military plans, or national security 
emergency preparedness plans;
    X5: reveal foreign government information;
    X6: damage relations between the United States and a foreign 
government, reveal a confidential source, or seriously undermine 
diplomatic activities that are reasonably expected to be ongoing for a 
period greater than that provided in paragraph (b) above, [section 
1.6(b) of the Order];
    X7: impair the ability of responsible United States Government 
officials to protect the President, the Vice President, and other 
individuals for whom protection services, in the interest of national 
security, are authorized; or
    X8: violate a statute, treaty, or international agreement.

    (B) Example. A document containing information exempted from 
automatic declassification may appear as:

Classified By: David Smith, Chief, Division 5, Department of Good Works, 
Office of Administration
Reason: 1.5(g)
Declassify On: X-U.S. military plans or
Declassify On: X4

    (b) Overall marking. The highest level of classified information 
contained in a document shall appear in a way that will distinguish it 
clearly from the informational text.
    (1) Conspicuously place the overall classification at the top and 
bottom of the outside of the front cover (if any), on the title page (if 
any), on the first page, and on the outside of the back cover (if any).
    (2) For documents containing information classified at more than one 
level, the overall marking shall be the highest level. For example, if a 
document contains some information marked ``Secret'' and other 
information marked ``Confidential,'' the overall marking would be 
``Secret.''
    (3) Each interior page of a classified document shall be marked at 
the top and bottom either with the highest level of classification of 
information contained on that page, including the designation 
``Unclassified'' when it is applicable, or with the highest overall 
classification of the document.
    (c) Portion marking. Each portion of a document, ordinarily a 
paragraph, but including subjects, titles, graphics and the like, shall 
be marked to indicate its classification level by placing a 
parenthetical symbol immediately preceding or following the portion to 
which it applies.
    (1) To indicate the appropriate classification level, the symbols 
``(TS)'' for Top Secret, ``(S)'' for Secret, ``(C)'' for Confidential, 
and ``(U)'' for Unclassified shall be used.
    (2) Unless the original classification authority indicates otherwise 
on the document, each classified portion of a document exempted from 
automatic declassification shall be presumed to be exempted from 
automatic declassification also.

[[Page 485]]

    (3) An agency head or senior agency official may request a waiver 
from the portion marking requirement for a specific category of 
information. Such a request shall be submitted to the Director of ISOO 
and should include the reasons that the benefits of portion marking are 
outweighed by other factors. Statements citing administrative burden 
alone will ordinarily not be viewed as sufficient grounds to support a 
waiver.
    (d) Classification extensions. (1) An original classification 
authority may extend the duration of classification for successive 
periods not to exceed 10 years at a time. For information contained in 
records determined to be permanently valuable, multiple extensions shall 
not exceed 25 years from the date of the information's origin.
    (2) The ``Declassify On'' line shall be revised to include the new 
declassification instructions, and shall include the identity of the 
person authorizing the extension and the date of the action.
    (3) The office of origin shall make reasonable attempts to notify 
all holders of such information. Classification guides shall be updated 
to reflect such revisions.
    (4) An example of an extended duration of classification may appear 
as:

Classified By: David Smith, Chief, Division 5, Department of Good Works, 
Office of Administration
Reason: 1.5(g)
    Declassify On: Classification extended on December 1, 2000, until 
December 1, 2010, by David Jones, Chief, Division 5

    (e) Marking information exempted from automatic declassification at 
25 years. (1) When an agency head or senior agency official exempts 
permanently valuable information from automatic declassification at 25 
years, the ``Declassify On'' line shall be revised to include the symbol 
``25X'' plus a brief reference to the pertinent exemption category(ies) 
or the number(s) that corresponds to that category(ies) in section 
3.4(b) of the Order. Other than when the exemption pertains to the 
identity of a confidential human source, or a human intelligence source, 
the revised ``Declassify On'' line shall also include the new date or 
event for declassification.
    (2) The pertinent exemptions, using the language of section 3.4(b) 
of the Order, are:

    25X1: reveal the identity of a confidential human source, or reveal 
information about the application of an intelligence source or method, 
or reveal the identity of a human intelligence source when the 
unauthorized disclosure of that source would clearly and demonstrably 
damage the national security interests of the United States;
    25X2: reveal information that would assist in the development or use 
of weapons of mass destruction;
    25X3: reveal information that would impair U.S. cryptologic systems 
or activities;
    25X4: reveal information that would impair the application of state-
of-the-art technology within a U.S. weapon system;
    25X5: reveal actual U.S. military war plans that remain in effect;
    25X6: reveal information that would seriously and demonstrably 
impair relations between the United States and a foreign government, or 
seriously and demonstrably undermine ongoing diplomatic activities of 
the United States;
    25X7: reveal information that would clearly and demonstrably impair 
the current ability of United States Government officials to protect the 
President, Vice President, and other officials for whom protection 
services, in the interest of national security, are authorized;
    25X8: reveal information that would seriously and demonstrably 
impair current national security emergency preparedness plans; or
    25X9: violate a statute, treaty, or international agreement.

    (3) The pertinent portion of the marking would appear as:

Declassify On: 25X-State-of-the-art technology within U.S. weapon 
system, October 1, 2010 or
Declassify On: 25X4, October 1, 2010

    (4) Documents should not be marked with a ``25X'' marking until the 
agency has been informed that the President or the Interagency Security 
Classification Appeals Panel concurs with the proposed exemption.
    (5) Agencies need not apply a ``25X'' marking to individual 
documents contained in a file series exempted from automatic 
declassification under section 3.4(c) of the Order until the individual 
document is removed from the file.

[[Page 486]]



Sec. 2001.22  Derivative classification [2.2].

    (a) General. Information classified derivatively on the basis of 
source documents or classification guides shall bear all markings 
prescribed in Sec. 2001.20 and Sec. 2001.21, except as provided in this 
section. Information for these markings shall be carried forward from 
the source document or taken from instructions in the appropriate 
classification guide.
    (b) Source of derivative classification. (1) The derivative 
classifier shall concisely identify the source document or the 
classification guide on the ``Derived From'' line, including the agency 
and, where available, the office of origin, and the date of the source 
or guide. An example might appear as:

Derived From: Memo, ``Funding Problems,'' October 20, 1995, Ofc. of 
Admin., Department of Good Works or
Derived From: CG No. 1, Department of Good Works, dated October 20, 1995

    (i) When a document is classified derivatively on the basis of more 
than one source document or classification guide, the ``Derived From'' 
line shall appear as:

Derived From: Multiple Sources

    (ii) The derivative classifier shall maintain the identification of 
each source with the file or record copy of the derivatively classified 
document. When practicable, this list should be included in or with all 
copies of the derivatively classified document.
    (2) A document derivatively classified on the basis of a source 
document that is itself marked ``Multiple Sources'' shall cite the 
source document on its ``Derived From'' line rather than the term 
``Multiple Sources.'' An example might appear as:

Derived From: Report entitled, ``New Weapons,'' dated October 20, 1995, 
Department of Good Works, Office of Administration

    (c) Reason for classification. The reason for the original 
classification decision, as reflected in the source document(s) or 
classification guide, is not required to be transferred in a derivative 
classification action. If included, however, it shall conform to the 
standards in Sec. 2001.21(a)(3).
    (d) Declassification instructions. (1) The derivative classifier 
shall carry forward the instructions on the ``Declassify On'' line from 
the source document to the derivative document, or the duration 
instruction from the classification guide.
    (2) When a document is classified derivatively on the basis of more 
than one source document or more than one element of a classification 
guide, the ``Declassify On'' line shall reflect the longest duration of 
any of its sources.
    (i) When a document is classified derivatively from a source 
document(s) or classification guide that contains the declassification 
instruction, ``Originating Agency's Determination Required,'' or 
``OADR,'' unless otherwise instructed by the original classifier, the 
derivative classifier shall carry forward:
    (A) The fact that the source document(s) was marked with this 
instruction; and
    (B) The date of origin of the most recent source document(s), 
classification guide, or specific information, as appropriate to the 
circumstances.
    (ii) An example might appear as:

Declassify On: Source marked ``OADR'', Date of source: October 20, 1990

    (iii) This marking will permit the determination of when the 
classified information is 25 years old and, if permanently valuable, 
subject to automatic declassification under section 3.4 of the Order.
    (e) Overall marking. The derivative classifier shall conspicuously 
mark the classified document with the highest level of classification of 
information included in the document, as provided in Sec. 2001.21(b).
    (f) Portion marking. Each portion of a derivatively classified 
document shall be marked in accordance with its source, and as provided 
in Sec. 2001.21(c).



Sec. 2001.23  Additional requirements [1.7].

    (a) Marking prohibitions. Markings other than ``Top Secret,'' 
``Secret,'' and ``Confidential,'' such as ``For Official Use Only,'' or 
``Limited Official Use,'' shall not be used to identify classified 
national security information. No other term or phrase shall be used in 
conjunction with these markings, such as ``Secret Sensitive'' or 
``Agency

[[Page 487]]

Confidential,'' to identify classified national security information. 
The terms ``Top Secret,'' ``Secret,'' and ``Confidential'' should not be 
used to identify non-classified executive branch information.
    (b) Agency prescribed special markings. Agencies shall refrain from 
the use of special markings when they merely restate or emphasize the 
principles and standards of the Order and this part. Upon request, the 
senior agency official shall provide the Director of ISOO with a written 
explanation for the use of agency special markings.
    (c) Transmittal documents. A transmittal document shall indicate on 
its face the highest classification level of any classified information 
attached or enclosed. The transmittal shall also include conspicuously 
on its face the following or similar instructions, as appropriate:

Unclassified When Classified Enclosure Removed or Upon Removal of 
Attachments, This Document is (Classification Level)

    (d) Foreign government information. Documents that contain foreign 
government information shall include the marking, ``This Document 
Contains (indicate country of origin) Information.'' The portions of the 
document that contain the foreign government information shall be marked 
to indicate the government and classification level, e.g., ``(UK-C).'' 
If the identity of the specific government must be concealed, the 
document shall be marked, ``This Document Contains Foreign Government 
Information,'' and pertinent portions shall be marked ``FGI'' together 
with the classification level, e.g., ``(FGI-C).'' In such cases, a 
separate record that identifies the foreign government shall be 
maintained in order to facilitate subsequent declassification actions. 
When classified records are transferred to the National Archives and 
Records Administration for storage or archival purposes, the 
accompanying documentation shall, at a minimum, identify the boxes that 
contain foreign government information. If the fact that information is 
foreign government information must be concealed, the markings described 
in this paragraph shall not be used and the document shall be marked as 
if it were wholly of U.S. origin.
    (e) Working papers. A working paper is defined as documents or 
materials, regardless of the media, which are expected to be revised 
prior to the preparation of a finished product for dissemination or 
retention. Working papers containing classified information shall be 
dated when created, marked with the highest classification of any 
information contained in them, protected at that level, and destroyed 
when no longer needed. When any of the following conditions applies, 
working papers shall be controlled and marked in the same manner 
prescribed for a finished document at the same classification level:
    (1) Released by the originator outside the originating activity;
    (2) Retained more than 180 days from the date of origin; or
    (3) Filed permanently.
    (f) Other material. Bulky material, equipment and facilities, etc., 
shall be clearly identified in a manner that leaves no doubt about the 
classification status of the material, the level of protection required, 
and the duration of classification. Upon a finding that identification 
would itself reveal classified information, such identification is not 
required. Supporting documentation for such a finding must be maintained 
in the appropriate security facility and in any applicable 
classification guide.
    (g) Unmarked materials. Information contained in unmarked records, 
or presidential or related materials, and which pertains to the national 
defense or foreign relations of the United States and has been 
maintained and protected as classified information under prior orders 
shall continue to be treated as classified information under the Order, 
and is subject to its provisions regarding declassification.



Sec. 2001.24  Declassification markings. [Reserved]



                       Subpart C--Self-Inspections



Sec. 2001.30  General [5.6].

    (a) Purpose. This subpart sets standards for establishing and 
maintaining an ongoing agency self-inspection program, which shall 
include the periodic review and assessment of the agency's

[[Page 488]]

classified product. ``Self-inspection'' means the internal review and 
evaluation of individual agency activities and the agency as a whole 
with respect to the implementation of the program established under the 
Order.
    (b) Applicability. These standards are binding on all executive 
branch agencies that create or handle classified information. Pursuant 
to Executive Order 12829, the National Industrial Security Program 
Operating Manual (NISPOM) prescribes the security requirements, 
restrictions and safeguards applicable to industry, including the 
conduct of contractor self-inspections. The standards established in the 
NISPOM should be consistent with the standards prescribed in Executive 
Order 12958 and this part.
    (c) Responsibility. The senior agency official is responsible for 
the agency's self-inspection program. The senior agency official shall 
designate agency personnel to assist in carrying out this 
responsibility.
    (d) Approach. The official(s) responsible for the program shall 
determine the means and methods for the conduct of self-inspections. 
These may include:
    (1) A review of relevant security directives, guides and 
instructions;
    (2) Interviews with producers and users of classified information;
    (3) A review of access and control records and procedures; and
    (4) A review of a sample of classified documents generated by agency 
activities.
    (e) Frequency. The official(s) responsible for the program shall set 
the frequency of self-inspections on the basis of program needs and the 
degree of classification activity. Activities that originate significant 
amounts of classified information should conduct at least one document 
review per year.
    (f) Reporting. The format for documenting findings shall be set by 
the official(s) responsible for the program.



Sec. 2001.31  Coverage [5.6(c)(4)].

    (a) General. These standards are not all-inclusive. Each agency may 
expand upon the coverage according to program and policy needs. Each 
self-inspection of an agency activity need not include all the elements 
covered in this section. Agencies without original classification 
authority need not include in their self-inspections those elements of 
coverage pertaining to original classification.
    (b) Elements of coverage--(1) Original classification. (i) Evaluate 
original classifiers' general understanding of the process of original 
classification, including the:
    (A) Applicable standards for classification;
    (B) Levels of classification and the damage criteria associated with 
each; and
    (C) Required classification markings.
    (ii) Determine if delegations of original classification authority 
conform with the requirements of the Order, including whether:
    (A) Delegations are limited to the minimum required to administer 
the program;
    (B) Designated original classifiers have a demonstrable and 
continuing need to exercise this authority;
    (C) Delegations are in writing and identify the official by name or 
position title; and
    (D) New requests for delegation of classification authority are 
justified.
    (iii) Assess original classifiers' familiarity with the duration of 
classification requirements, including:
    (A) Assigning a specific date or event for declassification when 
possible;
    (B) Establishing ordinarily a maximum 10-year duration of 
classification when an earlier date or event cannot be determined;
    (C) Limiting extensions of classification for specific information 
for successive periods not to exceed 10 years at a time; and
    (D) Exempting from declassification within 10 years specific 
information as provided in section 1.6 of the Order.
    (iv) Conduct a review of a sample of classified information 
generated by the inspected activity to determine the propriety of 
classification and the application of proper and full markings.
    (v) Evaluate classifiers' actions to comply with the standards 
specified in Sec. 2001.14 and Sec. 2001.53 of this part, relating to 
classification and declassification guides, respectively.
    (vi) Verify observance with the prohibitions on classification and 
limitations on reclassification.

[[Page 489]]

    (vii) Assess whether the agency's classification challenges program 
meets the requirements of the Order and this part.
    (2) Derivative classification. Assess the general familiarity of 
individuals who classify derivatively with the:
    (i) Conditions for derivative classification;
    (ii) Requirement to consult with the originator of the information 
when questions concerning classification arise;
    (iii) Proper use of classification guides; and
    (iv) Proper and complete application of classification markings to 
derivatively classified documents.
    (3) Declassification. (i) Verify whether the agency has established, 
to the extent practical, a system of records management to facilitate 
public release of declassified documents.
    (ii) Evaluate the status of the agency declassification program, 
including the requirement to:
    (A) Comply with the automatic declassification provisions regarding 
historically valuable records over 25 years old;
    (B) Declassify, when possible, historically valuable records prior 
to accession into the National Archives;
    (C) Provide the Archivist with adequate and current declassification 
guides;
    (D) Ascertain that the agency's mandatory review program conforms to 
established requirements; and
    (E) Determine whether responsible agency officials are cooperating 
with the Archivist in the development and maintenance of a Government-
wide database of information that has been declassified.
    (4) Safeguarding. (i) Monitor agency adherence to established 
safeguarding standards.
    (ii) Assess compliance with controls for access to classified 
information.
    (iii) Evaluate the effectiveness of the agency's program in 
detecting and processing security violations and preventing recurrences.
    (iv) Assess compliance with the procedures for identifying, 
reporting and processing unauthorized disclosures of classified 
information.
    (v) Evaluate the effectiveness of procedures to ensure that:
    (A) The originating agency exercises control over the classified 
information it generates;
    (B) Holders of classified information do not disclose information 
originated by another agency without that agency's authorization; and
    (C) Departing or transferred officials return all classified 
information in their possession to authorized agency personnel.
    (5) Security education and training. Evaluate the effectiveness of 
the agency's security education and training program in familiarizing 
appropriate personnel with classification procedures; and determine 
whether the program meets the standards specified in subpart D of this 
part.
    (6) Management and oversight. (i) Determine whether original 
classifiers have received prescribed training.
    (ii) Verify whether the agency's special access programs:
    (A) Adhere to specified criteria in the creation of these programs;
    (B) Are kept to a minimum;
    (C) Provide for the conduct of internal oversight; and
    (D) Include an annual review of each program to determine whether it 
continues to meet the requirements of the Order.
    (iii) Assess whether:
    (A) Senior management demonstrates commitment to the success of the 
program, including providing the necessary resources for effective 
implementation;
    (B) Producers and users of classified information receive guidance 
with respect to security responsibilities and requirements;
    (C) Controls to prevent unauthorized access to classified 
information are effective;
    (D) Contingency plans are in place for safeguarding classified 
information used in or near hostile areas;
    (E) The performance contract or other system used to rate civilian 
or military personnel includes the management of classified information 
as a critical element or item to be evaluated in the rating of: Original 
classifiers; security managers; classification

[[Page 490]]

management officers; and security specialists; and other employees 
significantly involved with classified information; and
    (F) A method is in place for collecting information on the costs 
associated with the implementation of the Order.



               Subpart D--Security Education and Training



Sec. 2001.40  General [5.6].

    (a) Purpose. This subpart sets standards for agency security 
education and training programs. Implementation of these standards 
should:
    (1) Ensure that all executive branch employees who create, process 
or handle classified information have a satisfactory knowledge and 
understanding about classification, safeguarding, and declassification 
policies and procedures;
    (2) Increase uniformity in the conduct of agency security education 
and training programs; and
    (3) Reduce improper classification, safeguarding and 
declassification practices.
    (b) Applicability. These standards are binding on all executive 
branch departments and agencies that create or handle classified 
information. Pursuant to Executive Order 12829, the NISPOM prescribes 
the security requirements, restrictions, and safeguards applicable to 
industry, including the conduct of contractor security education and 
training. The standards established in the NISPOM should be consistent 
with the standards prescribed in Executive Order 12958 and of this part.
    (c) Responsibility. The senior agency official is responsible for 
the agency's security education and training program. The senior agency 
official shall designate agency personnel to assist in carrying out this 
responsibility.
    (d) Approach. Security education and training should be tailored to 
meet the specific needs of the agency's security program, and the 
specific roles employees are expected to play in that program. The 
agency official(s) responsible for the program shall determine the means 
and methods for providing security education and training. Training 
methods may include briefings, interactive videos, dissemination of 
instructional materials, and other media and methods. Agencies shall 
maintain records about the programs it has offered and employee 
participation in them.
    (e) Frequency. The frequency of agency security education and 
training will vary in accordance with the needs of the agency's security 
classification program. Each agency shall provide some form of refresher 
security education and training at least annually.



Sec. 2001.41  Coverage [5.6(c)(3)].

    (a) General. Each department or agency shall establish and maintain 
a formal security education and training program which provides for 
initial and refresher training, and termination briefings. This subpart 
establishes security education and training standards for original 
classifiers, declassification authorities, security managers, 
classification management officers, security specialists, and all other 
personnel whose duties significantly involve the creation or handling of 
classified information. These standards are not intended to be all-
inclusive. The official responsible for the security education and 
training program may expand or modify the coverage provided in this part 
according to the agency's program and policy needs.
    (b) Elements of initial coverage. All cleared agency personnel shall 
receive initial training on basic security policies, principles and 
practices. Such training must be provided in conjunction with the 
granting of a security clearance, and prior to granting access to 
classified information. The following areas should be considered for 
inclusion in initial briefings.
    (1) Roles and responsibilities. (i) What are the responsibilities of 
the senior agency official, classification management officers, the 
security manager and the security specialist?
    (ii) What are the responsibilities of agency employees who create or 
handle classified information?
    (iii) Who should be contacted in case of questions or concerns about 
classification matters?
    (2) Elements of classifying and declassifying information. (i) What 
is classified

[[Page 491]]

information and why is it important to protect it?
    (ii) What are the levels of classified information and the damage 
criteria associated with each level?
    (iii) What are the prescribed classification markings and why is it 
important to have classified information fully and properly marked?
    (iv) What are the general requirements for declassifying 
information?
    (v) What are the procedures for challenging the classification 
status of information?
    (3) Elements of safeguarding. (i) What are the proper procedures for 
safeguarding classified information?
    (ii) What constitutes an unauthorized disclosure and what are the 
penalties associated with these disclosures?
    (iii) What are the general conditions and restrictions for access to 
classified information?
    (iv) What should an individual do when he or she believes 
safeguarding standards may have been violated?
    (c) Specialized security education and training. Original 
classifiers, authorized declassification authorities, individuals 
specifically designated as responsible for derivative classification, 
classification management officers, security managers, security 
specialists, and all other personnel whose duties significantly involve 
the creation or handling of classified information should receive more 
detailed training. This training should be provided before or concurrent 
with the date the employee assumes any of the positions listed above, 
but in any event no later than six months from that date. Coverage 
considerations should include:
    (1) Original classifiers. (i) What is the difference between 
original and derivative classification?
    (ii) Who can classify information originally?
    (iii) What are the standards that a designated classifier must meet 
to classify information?
    (iv) What is the process for determining duration of classification?
    (v) What are the prohibitions and limitations on classifying 
information?
    (vi) What are the basic markings that must appear on classified 
information?
    (vii) What are the general standards and procedures for 
declassification?
    (2) Declassification authorities other than original classifiers. 
(i) What are the standards, methods and procedures for declassifying 
information under Executive Order 12958?
    (ii) What are the standards for creating and using agency 
declassification guides?
    (iii) What is contained in the agency's automatic declassification 
plan?
    (iv) What are the agency responsibilities for the establishment and 
maintenance of a declassification database?
    (3) Individuals specifically designated as responsible for 
derivative classification, security managers, classification management 
officers, security specialists or any other personnel whose duties 
significantly involve the management and oversight of classified 
information. (i) What are the original and derivative classification 
processes and the standards applicable to each?
    (ii) What are the proper and complete classification markings, as 
described in subpart B of this part?
    (iii) What are the authorities, methods and processes for 
downgrading and declassifying information?
    (iv) What are the methods for the proper use, storage, reproduction, 
transmission, dissemination and destruction of classified information?
    (v) What are the requirements for creating and updating 
classification and declassification guides?
    (vi) What are the requirements for controlling access to classified 
information?
    (vii) What are the procedures for investigating and reporting 
instances of security violations, and the penalties associated with such 
violations?
    (viii) What are the requirements for creating, maintaining, and 
terminating special access programs, and the mechanisms for monitoring 
such programs?
    (ix) What are the procedures for the secure use, certification and 
accreditation of automated information systems and networks which use, 
process, store, reproduce, or transmit classified information?
    (x) What are the requirements for oversight of the security 
classification program, including agency self-inspections?

[[Page 492]]

    (d) Refresher security education and training. Agencies shall 
provide refresher training to employees who create, process or handle 
classified information. Refresher training should reinforce the 
policies, principles and procedures covered in initial and specialized 
training. Refresher training should also address the threat and the 
techniques employed by foreign intelligence activities attempting to 
obtain classified information, and advise personnel of penalties for 
engaging in espionage activities. Refresher training should also address 
issues or concerns identified during agency self-inspections. When other 
methods are impractical, agencies may satisfy the requirement for 
refresher training by means of audiovisual products or written 
materials.
    (e) Termination briefings. Each agency shall ensure that each 
employee granted access to classified information who leaves the service 
of the agency receives a termination briefing. Also, each agency 
employee whose clearance is withdrawn must receive such a briefing. At a 
minimum, termination briefings must impress upon each employee: The 
continuing responsibility not to disclose any classified information to 
which the employee had access and the potential penalties for non-
compliance; and the obligation to return to the appropriate agency 
official all classified documents and materials in the employee's 
possession.
    (f) Other security education and training. Agencies are encouraged 
to develop additional security education and training according to 
program and policy needs. Such security education and training could 
include:
    (1) Practices applicable to U.S. officials traveling overseas;
    (2) Procedures for protecting classified information processed and 
stored in automated information systems;
    (3) Methods for dealing with uncleared personnel who work in 
proximity to classified information;
    (4) Responsibilities of personnel serving as couriers of classified 
information; and
    (5) Security requirements that govern participation in international 
programs.



                       Subpart E--Declassification



Sec. 2001.50  Definition [3.1].

    A file series is a body of related records created or maintained by 
an agency, activity, office or individual. The records may be related by 
subject, topic, form, function, or filing scheme. An agency, activity, 
office, or individual may create or maintain several different file 
series, each serving a different function. Examples may include a 
subject file, alphabetical name index, chronological file, or a record 
set of agency publications. File series frequently correspond to items 
on a NARA-approved agency records schedule. Some very large series may 
contain several identifiable sub-series, and it may be appropriate to 
treat sub-series as discrete series for the purposes of the Order.



Sec. 2001.51  Automatic declassification [3.4].

    (a) General. All departments and agencies that have original 
classification authority, or previously had original classification 
authority, and maintain records appraised as having permanent historical 
value that contain information classified by that agency shall comply 
with the automatic declassification provisions of the Order. All 
agencies with original classification authority shall cooperate with 
NARA in carrying out an automatic declassification program involving 
accessioned Federal records, presidential papers and records, and 
donated historical materials under the control of the Archivist of the 
United States. The Archivist will not declassify information created by 
another agency without the prior consent of that agency.
    (b) Presidential records. The Archivist of the United States shall 
establish procedures for the declassification of presidential or White 
House materials accessioned into the National Archives of the United 
States or maintained in the presidential libraries.
    (c) Transferred information. In the case of classified information 
transferred in conjunction with a transfer of functions, and not merely 
for storage or archival purposes, the receiving

[[Page 493]]

agency shall be deemed to be the originating agency.
    (d) Unofficially transferred information. In the case of classified 
information that is not officially transferred as described in paragraph 
(c), of this section, but that originated in an agency that has ceased 
to exist and for which there is no successor agency, the Director of 
ISOO will designate an agency or agencies to act on provisions of the 
Order.
    (e) Processing records originated by another agency. When an agency 
uncovers classified records originated by another agency that appear to 
meet the criteria for the application of the automatic declassification 
provisions of the Order, the finding agency should alert the originating 
agency and seek instruction regarding the handling and disposition of 
pertinent records.
    (f) Unscheduled records. Classified information in records that have 
not been scheduled for disposal or retention by NARA is not subject to 
section 3.4 of the Order. Classified information in records that are 
scheduled as permanently valuable when that information is already more 
than 20 years old shall be subject to the automatic declassification 
provisions of section 3.4 of the Order five years from the date the 
records are scheduled. Classified information in records that are 
scheduled as permanently valuable when that information is less than 20 
years old shall be subject to the automatic declassification provisions 
of section 3.4 of the Order when the information is 25 years old.
    (g) Foreign government information. The declassifying agency is the 
agency that initially received or classified the information. When 
foreign government information appears to be subject to automatic 
declassification, the declassifying agency shall determine whether the 
information is subject to a treaty or international agreement that would 
prevent its declassification at that time. The declassifying agency 
shall also determine if another exemption under section 3.4(b) of the 
Order, such as the exemption that pertains to United States foreign 
relations, may apply to the information. If the declassifying agency 
believes such an exemption may apply, it should consult with any other 
concerned agencies in making its declassification determination. The 
declassifying agency or the Department of State, as appropriate, should 
consult with the foreign government prior to declassification.
    (h) Assistance to the Archivist of the United States. Agencies shall 
consult with NARA before establishing automatic declassification 
programs. Agencies shall cooperate with NARA in developing schedules for 
the declassification of records in the National Archives of the United 
States and the presidential libraries to ensure that declassification is 
accomplished in a timely manner. NARA will provide information about the 
records proposed for automatic declassification. Agencies shall consult 
with NARA before reviewing records in their holdings to ensure that 
appropriate procedures are established for maintaining the integrity of 
the records and that NARA receives accurate information about agency 
declassification actions when records are transferred to NARA. NARA will 
provide guidance to the agencies about the requirements for notification 
of declassification actions on transferred records, box labeling, and 
identifying exempt information in the records.
    (i) Use of approved declassification guides. Approved 
declassification guides may be used as a tool to assist in the exemption 
from automatic declassification of specific information as provided in 
section 3.4(d) of the Order. These guides must include additional 
pertinent detail relating to the exemptions described in section 3.4(b) 
of the Order, and follow the format required of declassification guides 
for systematic review as described in Sec. 2001.53 of this part. In 
order for such guides to be used in place of the identification of 
specific information within individual documents, the information to be 
exempted must be narrowly defined, with sufficient specificity to allow 
the user to identify the information with precision. Exemptions for 
general categories of information will not be acceptable. The actual 
items to be exempted are specific documents. All such declassification 
guides used in conjunction with section 3.4(d) of the Order must be 
submitted to the Director of ISOO,

[[Page 494]]

serving as Executive Secretary of the Interagency Security 
Classification Appeals Panel, for approval by the Panel.
    (j) Automatic declassification date. No later than April 17, 2000, 
information over 25 years old in unreviewed permanently valuable records 
in non-exempt file series will be automatically declassified.
    (k) Redaction standard. Agencies are encouraged but are not required 
to redact documents that contain information that is exempt from 
automatic declassification under section 3.4 of the Order, especially if 
the information that must remain classified comprises a relatively small 
portion of the document.
    (l) Restricted Data and Formerly Restricted Data. (1) Restricted 
Data (RD) and Formerly Restricted Data (FRD) are exempt from the 
automatic declassification requirements in section 3.4 of the Order 
because they are classified under the Atomic Energy Act of 1954, as 
amended. Restricted Data concerns:
    (i) The design, manufacture, or utilization of atomic weapons;
    (ii) The production of special nuclear material, e.g., enriched 
uranium or plutonium; or
    (iii) The use of special nuclear material in the production of 
energy.
    (2) Formerly Restricted Data is information that is still classified 
but which has been removed from the Restricted Data category because it 
is related primarily to the military utilization of atomic weapons.
    (3) Any document marked as containing Restricted Data or Formerly 
Restricted Data shall remain classified indefinitely or shall be 
referred to the Department of Energy or the Department of Defense for a 
classification review.



Sec. 2001.52  Systematic declassification review [3.5].

    (a) Listing of declassification authorities. Agencies shall maintain 
a current listing of officials delegated declassification authority by 
name, position, or other identifier. If possible, this listing shall be 
unclassified.
    (b) Responsibilities. Agencies shall establish systematic review 
programs for those records containing information that is exempt from 
automatic declassification. Agencies may also conduct systematic review 
of information contained in permanently valuable records that is less 
than 25 years old.



Sec. 2001.53  Declassification guides [3.5(b)].

    (a) Preparation of declassification guides. Declassification guides 
shall be prepared to facilitate the declassification of information 
contained in records determined to be of permanent historical value. 
When it is sufficiently detailed and understandable, and identified for 
both purposes, a classification guide may also be used as a 
declassification guide.
    (b) General content of declassification guides. Declassification 
guides shall, at a minimum:
    (1) Identify the subject matter of the declassification guide;
    (2) Identify the original declassification authority by name or 
personal identifier, and position;
    (3) Provide the date of issuance or last review;
    (4) State precisely the categories or elements of information:
    (i) To be declassified;
    (ii) To be downgraded; or
    (iii) Not to be declassified.
    (5) Identify any related files series that have been exempted from 
automatic declassification pursuant to section 3.4(c) of the Order;
    (6) To the extent a guide is used in conjunction with the automatic 
declassification provisions in section 3.4 of the Order, state precisely 
the elements of information to be exempted from declassification to 
include:
    (i) The appropriate exemption category listed in section 3.4(b) of 
the Order, and, when citing the exemption category listed in section 
3.4(b)(9) of the Order, specify the applicable statute, treaty or 
international agreement; and
    (ii) A date or event for declassification.
    (c) External review. Agencies shall submit declassification guides 
for review to the Director of ISOO. To the extent such guides are used 
in conjunction with the automatic declassification provisions in section 
3.4 of the Order, the Director shall submit them

[[Page 495]]

for approval by the Interagency Security Classification Appeals Panel.
    (d) Internal review and update. Agency declassification guides shall 
be reviewed and updated as circumstances require, but at least once 
every five years. Each agency shall maintain a list of its 
declassification guides in use.



Sec. 2001.54  Mandatory review for declassification [3.6, 3.7].

    (a) U.S. originated information--(1) Receipt of requests. Each 
agency shall publish in the Federal Register the identity of the 
person(s) or office(s) to which mandatory declassification review 
requests should be addressed.
    (2) Processing. (i) Requests for classified records in the custody 
of the originating agency. A valid mandatory declassification review 
request need not identify the requested information by date or title of 
the responsive records, but must be of sufficient specificity to allow 
agency personnel to locate the records containing the information sought 
with a reasonable amount of effort. In responding to mandatory 
declassification review requests, agencies shall either make a prompt 
declassification determination and notify the requester accordingly, or 
inform the requester of the additional time needed to process the 
request. Agencies shall ordinarily make a final determination within 180 
days from the date of receipt. When information cannot be declassified 
in its entirety, agencies will make reasonable efforts to release, 
consistent with other applicable law, those declassified portions of the 
requested information that constitute a coherent segment. Upon denial of 
an initial request, the agency shall also notify the requester of the 
right of an administrative appeal, which must be filed within 60 days of 
receipt of the denial.
    (ii) Requests for classified records in the custody of an agency 
other than the originating agency. When an agency receives a mandatory 
declassification review request for records in its possession that were 
originated by another agency, it shall refer the request and the 
pertinent records to the originating agency. However, if the originating 
agency has previously agreed that the custodial agency may review its 
records, the custodial agency shall review the requested records in 
accordance with declassification guides or guidelines provided by the 
originating agency. Upon receipt of a request from the referring agency, 
the originating agency shall process the request in accordance with this 
section. The originating agency shall communicate its declassification 
determination to the referring agency.
    (iii) Appeals of denials of mandatory declassification review 
requests. The agency appellate authority shall normally make a 
determination within 60 working days following the receipt of an appeal. 
If additional time is required to make a determination, the agency 
appellate authority shall notify the requester of the additional time 
needed and provide the requester with the reason for the extension. The 
agency appellate authority shall notify the requester in writing of the 
final determination and of the reasons for any denial.
    (iv) Appeals to the Interagency Security Classification Appeals 
Panel. In accordance with section 5.4 of the Order, the Interagency 
Security Classification Appeals Panel shall publish in the Federal 
Register no later than February 12, 1996, the rules and procedures for 
bringing mandatory declassification appeals before it.
    (b) Foreign government information. Except as provided in this 
paragraph, agency heads shall process mandatory declassification review 
requests for classified records containing foreign government 
information in accordance with this section. The declassifying agency is 
the agency that initially received or classified the information. When 
foreign government information is being considered for declassification, 
the declassifying agency shall determine whether the information is 
subject to a treaty or international agreement that would prevent its 
declassification at that time. The declassifying agency shall also 
determine if another exemption under section 1.6(d) of the Order (other 
than section 1.6(b)(5)), such as the exemption that pertains to United 
States foreign relations, may apply to the information. If the 
declassifying agency believes such

[[Page 496]]

an exemption may apply, it should consult with any other concerned 
agencies in making its declassification determination. The declassifying 
agency or the Department of State, as appropriate, should consult with 
the foreign government prior to declassification.
    (c) Cryptologic and intelligence information. Mandatory 
declassification review requests for cryptologic information and 
information concerning intelligence activities (including special 
activities) or intelligence sources or methods shall be processed solely 
in accordance with special procedures issued by the Secretary of Defense 
and the Director of Central Intelligence, respectively.
    (d) Fees. In responding to mandatory declassification review 
requests for classified records, agency heads may charge fees in 
accordance with section 9701 of title 31, United States Code. The 
schedules of fees published in the Federal Register by agencies in 
implementation of Executive Order 12356 shall remain in effect until 
revised.
    (e) Assistance to the Department of State. Heads of agencies should 
assist the Department of State in its preparation of the Foreign 
Relations of the United States (FRUS) series by facilitating access to 
appropriate classified materials in their custody and by expediting 
declassification review of documents proposed for inclusion in the FRUS.
    (f) Requests filed under mandatory declassification review and the 
Freedom of Information Act. When a requester submits a request both 
under mandatory review and the Freedom of Information Act (FOIA), the 
agency shall require the requester to elect one process or the other. If 
the requester fails to elect one or the other, the request will be 
treated as a FOIA request unless the requested materials are subject 
only to mandatory review.
    (g) FOIA and Privacy Act requests. Agency heads shall process 
requests for declassification that are submitted under the provisions of 
the FOIA, as amended, or the Privacy Act of 1974, in accordance with the 
provisions of those Acts.
    (h) Redaction standard. Agencies shall redact documents that are the 
subject of an access demand unless the overall meaning or informational 
value of the document is clearly distorted by redaction.



Sec. 2001.55  Document referral.

    (a) Purpose. Under E.O. 12958, agencies reviewing records for 
declassification must facilitate the review of equities of other 
agencies contained in their records. Because agencies have a variety of 
processes for review and referral, common language and standards are 
needed to ensure clear, concise communication and coordinated action 
among all agencies involved in the referral process. Common language and 
standards are needed for declassification, exemption from automatic 
declassification, and proper marking of information subject to the 
automatic declassification provision of the Order. Consistent 
declassification of information through standardized procedures should 
result in lower cost and greater process efficiency, review accuracy, 
and the protection of the equities of all executive branch agencies.
    (b) Applicability. These standards are binding on all executive 
branch agencies that create or handle classified information and are 
applicable to records covered under Section 3.4 of the Order. With 
respect to records reviewed prior to the issuance of these standards, 
deviations are acceptable as long as prior practice does not completely 
obstruct record referral.
    (c) Responsibility. The senior agency official is responsible for 
the agency's referral program. The senior agency official shall 
designate agency personnel to assist in carrying out this 
responsibility.
    (d) Definitions. For the purpose of this section:
    Declassified or Declassification means the authorized change in the 
status of information from classified information to unclassified 
information.
    Equity means information originally classifed by or under the 
control of an agency, as control is defined in section 1.1(b) of E.O. 
12958.
    Exempted means nomenclature and marking indicating information has 
been determined to fall within an enumerated exemption from automatic 
declassification under E.O. 12958.

[[Page 497]]

    Pass/fail (P/F) means a declassification technique that regards 
information at the full document level. Any exemptible portion of a 
document may result in exemption (failure) of the entire document. 
Documents that contain no exemptible information are passed and 
therefore declassified. Declassified documents may be subject to other 
FOIA exemptions other than the security exemption ((b)(1)), and the 
requirements placed by legal authorities governing Presidential 
holdings.
    Record means the statutory definition as provided under title 44 
U.S.C. 3301 and 44 U.S.C. 2111, 2111 note, and 2201.
    Redaction means a sanitization technique that involves removal 
(editing out) of exempted information from a document.
    Tab means a narrow paper sleeve placed around a document or group of 
documents in such a way that it would be readily visible
    (e) Approaches to declassification. The exchange of information 
between agencies and the final disposition of documents are affected by 
differences in the approaches to declassification. Agencies conducting 
pass/fail reviews may refer documents to agencies that redact. Actions 
taken by the sender and the recipient may differ as noted below:
    (1) When referral is from a pass/fail agency to a pass/fail agency, 
both agencies conduct pass/fail reviews and annotate the classification 
or declassification decisions on the tabs and/or documents in accordance 
with NARA guidelines. The receiving agency should also notify the 
referring agency that the review has been completed.
    (2) When referral is from a pass/fail agency to a redaction agency, 
the redaction agency is only required to conduct pass/fail reviews of 
documents referred by a pass/fail agency. If the redaction agency wishes 
to redact the document, it must do so on a copy of the referred 
document, then file the redacted version with the original. The 
redaction agency should also notify the pass/fail referring agency that 
the review has been completed.
    (3) Referrals from redaction agencies to pass/fail agencies will be 
in the form of document copies. In the course of review the pass/fail 
agency may either pass or fail the document or its equities. Failed 
documents will be reviewed and redacted when practicable.
    (4) Referrals between redaction agencies may result in redaction of 
any exemptible equities.
    (f) Referral decisions. When agencies review documents only to the 
point at which exemptible information is identified, they must take one 
of the following actions to protect any other unidentified equities that 
may be in the unreviewed portions of the document:
    (1) Complete a review of the document to identify other agency 
equities and notify those agencies; or
    (2) Exempt the document and assign a Date/Event for automatic 
declassification, before which time they must provide timely 
notification to any equity agencies. Agencies reviewing previously 
exempted documents may apply a different exemption and new Date/Event 
for automatic declassification based upon the content of previously 
unreviewed equities.
    (g) Unmarked or improperly marked documents. Agencies that find 
other agency information in unmarked or improperly marked documents that 
have been maintained and protected as classified information must afford 
those documents appropriate protection and tab or refer the documents as 
described in paragraph (h) of this section. Agencies must provide other 
pertinent information, if available, regarding additional copies or 
possible public disclosure.
    (h) Means of Referral. The reviewing agency must communicate 
referrals to equity agencies. They may use either of the methods below:
    (1) Full text referral. Agencies will make referrals on media and in 
a format mutually agreed to by the referring and receiving agencies. 
Each referral request will clearly identify the referring agency and may 
identify the sections or areas of the document containing the receiving 
agency's equities and the requested action.
    (2) Tab and notify.
    (i) Agencies will use NARA-approved tabs and will clearly indicate 
on them the agency or agencies having equity in the document(s) held 
within the

[[Page 498]]

tabs. Successive documents with identical equity(ies) may be grouped 
within a single tab. Documents with differing equities, or non-
successive documents, must be tabbed individually. In general, document 
order may not be changed to facilitate tabbing. In cases where there are 
so many tabbed documents in a box that tabbing documents individually 
would seriously overfill the box, the reviewer may group documents under 
a single tab for each agency equity at the back of each file folder, or 
back of the box if there are no file folders.
    (ii) Agency notification must include, at a minimum, the following 
information: the approximate volume of equity, the highest 
classification of documents, the exact location (to box level) of the 
documents so marked, and instructions related to access to the boxes 
containing the documents.
    (iii) Agencies will acknowledge receipt of referral notifications. 
They should notify the agency that placed the tabs that the review is 
complete. Any additional equities noted in the review must be annotated 
on the tab and brought to the attention of the agency that tabbed the 
document so the tabbing agency can notify those newly identified 
agencies.
    (i) [Reserved]
    (j) Reviewed document marking. Consistency in marking is essential 
in the referral of significant numbers of documents under the Executive 
Order. Decisions made during review must be communicated clearly to all 
subsequent reviewers.
    (1) Redactions must never be indicated on original documents, only 
on copies. Redaction agencies need a means of tracking the results of 
review (at the document level) by all reviewing agencies and a reason 
for each redaction.
    (2) If only one exemption from declassification applies to all 
redacted portions of a document, the applicable exemption may be 
indicated on the front page of the redacted copy. If more than one 
exemption applies to a document, each redacted portion for which an 
exemption is asserted must be marked on the redacted copy.
    (3) Redacted portions must be marked to indicate the agency and the 
number of the applicable exemption, for example, DIA25X1.
    (4) Agencies reviewing a referred document must indicate on the tab, 
folder, or box the result of the review (i.e., exemption or 
declassification). The original document should be marked with the final 
action only by the agency responsible for the final declassification 
decision. Options include marking a copy of the document, marking the 
tab, notification as part of a transmittal, or marking the box or folder 
according to NARA guidelines. Automated agencies may forgo marking 
documents, provided the required information is maintained in an agency 
database and is accessible to other agencies. Exempt documents may be 
marked.
    (i) Sample Exempted Document Stamp. Exempt documents may be stamped 
as shown in the following example:

[[Page 499]]

[GRAPHIC] [TIFF OMITTED] TR13SE99.016


    (A) Normally, only one stamp should be placed on the document with 
any subsequent reviewing agencies adding their information to the stamp 
on the document, if possible. The stamp should not cover any writing on 
the document.
    (B) Specific fields in the stamp must be completed as follows:
    (1) Exemption Code: Agency(ies) ID and 25X plus exemption code(s).
    (2) Date/Event: A specific date or event for declassification.
    (3) Other Agency Equity: This line is used to track other agency 
equities and their review. The declassification authority enters 
``NONE'' if no other agency equities are present, the identifiers of 
agencies with equity, or ``TBD'' (To be determined) if equities are 
unknown. Agency identifiers are crossed off as the reviews are completed 
and names may be added if additional equities are found.
    (4) Reviewed by: Optional. If used, enter name or other personal 
identifier.
    (5) Date: Enter date the action was taken.
    (ii) Sample Stamp for Document Declassification. (A) When agencies 
mark declassified documents, the stamp must, at a minimum, include the 
information shown in the following example:
[GRAPHIC] [TIFF OMITTED] TR13SE99.017


    (B) Specific fields in the stamp must be completed as follows:
    (1) Agency: Name of the agency.
    (2) By: Name or personal identifier of the reviewer. (Optional)
    (3) Date: Date the action was taken.

[64 FR 49389, Sept. 13, 1999; 64 FR 62113, Nov. 16, 1999; 65 FR 16320, 
Mar. 28, 2000]

[[Page 500]]



                          Subpart F--Reporting



Sec. 2001.60  Statistical reporting [5.3].

    Each agency that creates or handles classified information shall 
report annually to the Director of ISOO statistics related to its 
security classification program. The Director shall solicit 
recommendations from the member agencies of the Security Policy Forum 
regarding the reporting requirements. The Director will instruct 
agencies what data elements are required, and how and when they are to 
be reported.



Sec. 2001.61  Accounting for costs [5.6(c)(8)].

    (a) Information on the costs associated with the implementation of 
the Order will be collected from the agencies by the Office of 
Management and Budget (OMB). OMB will provide data to ISOO on the cost 
estimates for classification-related activities. ISOO will include these 
cost estimates in its annual report to the President. The agency senior 
official should work closely with the agency comptroller to ensure that 
the best estimates are collected.
    (b) The Secretary of Defense, acting as the executive agent for the 
National Industrial Security Program under Executive Order 12829, and 
consistent with agreements entered into under section 202 of E.O. 12829, 
will collect cost estimates for classification-related activities of 
contractors, licensees, certificate holders, and grantees, and report 
them to ISOO annually. ISOO will include these cost estimates in its 
annual report to the President.



Sec. 2001.62  Effective date [6.2].

    Part 2001 shall become effective October 14, 1995.

  Appendix A to Part 2001--Interagency Security Classification Appeals 
                              Panel Bylaws

                           Article I. Purpose

    The purpose of the Interagency Security Classification Appeals Panel 
(ISCAP) and these bylaws is to fulfill the functions assigned to the 
ISCAP by Executive Order 12958, ``Classified National Security 
Information.''

                          Article II. Authority

    Executive Order 12958, ``Classified National Security Information'' 
(hereafter the ``Order''), and its implementing directives.

                         Article III. Membership

    A. Primary Membership. Appointments under section 5.4(a) of the 
Order establish the primary membership of the ISCAP.
    B. Alternate Membership.
    1. Primary members are expected to participate fully in the 
activities of the ISCAP. The Executive Secretary shall request that each 
agency or office head represented on the ISCAP also designate in writing 
addressed to the Chair an alternate to represent his or her agency or 
office on all occasions when the primary member is unable to 
participate. When serving for a primary member, an alternate member 
shall assume all the rights and responsibilities of that primary member, 
including voting.
    2. When a vacancy in the primary membership occurs, the designated 
alternate shall represent the agency or office until the agency or 
office head fills the vacancy. The Chair, working through the Executive 
Secretary, shall take all appropriate measures to encourage the agency 
or office head to fill a vacancy in the primary membership as quickly as 
possible.
    C. Chair. As provided in section 5.4(a) of the Order, the President 
shall select the Chair from among the primary members.
    D. Vice Chair. The members may elect from among the primary members 
a Vice Chair who shall:
    1. Chair meetings that the Chair is unable to attend; and
    2. Serve as Acting Chair during a vacancy in the Chair of the ISCAP.

                          Article IV. Meetings

    A. Purpose. The primary purpose of ISCAP meetings is to discuss and 
bring formal resolution to matters before the ISCAP.
    B. Frequency. As provided in section 5.4(a) of the Order, the ISCAP 
shall meet at the call of the Chair, who shall schedule meetings as may 
be necessary for the ISCAP to fulfill its functions in a timely manner. 
The Chair shall also convene the ISCAP when requested by a majority of 
its primary members.
    C. Quorum. Meetings of the ISCAP may be held only when a quorum is 
present. For this purpose, a quorum requires the presence of at least 
five primary or alternate members.
    D. Attendance. As determined by the Chair, attendance at meetings of 
the ISCAP shall be limited to those persons necessary for the ISCAP to 
fulfill its functions in a complete and timely manner.
    E. Agenda. The Chair shall establish the agenda for all meetings. 
Potential items for the agenda may be submitted to the Chair by

[[Page 501]]

any member or the Executive Secretary. Acting through the Executive 
Secretary, the Chair will distribute the agenda and supporting materials 
to the members as soon as possible before a scheduled meeting.
    F. Minutes. The Executive Secretary shall be responsible for the 
preparation of each meeting's minutes, and the distribution of draft 
minutes to each member. The minutes will include a record of the members 
present at the meeting and the result of each vote. At the subsequent 
meeting of the ISCAP, the Chair will read or reference the draft minutes 
of the previous meeting. At that time the minutes will be corrected, as 
necessary, and approved by the membership and certified by the Chair. 
The approved minutes will be maintained among the records of the ISCAP.

                            Article V. Voting

    A. Motions. When a decision or recommendation of the ISCAP is 
required to resolve a matter before it, the Chair shall request or 
accept a motion for a vote. Any member, including the Chair, may make a 
motion for a vote. No second shall be required to bring any motion to a 
vote. A quorum must be present when a vote is taken.
    B. Eligibility. Only the members, including the Chair, may vote on a 
motion before the ISCAP, with each agency or office represented having 
one vote.
    C. Voting Procedures. Votes shall ordinarily be taken and tabulated 
by a show of hands.
    D. Passing a Motion. In response to a motion, members may vote 
affirmatively, negatively, or abstain from voting. Except as otherwise 
provided in these bylaws, a motion passes when it receives a majority of 
affirmative votes of the members voting. However, in no instance will 
the ISCAP reverse an agency's decision without the affirmative vote of 
at least a majority of the members present.
    E. Votes in a Non-meeting Context. In extraordinary circumstances, 
the Chair may call for a vote of the membership outside the context of a 
formal ISCAP meeting. An alternate member may also participate in such a 
vote if the primary member cannot. The Executive Secretary shall record 
and retain such votes in a documentary form and immediately report the 
results to the Chair and other primary and alternate members.

   Article VI. First Function: Appeals of Agency Decisions Regarding 
                        Classification Challenges

    In accordance with section 5.4(b) of the Order, the ISCAP shall 
decide on appeals by authorized persons who have filed classification 
challenges under section 1.9 of the Order.
    A. Jurisdiction. The ISCAP will consider appeals from classification 
challenges that otherwise meet the standards of the Order if:
    1. The appeal is filed in accordance with these bylaws;
    2. The appellant has previously challenged the classification action 
at the agency that originated or is otherwise responsible for the 
information in question in accordance with the agency's procedures or, 
if the agency has failed to establish procedures for classification 
challenges, by filing a written challenge directly with the agency head 
or designated senior agency official, as defined in section 1.1(j) of 
the Order;
    3. The appellant has
    (a) Received a final agency decision denying his or her challenge; 
or
    (b) Not received (i) an initial written response to the 
classification challenge from the agency within 120 days of its filing, 
or (ii) a written response to an internal agency appeal within 90 days 
of the filing of the appeal;
    4. There is no action pending in the federal courts regarding the 
information in question; and
    5. The information in question has not been the subject of review by 
the federal courts or the ISCAP within the past two years.
    B. Addressing of Appeals. Appeals should be addressed to: Executive 
Secretary, Interagency Security Classification Appeals Panel, Attn: 
Classification Challenge Appeals, c/o Information Security Oversight 
Office, National Archives and Records Administration, 7th and 
Pennsylvania Avenue, NW., Room 5W, Washington, DC 20408.
    The appeal must contain enough information for the Executive 
Secretary to be able to obtain all pertinent documents about the 
classification challenge from the affected agency. No classified 
information should be included within the initial appeal document. The 
Executive Secretary will arrange for the transmittal of classified 
information from the agency after receiving the appeal. If it is 
impossible for the appellant to file an appeal without including 
classified information, prior arrangements must be made by contacting 
the Information Security Oversight Office.
    C. Timeliness of Appeals. An appeal to the ISCAP must be filed 
within 60 days of:
    1. The date of the final agency decision; or
    2. The agency's failure to meet the time frames established in 
paragraph (A)(3)(b) of this Article.
    D. Rejection of Appeal. If the Executive Secretary determines that 
the appeal does not meet the requirements of the Order or these bylaws, 
the Executive Secretary shall notify the appellant in writing that the 
appeal will not be considered by the ISCAP. The notification shall 
include an explanation of why the appeal is deficient.

[[Page 502]]

    E. Preparation. The Executive Secretary shall notify the Chair and 
the designated senior agency official(s) of the affected agency(ies) 
when an appeal is lodged. Under the direction of the ISCAP, the 
Executive Secretary shall supervise the preparation of an appeal file, 
pertinent portions of which will be presented to the members of the 
ISCAP for their review prior to a vote on the appeal. The appeal file 
will eventually include all records pertaining to the appeal.
    F. Resolution of Appeals. The ISCAP may vote to affirm the agency's 
decision, to reverse the agency's decision in whole or in part, or to 
remand the matter to the agency for further consideration. A decision to 
reverse an agency's decision requires the affirmative vote of at least a 
majority of the members present.
    G. Notification. The Executive Secretary shall promptly notify in 
writing the appellant, the agency head, and designated senior agency 
official of the ISCAP's decision.
    H. Agency Appeals. Within 60 days of receipt of an ISCAP decision 
that reverses a final agency decision, the agency head may petition the 
President through the Assistant to the President for National Security 
Affairs to overrule the decision of the ISCAP.
    I. Protection of Classified Information. All persons involved in the 
appeal shall make every effort to minimize the inclusion of classified 
information in the appeal file. Any classified information contained in 
the appeal file shall be handled and protected in accordance with the 
Order and its implementing directives. Information being challenged for 
classification shall remain classified unless and until a final decision 
is made to declassify it. In no instance will the ISCAP declassify 
properly classified information solely because of an agency's failure to 
prescribe or follow appropriate procedures for handling classification 
challenges.
    J. Maintenance of File. The Executive Secretary shall maintain the 
appeal file among the records of the ISCAP.

Article VII. Second Function: Review of Agency Exemptions From Automatic 
                            Declassification

    In accordance with section 5.4(b) of the Order, the ISCAP shall 
approve, deny or amend agency exemptions from automatic declassification 
as provided in section 3.4(d) of the Order.
    A. Agency Notification of Exemptions. The agency head or designated 
senior agency official shall notify the Executive Secretary of agency 
exemptions in accordance with the requirements of the Order and its 
implementing directives. Agencies shall provide any additional 
information or justification that the Executive Secretary believes is 
necessary or helpful in order for the ISCAP to review and decide on the 
exemption. The agency head may seek relief from the ISCAP from any 
request for information by the Executive Secretary to which the agency 
objects.
    B. Preparation. The Executive Secretary shall notify the Chair of 
the agency submission. At the direction of the ISCAP, the Executive 
Secretary shall supervise the preparation of an exemption file, 
pertinent portions of which will be presented to the members of the 
ISCAP for their review prior to a vote on the exemptions. The exemption 
file will eventually include all records pertaining to the ISCAP's 
consideration of the agency's exemptions.
    C. Resolution. The ISCAP may vote to approve an agency exemption, to 
deny an agency exemption, to amend an agency exemption, or to remand the 
matter to the agency for further consideration. A decision to deny or 
amend an agency exemption requires the affirmative vote of a majority of 
the members present.
    D. Notification. The Executive Secretary shall promptly notify in 
writing the agency head and designated senior agency official of the 
ISCAP's decision.
    E. Agency Appeals. Within 60 days of receipt of an ISCAP decision 
that denies or amends an agency exemption, the agency head may petition 
the President through the Assistant to the President for National 
Security Affairs to overrule the decision of the ISCAP.
    F. Protection of Classified Information. Any classified information 
contained in the exemption file shall be handled and protected in 
accordance with the Order and its implementing directives. Information 
that the agency maintains is exempt from declassification shall remain 
classified unless and until a final decision is made to declassify it.
    G. Maintenance of File. The Executive Secretary shall maintain the 
exemption file among the records of the ISCAP.

   Article VIII. Third Function: Appeals of Agency Decisions Denying 
     Declassification Under Mandatory Review Provisions of the Order

    In accordance with section 5.4(b) of the Order, the ISCAP shall 
decide on appeals by parties whose requests for declassification under 
section 3.6 of the Order have been denied.
    A. Jurisdiction. The ISCAP will consider appeals from denials of 
mandatory review for declassification requests that otherwise meet the 
standards of the Order if:
    1. The appeal is filed in accordance with these bylaws;
    2. The appellant has previously filed a request for mandatory 
declassification review at the agency that originated or is otherwise 
responsible for the information in question in accordance with the 
agency's procedures or, if the agency has failed to establish procedures 
for mandatory review, by filing a

[[Page 503]]

written request directly with the agency head or designated senior 
agency official;
    3. The appellant has
    (a) Received a final agency decision denying his or her request; or
    (b) Not received (i) an initial decision on the request for 
mandatory declassification review from the agency within one year of its 
filing, or (ii) a final decision on an internal agency appeal within 180 
days of the filing of the appeal;
    4. There is no action pending in the federal courts regarding the 
information in question; and
    5. The information in question has not been the subject of review by 
the federal courts or the ISCAP within the past two years.
    B. Addressing of Appeals. Appeals should be addressed to: Executive 
Secretary, Interagency Security Classification Appeals Panel, Attn: 
Mandatory Review Appeals, c/o Information Security Oversight Office, 
National Archives and Records Administration, 7th and Pennsylvania 
Avenue, NW., Room 5W, Washington, DC 20408.
    The appeal must contain enough information for the Executive 
Secretary to be able to obtain all pertinent documents about the request 
for mandatory declassification review from the affected agency.
    C. Timeliness of Appeals. An appeal to the ISCAP must be filed 
within 60 days of:
    1. The date of the final agency decision; or
    2. The agency's failure to meet the time frames established in 
paragraph (A)(3)(b) of this Article.
    D. Rejection of Appeal. If the Executive Secretary determines that 
the appeal does not meet the requirements of the Order or these bylaws, 
the Executive Secretary shall notify the appellant in writing that the 
appeal will not be considered by the ISCAP. The notification shall 
include an explanation of why the appeal is deficient.
    E. Preparation. The Executive Secretary shall notify the Chair and 
the designated senior agency official(s) of the affected agency(ies) 
when an appeal is lodged. Under the direction of the ISCAP, the 
Executive Secretary shall supervise the preparation of an appeal file, 
pertinent portions of which will be presented to the members of the 
ISCAP for their review prior to a vote on the appeal. The appeal file 
will eventually include all records pertaining to the appeal.
    F. Narrowing Appeals. To expedite the resolution of appeals and 
minimize backlogs, the Executive Secretary is authorized to consult with 
appellants with the objective of narrowing or prioritizing the 
information subject to the appeal.
    G. Resolution of Appeals. The ISCAP may vote to affirm the agency's 
decision, to reverse the agency's decision in whole or in part, or to 
remand the matter to the agency for further consideration. A decision to 
reverse an agency's decision requires the affirmative vote of at least a 
majority of the members present.
    H. Notification. The Executive Secretary shall promptly notify in 
writing the appellant, the agency head, and designated senior agency 
official of the ISCAP's decision.
    I. Agency Appeals. Within 60 days of receipt of an ISCAP decision 
that reverses a final agency decision, the agency head may petition the 
President through the Assistant to the President for National Security 
Affairs to overrule the decision of the ISCAP.
    J. Protection of Classified Information. All persons involved in the 
appeal shall make every effort to minimize the inclusion of classified 
information in the appeal file. Any classified information contained in 
the appeal file shall be handled and protected in accordance with the 
Order and its implementing directives. Information that is subject to an 
appeal from an agency decision denying declassification under the 
mandatory review provisions of the Order shall remain classified unless 
and until a final decision is made to declassify it. In no instance will 
the ISCAP declassify properly classified information solely because of 
an agency's failure to prescribe or follow appropriate procedures for 
handling mandatory review for declassification requests and appeals.
    K. Maintenance of File. The Executive Secretary shall maintain the 
appeal file among the records of the ISCAP. All information declassified 
as a result of ISCAP action shall be available for inclusion within the 
database established by the Archivist of the United States in accordance 
with section 3.8 of the Order.

                    Article IX. Additional Functions

    In its consideration of the matters before it, the ISCAP shall 
perform such additional advisory functions as are consistent with and 
supportive of the successful implementation of the Order.

                        Article X. Support Staff

    As provided in section 5.4(a) of the Order, the Director of the 
Information Security Oversight Office will serve as Executive Secretary 
to the ISCAP, and the staff of the Information Security Oversight Office 
will provide program and administrative support for the ISCAP. The 
Executive Secretary will supervise the staff in this function pursuant 
to the direction of the Chair and ISCAP. On an as needed basis, the 
ISCAP may seek detailees from its member agencies to augment the staff 
of the Information Security Oversight Office in support of the ISCAP.

                           Article XI. Records

    A. Integrity of ISCAP Records. The Executive Secretary shall 
maintain separately documentary materials, regardless of their

[[Page 504]]

physical form or characteristics, that are produced by or presented to 
the ISCAP or its staff in the performance of the ISCAP's functions, 
consistent with applicable federal law.
    B. Referrals. Any Freedom of Information Act request or other access 
request for a document that originated within an agency other than the 
ISCAP shall be referred to that agency for processing.

              Article XII. Annual Reports to the President

    The ISCAP has been established for the sole purpose of advising and 
assisting the President in the discharge of his constitutional and 
discretionary authority to protect the national security of the United 
States (section 5.4(e) of the Order). As provided in section 5.4(a) of 
the Order, pertinent information and data about the activities of the 
ISCAP shall be included in the Reports to the President issued by the 
Information Security Oversight Office. The Chair, in coordination with 
the other members of the ISCAP and the Executive Secretary, shall 
determine what information and data to include in each Report.

      Article XIII. Approval, Amendment, and Publication of Bylaws

    The approval and amendment of these bylaws shall require the 
affirmative vote of at least four of the ISCAP's members. In accordance 
with the Order, the Executive Secretary shall submit the approved bylaws 
and their amendments for publication in the Federal Register.

[61 FR 10854, Mar. 15, 1996]



PART 2002--GENERAL GUIDELINES FOR SYSTEMATIC DECLASSIFICATION REVIEW OF FOREIGN GOVERNMENT INFORMATION--Table of Contents




Sec.
2002.1  Purpose.
2002.2  Definition.
2002.3  Scope.
2002.4  Responsibilities.
2002.5  Effect of publication.
2002.6  Categories requiring item-by-item review.
2002.7  Referral and decision.
2002.8  Downgrading.

    Authority: Sec. 3.3, E.O. 12356, 47 FR 14874, April 6, 1982.

    Source: 48 FR 4402, Jan. 31, 1983, unless otherwise noted.



Sec. 2002.1  Purpose.

    These general guidelines for the systematic declassification review 
of foreign government information have been developed in accordance with 
the provisions of section 3.3 of Executive Order 12356, ``National 
Security Information,'' and Sec. 2001.31 of Information Security 
Oversight Office Directive No. 1. All foreign government information 
that has been incorporated into the permanently valuable records of the 
United States Government and that has been accessioned into the National 
Archives of the United States shall be systematically reviewed for 
declassification by the Archivist of the United States. Declassification 
reviews shall be conducted in accordance with the provisions of these 
general guidelines or, if available, in accordance with specific 
systematic review guidelines for foreign government information provided 
by the agency heads who have declassification authority over that 
information. All foreign government information--
    (a) Not identified in Sec. 2002.6 of these general guidelines or in 
specific agency guidelines as requiring item-by-item declassification 
review and final determination by an agency declassification authority, 
and
    (b) For which a prior declassification date has not been 
established, shall be declassified as that information becomes thirty 
years old.



Sec. 2002.2  Definition.

    Foreign government information as used in these guidelines means:
    (a) Information provided by a foreign government or governments, an 
international organization of governments, or any element thereof with 
the expectation, expressed or implied, that the information, the source 
of the information, or both, are to be held in confidence; or
    (b) Information produced by the United States pursuant to or as a 
result of a joint arrangement with a foreign government or governments 
or an international organization of governments, or any element thereof, 
requiring that the information, the arrangement, or both, are to be held 
in confidence.



Sec. 2002.3  Scope.

    (a) These guidelines apply to foreign government information that 
has been received or classified by the United

[[Page 505]]

States Government or its agents, and has been incorporated into records 
determined by the Archivist of the United States to have permanent 
value.
    (b) Atomic energy information (including information originated 
prior to 1947 and not marked as such; information received from the 
United Kingdom or Canada marked ``Atomic,'' or information received from 
NATO marked ``Atomal'') that is defined and identified as ``Restricted 
Data'' or ``Formerly Restricted Data'' in Sections 11y and 142d of the 
Atomic Energy Act of 1954, as amended, is outside the scope of these 
guidelines. Such information is not subject to systematic review and may 
not be automatically downgraded or declassified. Any document containing 
information within the definition of ``Restricted Data'' or ``Formerly 
Restricted Data'' that is not so marked shall be referred to the 
Department of Energy Office of Classification for review and appropriate 
marking, except for licensing and related regulatory matters which shall 
be referred to the Division of Security, U.S. Nuclear Regulatory 
Commission.



Sec. 2002.4  Responsibilities.

    (a) Foreign government information transferred to the General 
Services Administration for accession into the National Archives of the 
United States shall be reviewed by the Archivist of the United States 
for declassification in accordance with Executive Order 12356, the 
directives of the Information Security Oversight Office, these general 
guidelines, and any specific systematic declassification guidelines 
provided by the agency with declassification authority over the 
information.
    (b) Accessioned foreign government information in file series 
concerning intelligence activities (including special activities), or 
intelligence sources or methods created after 1945, and cryptology 
records created after 1945, shall be subject to review by the Archivist 
for declassification as it becomes 50 years old. All other accessioned 
foreign government information shall be subject to review by the 
Archivist for declassification as it becomes 30 years old.
    (c) Agency heads who have declassification jurisidiction over 
permanently valuable foreign government information in agency records 
not yet accessioned into the National Archives of the United States are 
encouraged to conduct systematic declassification reviews of it in 
accordance with the time limits specified in paragraph (b) of this 
section. These reviews shall comply with the provisions of Executive 
Order 12356, the directives of the Information Security Oversight 
Office, these general guidelines, and specific agency systematic review 
guidelines that have been issued in consultation with the Archivist of 
the United States and the ISOO Director.
    (d) Foreign government information falling within any of the 
categories listed in Sec. 2002.6 of these guidelines shall be 
declassified or downgraded only upon specific authorization of the 
agency that has declassification authority over it. Such information 
shall be referred to the responsible agency(ies) for review. Information 
so referred shall remain classified until the responsible agency(ies) 
has declassified it. If the responsible agency cannot be readily 
identified from the document or material, referral shall be made in 
accordance with Sec. 2002.7 of these guidelines.
    (e) When required, the agency having declassification authority over 
the information shall consult with foreign governments concerning its 
proposed declassification.



Sec. 2002.5  Effect of publication.

    (a) Foreign government information shall be considered declassified 
when published in an unclassified United States Government executive 
branch publication (e.g., the Foreign Relations of the United States 
series) or when cleared for publication by United States Government 
executive branch officials authorized to declassify the information; or 
if officially published as unclassified by the foreign government(s) or 
international organization(s) of governments that furnished the 
information unless the fact of the U.S. Government's possession of the 
information requires continued protection.

[[Page 506]]

    (b) The unofficial publication, in the United States or abroad, of 
foreign government information contained in classified United States or 
foreign documents does not in or of itself constitute or permit the 
declassification of such information. Although prior unofficial 
publication is a factor to be considered in the systematic review 
process, there may be valid reasons for continued protection of the 
information which could preclude its declassification. In particular, 
the classification status of foreign government information which 
concerns or derives from intelligence activities (including special 
activities), intelligence sources or methods shall not be affected by 
any unofficial publication of identical or related information. The 
final declassification determination shall be made by the agency or 
agencies having declassification authority over it.



Sec. 2002.6  Categories requiring item-by-item review.

    Foreign government information falling into the following categories 
require item-by-item review for declassification by agencies having 
declassification authority over it.
    (a) Information exempted from declassification under any joint 
arrangement evidenced by an exchange of letters, memorandum of 
understanding, or other written record, with the foreign government or 
international organization of governments, or element(s) thereof, that 
furnished the information. Questions concerning the existence or 
applicability of such arrangements shall be referred to the agency or 
agencies having declassification authority over the records under 
review.
    (b) Information related to the safeguarding of nuclear materials or 
facilities, foreign and domestic, including but not necessarily limited 
to vulnerabilities and vulnerability assessments of nuclear facilities 
and Special Nuclear Material.
    (c) Nuclear arms control information (see also paragraph (k) of this 
section).
    (d) Information regarding foreign nuclear programs (other than 
``Restricted Data'' and ``Formerly Restricted Data''), such as:
    (1) Nuclear weapons testing.
    (2) Nuclear weapons storage and stockpile.
    (3) Nuclear weapons effects, hardness, and vulnerability.
    (4) Nuclear weapons safety.
    (5) Cooperation in nuclear programs including, but not limited to, 
peaceful and military applications of nuclear energy.
    (6) Exploration, production and import of uranium and thorium from 
foreign countries.
    (e) Information concerning intelligence activities (including 
special activities) or intelligence or counterintelligence sources or 
methods including but not limited to intelligence, counterintelligence 
and covert action programs, plans, policies, operations, or assessments; 
or which would reveal or identify:
    (1) Any present, past or prospective undercover personnel, 
installation, unit, or clandestine human agent, of the United States or 
a foreign government;
    (2) Any present, past or prospective method, procedure, mode, 
technique or requirement used or being developed by the United States or 
by foreign governments, individually or in combination to produce, 
acquire, transmit, analyze, correlate, assess, evaluate or process 
intelligence or counterintelligence, or to support an intelligence or 
counterintelligence source, operation, or activity;
    (3) The present, past or proposed existence of any joint United 
States and foreign government intelligence, counterintelligence, or 
covert action activity or facility, or the nature thereof. (For guidance 
on protecting United States foreign intelligence liaison relationships, 
see Director of Central Intelligence Directive ``Security Classification 
Guidance and Foreign Security Services,'' effective January 18, 1982.)
    (f) Information that could result in or lead to actions which would 
place an individual in jeopardy attributable to disclosure of the 
information, including but not limited to:
    (1) Information identifying any individual or organization as a 
confidential source of intelligence or counterintelligence.

[[Page 507]]

    (2) Information revealing the identity of an intelligence or covert 
action agent or agents.
    (3) Information identifying any individual or organization used to 
develop or support intelligence, counterintelligence, or covert action 
agents, sources or activities.
    (g) Information about foreign individuals, organizations or events 
which if disclosed, could be expected to:
    (1) Adversely affect a foreign country's or international 
organization's present or future relations with the United States.
    (2) Adversely affect present or future confidential exchanges beween 
the United States and any foreign government or international 
organization of governments.
    (h) Information related to plans (whether executed or not, whether 
presented in whole or in part), programs, operations, negotiations, and 
assessments shared by one or several foreign governments with the United 
States, including but not limited to those involving the territory, 
political regime or government of another country, and which if 
disclosed could be expected to adversely affect the conduct of U.S. 
foreign policy or the conduct of another country's foreign policy with 
respect to a third country or countries. This item would include 
contigency plans, plans for covert political, military or paramilitary 
activities or operations by a foreign government acting alone or jointly 
with the United States Government, and positions or actions taken by a 
foreign government alone or jointly with the United States concerning 
border disputes or other territorial issues.
    (i) Information concerning arrangements with respect to foreign 
basing of cryptologic operations and/or foreign policy considerations 
relating thereto.
    (j) Scientific information such as that concerning space, energy, 
climatology, communications, maritime, undersea, and polar projects, the 
disclosure of which could be expected to adversely affect current and/or 
future exchanges of such information between the United States and any 
foreign governments or international organizations of governments.
    (k) Information on foreign policy aspects of nuclear matters, the 
disclosure of which could be expected to adversely affect cooperation 
between one or more foreign governments and the United States 
Government.
    (l) Information concerning physical security arrangements, plans or 
equipment for safeguarding United States Government embassies, missions 
or facilities abroad, the disclosure of which could reasonably be 
expected to increase the vulnerability of such facilities to 
penetration, attack, take-over, and the like.
    (m) Nuclear propulsion information.
    (n) Information concerning the establishment, operation, and support 
of nuclear detection systems.
    (o) Information concerning or revealing military or paramilitary 
escape, evasion, cover or deception plans, procedures, and techniques, 
whether executed or not.
    (p) Information which could adversely affect the current or future 
usefullness of military defense policies, programs, weapons systems, 
operations, or plans.
    (q) Information concerning research, development, testing and 
evaluation of chemical and biological weapons and defense systems; 
specific identification of chemical and biological agents and munitions; 
and chemical and biological warfare plans.
    (r) Technical information concerning weapons systems and military 
equipment that reveals the capabilities, limitations, or vulnerabilities 
of such systems, or equipment that could be exploited to destroy, 
counter, render ineffective or neutralize such weapons or equipment.
    (s) Cryptologic information, including cryptologic sources and 
methods, currently in use. This includes information concerning or 
revealing the processes, techniques, operations, and scope of signals 
intelligence comprising communications intelligence, electronics 
intelligence, and telemetry intelligence, the crytosecurity and emission 
security components of communications security, and the communications 
portion of cover and deception plans.
    (t) Information concerning electronic warfare (electronic warfare 
support

[[Page 508]]

measures, electronic counter-countermeasures) or related activities, 
including but not necessarily limited to:
    (1) Nomenclature, functions, technical characteristics or 
descriptions of communications and electronic equipment, its employment/
development, and its association with weapoins systems or military 
operations.
    (2) The processes, techniques, operations or scope of activities 
involved in the acquisition, analysis and evaluation of such 
information, and the degree of success achieved by the above processes, 
techniques, operations or activities.
    (u) Present, past or proposed protective intelligence information 
relating to the sources, plans, techniques, equipment and methods used 
in carrying out assigned duties of protecting United States Government 
officials or other protectees abroad and foreign officials while in the 
United States or United States possessions. This includes information 
concerning the identification of witnesses, informants and persons 
suspected of being dangerous to persons under protection.
    (v) Information on deposits of foreign official institutions in 
United States banks and on foreign official institutions' holdings, 
purchases and sales of long-term marketable securities in the United 
States.
    (w) Information concerning economic and policy studies and sensitive 
assessments or analyses of economic conditions, policies or activities 
of foreign countries or international organizations of governments 
received through the Multilateral Development Banks and Funds or through 
the International Monetary Fund (IMF) and the Organization for Economic 
Cooperation and Development (OECD).
    (x) Information described in paragraphs (a) through (w) contained in 
correspondence, transcripts, memoranda of conversation, or minutes of 
meetings between the President of the United States or the Vice 
President of the United States and foreign government officials.
    (y) Information described in paragrpahs (a) through (w) contained in 
documents originated by or sent to the Assistant to the President for 
National Security Affairs, his Deputy, members of the National Security 
Council staff, or any other person on the White House or the Executive 
Office of the President staffs performing national security functions.
    (z) Federal agency originated documents bearing Presidential, 
National Security Council, or White House or Executive Office of the 
President staffs' comments relating to categories of information 
described in paragraphs (a) through (w).
    (aa) Information as described in paragraphs (a) through (w) 
contained in correspondence to or from the President or the Vice 
President, including background briefing memoranda and talking points 
for meetings between the President or the Vice President and foreign 
government officials, and discussions of the timing and purposes of such 
meetings.
    (bb) Information as described in paragraphs (a) through (w) 
contained in agency message traffic originated by White House or 
Executive Office of the President staff members but sent through agency 
communication networks.



Sec. 2002.7  Referral and decision.

    (a) When the identity of the agencies having declassification 
authority over foreign government information is not apparent to the 
agency holding the information, or when reviewing officials do not 
possess the requisite expertise, the information shall be referred for 
review and a declassification determination as follows:
    (1) Categories 2002.6 (b) through (d), Department of Energy or 
Nuclear Regulatory Commission (as appropriate).
    (2) Categories 2002.6 (e) and (f), Central Intelligence Agency.
    (3) Categories 2002.6 (g) through (l), Department of State.
    (4) Categories 2002.6 (m) through (t), Department of Defense.
    (5) Categories 2002.6 (u) and (w), Department of the Treasury.
    (6) Categories 2002.6 (x) through (bb), National Security Council.
    (b) Referrals to agencies shall include copies of the documents 
containing the

[[Page 509]]

foreign government information. Agencies shall review the referred 
documents and promptly notify the Archivist of the United States of the 
declassification determination. Forwarded copies of the documents shall 
be marked to reflect any downgrading or declassification action and 
shall be returned to the National Archives.



Sec. 2002.8  Downgrading.

    Foreign government information classified ``Top Secret'' may be 
downgraded to ``Secret'' after 30 years unless the agency with 
declassification authority over it determines on its own, or after 
consultation, as appropriate, with the foreign government or 
international organization of governments which furnished the 
information, that it requires continued protection at the ``Top Secret'' 
level.



PART 2003--NATIONAL SECURITY INFORMATION--STANDARD FORMS--Table of Contents




                      Subpart A--General Provisions

Sec.
2003.1  Purpose.
2003.2  Scope.
2003.3  Waivers.
2003.4  Availability.

                       Subpart B--Prescribed Forms

2003.20  Classified Information Nondisclosure Agreement: SF 312; 
          Classified Information Nondisclosure Agreement: SF 189; 
          Classified Information Nondisclosure Agreement (Industrial/
          Commercial/Non-Government): SF 189-A.
2003.21  Security Container Information: SF 700.
2003.22  Activity Security Checklist: SF 701.
2003.23  Security Container Check Sheet: SF 702.
2003.24  TOP SECRET Cover Sheet: SF 703.
2003.25  SECRET Cover Sheet: SF 704.
2003.26  CONFIDENTIAL Cover Sheet: SF 705.
2003.27  TOP SECRET Label SF 706.
2003.28  SECRET Label SF 707.
2003.29  CONFIDENTIAL Label SF 708.
2003.30  CLASSIFIED Label SF 709.
2003.31  UNCLASSIFIED Label SF 710.
2003.32  DATA DESCRIPTOR Label SF 711.

    Authority: Sec. 5.2(b)(7) of E.O. 12356.



                      Subpart A--General Provisions



Sec. 2003.1  Purpose.

    The purpose of the standard forms prescribed in subpart B is to 
promote the implementation of the government-wide information security 
program. Standard forms are prescribed when their use will enhance the 
protection of national security information and/or will reduce the costs 
associated with its protection.

[48 FR 40849, Sept. 9, 1983]



Sec. 2003.2  Scope.

    The use of the standard forms prescribed in subpart B is mandatory 
for all departments, and independent agencies or offices of the 
executive branch that create and/or handle national security 
information. As appropriate, these departments, and independent agencies 
or offices may mandate the use of these forms by their contractors, 
licensees or grantees who are authorized access to national security 
information.

[48 FR 40849, Sept. 9, 1983]



Sec. 2003.3  Waivers.

    Except as specifically provided, waivers from the mandatory use of 
the standard forms prescribed in subpart B may be granted only by the 
Director of ISOO.

[52 FR 10190, Mar. 30, 1987]



Sec. 2003.4  Availability.

    Agencies may obtain copies of the standard forms prescribed in 
subpart B by ordering through FEDSTRIP/MILSTRIP or from the General 
Services Administration (GSA) Customer Supply Centers (CSCs). The 
national stock number of each form is cited with its description in 
subpart B.

[50 FR 51826, Dec. 19, 1985]

[[Page 510]]



                       Subpart B--Prescribed Forms



Sec. 2003.20  Classified Information Nondisclosure Agreement: SF 312; Classified Information Nondisclosure Agreement: SF 189; Classified Information 
          Nondisclosure Agreement (Industrial/Commercial/Non-
          Government): SF 189-A.

    (a) SF 312, SF 189, and SF 189-A are nondisclosure agreements 
between the United States and an individual. The prior execution of at 
least one of these agreements, as appropriate, by an individual is 
necessary before the United States Government may grant that individual 
access to classified information. From the effective date of this rule, 
September 29, 1988, the SF 312 shall be used in lieu of both the SF 189 
and the SF 189-A for this purpose. In any instance in which the language 
in the SF 312 differs from the language in either the SF 189 or SF 189-
A, agency heads shall interpret and enforce the SF 189 or SF 189-A in a 
manner that is fully consistent with the interpretation and enforcement 
of the SF 312.
    (b) All employees of executive branch departments, and independent 
agencies or offices, who have not previously signed the SF 189, must 
sign the SF 312 before being granted access to classified information. 
An employee who has previously signed the SF 189 is permitted, at his or 
her own choosing, to substitute a signed SF 312 for the SF 189. In these 
instances, agencies shall take all reasonable steps to dispose of the 
superseded nondisclosure agreement or to indicate on it that it has been 
superseded.
    (c) All Government contractor, licensee, and grantee employees, or 
other non-Government personnel requiring access to classified 
information in the performance of their duties, who have not previously 
signed either the SF 189 or the SF 189-A, must sign the SF 312 before 
being granted access to classified information. An employee who has 
previously signed either the SF 189 or the SF 189-A is permitted, at his 
or her own choosing, to substitute a signed SF 312 for either the SF 189 
or the SF 189-A. In these instances, agencies, with the cooperation of 
the pertinent contractor, licensee or grantee, shall take all reasonable 
steps to dispose of the superseded nondisclosure agreement or to 
indicate on it that it has been superseded.
    (d) Agencies may require other persons, who are not included under 
paragraphs (b) or (c) of this section, and who have not previously 
signed either the SF 189 or the SF 189-A, to execute SF 312 before 
receiving access to classified information. A person in such 
circumstances who has previously signed either the SF 189 or the SF 189-
A is permitted, at his or her own choosing, to substitute a signed SF 
312 for either the SF 189 or the SF 189-A. In these instances, agencies 
shall take all reasonable steps to dispose of the superseded 
nondisclosure agreement or to indicate on it that it has been 
superseded.
    (e) The use of the ``Security Debriefing Acknowledgement'' portion 
of the SF 312 is optional at the discretion of the implementing agency.
    (f) An authorized representative of a contractor, licensee, grantee, 
or other non-Government organization, acting as a designated agent of 
the United States, may witness the execution of the SF 312 by another 
non-Government employee, and may accept it on behalf of the United 
States. Also, an employee of a United States agency may witness the 
execution of the SF 312 by an employee, contractor, licensee or grantee 
of another United States agency, provided that an authorized United 
States Government official or, for non-Government employees only, a 
designated agent of the United States subsequently accepts by signature 
the SF 312 on behalf of the United States.
    (g) The provisions of the SF 312, the SF 189, and the SF 189-A do 
not supersede the provisions of section 2302, title 5, United States 
Code, which pertain to the protected disclosure of information by 
Government employees, or any other laws of the United States.
    (h)(1) Modification of the SF 189. The second sentence of paragraph 
1 of every executed copy of the SF 189 is clarified to read:

    As used in this Agreement, classified information is marked or 
unmarked classified information, including oral communications, that is 
classified under the standards of Executive Order 12356, or under any 
other Executive order or statute that prohibits the unauthorized 
disclosure of information in the interest of national security; and 
unclassified information that meets the standards

[[Page 511]]

for classification and is in the process of a classification 
determination as provided in sections 1.1(c) and 1.2(e) of Executive 
Order 12356, or under any other Executive order or statute that requires 
protection for such information in the interest of national security.

    (2) Scope of ``classified information''. As used in the SF 312, the 
SF 189, and the SF 189-A, ``classified information'' is marked or 
unmarked classified information, including oral communications; and 
unclassified information that meets the standards for classification and 
is in the process of a classification determination, as provided in 
sections 1.1(c) and 1.2(e) of Executive Order 12356 or any other statute 
or Executive order that requires interim protection for certain 
information while a classification determination is pending. 
``Classified information'' does not include unclassified information 
that may be subject to possible classification at some future date, but 
is not currently in the process of a classification determination.
    (3) Basis for liability. A party to the SF 312, SF 189 or SF 189-A 
may be liable for disclosing ``classified information'' only if he or 
she knows or reasonably should know that: (i) The marked or unmarked 
information is classified, or meets the standards for classification and 
is in the process of a classification determination; and (ii) his or her 
action will result, or reasonably could result in the unauthorized 
disclosure of that information.

In no instance may a party to the SF 312, SF 189 or SF 189-A be liable 
for violating its nondisclosure provisions by disclosing information 
when, at the time of the disclosure, there is no basis to suggest, other 
than pure speculation, that the information is classified or in the 
process of a classification determination.
    (4) Modification of the SF 312, SF 189 and SF 189-A.
    (i) Each executed copy of the SF 312, SF 189 and SF 189-A, whether 
executed prior to or after the publication of this rule, is amended to 
include the following paragraphs 10 and 11.

    10. These restrictions are consistent with and do not supersede, 
conflict with or otherwise alter the employee obligations, rights or 
liabilities created by Executive Order 12356; section 7211 of title 5 
U.S.C. (governing disclosures to Congress); section 1034 of title 10 
U.S.C., as amended by the Military Whistleblower Protection Act 
(governing disclosure to Congress by members of the military); section 
2302(b)(8) of title 5 U.S.C., as amended by the Whistleblower Protection 
Act (governing disclosures of illegality, waste, fraud, abuse or public 
health or safety threats); the Intelligence Identities Protection Act of 
1982 (50 U.S.C. 421 et seq.) (governing disclosures that could expose 
confidential Government agents), and the statutes which protect against 
disclosure that may compromise the national security, including sections 
641, 793, 794, 798, and 952 of title 18 U.S.C., and section 4(b) of the 
Subversive Activities Act of 1950 (50 U.S.C. section 783(b)). The 
definitions, requirements, obligations, rights, sanctions and 
liabilities created by said Executive Order and listed statutes are 
incorporated into this Agreement and are controlling.
    11. I have read this Agreement carefully and my questions, if any, 
have been answered. I acknowledge that the briefing officer has made 
available to me the Executive Order and statutes referenced in this 
Agreement and its implementing regulation (32 CFR 2003.20) so that I may 
read them at this time, if I so choose.

    (ii) The first sentence of paragraph 7 of each executed copy of the 
SF 312, SF 189 and SF 189-A, whether executed prior to or after the 
publication of this rule, is amended to read:

    I understand that all classified information to which I have access 
or may obtain access by signing this Agreement is now and will remain 
the property of, or under the control of the United States Government 
unless and until otherwise determined by an authorized official or final 
ruling of a court of law.


The second sentence of paragraph 7 of each executed copy of the SF 312 
(September 1988 version), SF 189 and SF 189-A, which reads, ``I do not 
now, nor will I ever, possess any right, interest, title or claim 
whatsoever to such information,'' and whether executed prior to or after 
the publication of this rule, is deleted.
    (i) Points of clarification. (1) As used in paragraph 3 of SF 189 
and SF-189-A, the word ``indirect'' refers to any situation in which the 
knowing, willful or negligent action of a party to the agreement results 
in the unauthorized disclosure of classified information even though the 
party to the agreement does not directly communicate, deliver or 
transmit classified information to a

[[Page 512]]

person who is not authorized to receive it.
    (2) As used in paragraph 7 of SF 189, ``information'' refers to 
``classified information,'' exclusively.
    (3) As used in the third sentence of paragraph 7 of SF 189 and SF 
189-A, the words ``all materials which have, or may have, come into my 
possession,'' refer to ``all classified materials which have or may come 
into my possession,'' exclusively.
    (j) Each agency must retain its executed copies of the SF 312, SF 
189, and SF 189-A in file systems from which an agreement can be 
expeditiously retrieved in the event that the United States must seek 
its enforcement or a subsequent employer must confirm its prior 
execution. The original, or a legally enforceable facsimile that is 
retained in lieu of the original, such as microfiche, microfilm, 
computer disk, or electronic storage medium, must be retained for 50 
years following its date of execution. For agreements executed by 
civilian employees of the United States Government, an agency may store 
the executed copy of the SF 312 and SF 189 in the United States Office 
of Personnel Management's Official Personnel Folder (OPF) as a long-term 
(right side) document for that employee. An agency may permit its 
contractors, licensees and grantees to retain the executed agreements of 
their employees during the time of employment. Upon the termination of 
employment, the contractors, licensee or grantee shall deliver the 
original or legally enforceable facsimile of the executed SF 312, SF 189 
or SF 189-A of that employee to the Government agency primarily 
responsible for his or her classified work. A contractor, licensee or 
grantee of an agency participating in the Defense Industrial Security 
Program shall deliver the copy or legally enforceable facsimile of the 
executed SF 312, SF 189 or SF 189-A of a terminated employee to the 
Defense Industrial Security Clearance Office. Each agency shall inform 
ISOO of the file systems that it uses to store these agreements for each 
category of affected individuals.
    (k) Only the National Security Council may grant an agency's request 
for a waiver from the use of the SF 312. To apply for a waiver, an 
agency must submit its proposed alternative nondisclosure agreement to 
the Director of ISOO, along with a justification for its use. The 
Director of ISOO will request a determination about the alternative 
agreement's enforceability from the Department of Justice prior to 
making a recommendation to the National Security Council. An agency that 
has previously received a waiver from the use of the SF 189 or the SF 
189-A need not seek a waiver from the use of the SF 312.
    (l) The national stock number for the SF 312 is 7540-01-280-5499.

[53 FR 38279, Sept. 29, 1988, as amended at 56 FR 2645, Jan. 23, 1991; 
56 FR 27559, June 14, 1991]



Sec. 2003.21  Security Container Information: SF 700.

    (a) SF 700 provides the names, addresses and telephone numbers of 
employees who are to be contacted if the security container to which the 
form pertains is found open and unattended. The form also includes the 
means to maintain a current record of the security container's 
combination and provides the envelope to be used to forward this 
information to the appropriate agency activity or official.
    (b) SF 700 shall be used in all situations that call for the use of 
a security container information form. Agency-wide use of SF 700 shall 
begin when supplies of existing forms are exhausted or September 30, 
1986, whichever occurs earlier.
    (c) Parts 2 and 2A of each completed copy of SF 700 shall be 
classified at the highest level of classification of the information 
authorized for storage in the security container. A new SF 700 must be 
completed each time the combination to the security container is changed 
as required by applicable executive order(s), statute(s) or implementing 
security regulations.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant an agency's application for a waiver from the use of SF 
700. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director

[[Page 513]]

will review the request and notify the agency of the decision.
    (e) The national stock number for the SF 700 is 7540-01-214-5372.

[50 FR 51826, Dec. 19, 1985]



Sec. 2003.22  Activity Security Checklist: SF 701.

    (a) SF 701 provides a systematic means to make a thorough end-of-day 
security inspection for a particular work area and to allow for employee 
accountability in the event that irregularities are discovered.
    (b) SF 701 shall be used in all situations that call for the use of 
an activity security checklist. Agency-wide use of SF 701 shall begin 
when supplies of existing forms are exhausted or September 30, 1986, 
whichever occurs earlier.
    (c) Completion, storage and disposition of SF 701 will be in 
accordance with each agency's security regulations.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant an agency's application for a waiver from the use of SF 
701. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director will review the request and notify the agency 
of the decision.
    (e) The national stock number for the SF 701 is 7540-01-213-7899.

[50 FR 51826, Dec. 19, 1985]



Sec. 2003.23  Security Container Check Sheet: SF 702.

    (a) SF 702 provides a record of the names and times that persons 
have opened, closed or checked a particular container that holds 
classified information.
    (b) SF 702 shall be used in all situations that call for the use of 
a security container check sheet. Agency-wide use of SF 702 shall begin 
when supplies of existing forms are exhausted or September 30, 1986, 
whichever occurs earlier.
    (c) Completion, storage and disposal of SF 702 will be in accordance 
with each agency's security regulations.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant an agency's application for a waiver from the use of SF 
702. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director will review the request and notify the agency 
of the decision.
    (e) The national stock number of the SF 702 is 7540-01-213-7900.

[50 FR 51826, Dec. 19, 1985]



Sec. 2003.24  TOP SECRET Cover Sheet: SF 703.

    (a) SF 703 serves as a shield to protect TOP SECRET classified 
information from inadvertent disclosure and to alert observers that TOP 
SECRET information is attached to it.
    (b) SF 703 shall be use in all situations that call for the use of a 
TOP SECRET cover sheet. Agency-wide use of SF 703 shall begin when 
supplies of existing forms are exhausted or September 30, 1986, 
whichever occurs earlier.
    (c) SF 703 is affixed to the top of the TOP SECRET document and 
remains attached until the document is destroyed. At the time of 
destruction, SF 703 is removed and, depending upon its condition, 
reused.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant any agency's application for a waiver from the use of 
SF 703. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director will review the request and notify the agency 
of the decision.
    (e) The national stock number of the SF 703 is 7540-01-213-7901.

[50 FR 51826, Dec. 19, 1985]



Sec. 2003.25  SECRET Cover Sheet: SF 704.

    (a) SF 704 serves as a shield to protect SECRET classified 
information from inadvertent disclosure and to alert observers that 
SECRET information is attached to it.
    (b) SF 704 shall be use in all situations that call for the use of a 
SECRET cover sheet. Agency-wide use of SF 704 shall begin when supplies 
of existing forms are exhausted or September 30, 1986, whichever occurs 
earlier.

[[Page 514]]

    (c) SF 704 is affixed to the top of the SECRET document and remains 
attached until the document is destroyed. At the time of destruction, SF 
704 is removed and, depending upon its condition, reused.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant any agency's application for a waiver from the use of 
SF 704. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director will review the request and notify the agency 
of the decision.
    (e) The national stock number of the SF 704 is 7540-01-213-7902.

[50 FR 51827, Dec. 19, 1985]



Sec. 2003.26  CONFIDENTIAL Cover Sheet: SF 705.

    (a) SF 705 serves as a shield to protect CONFIDENTIAL classified 
information from inadvertent disclosure and to alert observers that 
CONFIDENTIAL information is attached to it.
    (b) SF 705 shall be use in all situations that call for the use of a 
CONFIDENTIAL cover sheet. Agency-wide use of SF 705 shall begin when 
supplies of existing forms are exhausted or September 30, 1986, 
whichever occurs earlier.
    (c) SF 705 is affixed to the top of the CONFIDENTIAL document and 
remains attached until the document is destroyed. At the time of 
destruction, SF 705 is removed and, depending upon its condition, 
reused.
    (d) Only the Director of the Information Security Oversight Office 
(ISOO) may grant any agency's application for a waiver from the use of 
SF 705. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The ISOO Director will review the request and notify the agency 
of the decision.
    (e) The national stock number for the SF 705 is 7540-01-213-7903.

[50 FR 51827, Dec. 19, 1985]



Sec. 2003.27  TOP SECRET Label SF 706.

    (a) SF 706 is used to identify and protect automatic data processing 
(ADP) media and other media that contain TOP SECRET information. SF 706 
is used instead of the SF 703 for media other than documents.
    (b) SF 706 shall be used in all situations that call for the use of 
a TOP SECRET Label. Agency-wide use of SF 706 shall begin when supplies 
of existing forms are exhausted or January 31, 1988, whichever occurs 
earlier.
    (c) SF 706 is affixed to the medium containing TOP SECRET 
information in a manner that would not adversely affect operation of 
equipment in which the medium is used. Once the Label has been applied, 
it cannot be removed.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
706. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 706 is 7540-01-207-5536.

[52 FR 10190, Mar. 30, 1987]



Sec. 2003.28  SECRET Label SF 707.

    (a) SF 707 is used to identify and protect automatic data processing 
(ADP) media and other media that contain SECRET information. SF 707 is 
used instead of the SF 704 for media other than documents.
    (b) SF 707 shall be used in all situations that call for the use of 
a SECRET Label. Agency-wide use of SF 707 shall begin when supplies of 
existing forms are exhausted or January 31, 1988, whichever occurs 
earlier.
    (c) SF 707 is affixed to the medium containing SECRET information in 
a manner that would not adversely affect operation of equipment in which 
the medium is used. Once the Label has been applied, it cannot be 
removed.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
707. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 707 is 7540-01-207-5537.

[52 FR 10190, Mar. 30, 1987]

[[Page 515]]



Sec. 2003.29  CONFIDENTIAL Label SF 708.

    (a) SF 708 is used to identify and protect automatic data processing 
(ADP) media and other media that contain CONFIDENTIAL information. SF 
708 is used instead of the SF 705 for media other than documents.
    (b) SF 708 shall be used in all situations that call for the use of 
a CONFIDENTIAL Label. Agency-wide use of SF 708 shall begin when 
supplies of existing forms are exhausted or January 31, 1988, whichever 
occurs earlier.
    (c) SF 708 is affixed to the medium containing CONFIDENTIAL 
information in a manner that would not adversely affect operation of 
equipment in which the medium is used. Once the Label has been applied, 
it cannot be removed.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
708. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 708 is 7540-01-207-5538.

[52 FR 10190, Mar. 30, 1987]



Sec. 2003.30  CLASSIFIED Label SF 709.

    (a) SF 709 is used to identify and protect automatic data processing 
(ADP) media and other media that contain classified information pending 
a determination by the classifier of the specific classification level 
of the information.
    (b) SF 709 shall be used in all situations that require the use of a 
CLASSIFIED Label. Agency-wide use of SF 709 shall begin when supplies of 
existing forms are exhausted or January 31, 1988, whichever occurs 
earlier.
    (c) SF 709 is affixed to the medium containing classified 
information in a manner that would not adversely affect operation of 
equipment in which the medium is used. Once the Label has been applied, 
it cannot be removed. When a classifier has made a determination of the 
spedific level of classification of the information contained on the 
medium, either SF 706, SF 707, or SF 708 shall be affixed on top of SF 
709 so that only the SF 706, SF 707, or SF 708 is visible.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
709. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 709 is 7540-01-207-5540.

[52 FR 10190, Mar. 30, 1987]



Sec. 2003.31  UNCLASSIFIED Label SF 710.

    (a) In a mixed environment in which classified and unclassified 
information are being processed or stored, SF 710 is used to identify 
automatic data processing (ADP) media and other media that contain 
unclassified information. Its function is to aid in distinguishing among 
those media that contain either classified or unclassified information 
in a mixed environment.
    (b) SF 710 shall be used in all situations that require the use of 
an UNCLASSIFIED Label. Agency-wide use of SF 710 shall begin when 
supplies of existing forms are exhausted or January 31, 1988, whichever 
occurs earlier.
    (c) SF 710 is affixed to the medium containing unclassified 
information in a manner that would not adversely affect operation of 
equipment in which the medium is used. Once the Label has been applied, 
it cannot be removed. However, the label is small enough so that it can 
be wholly covered by a SF 706, SF 707, SF 708 or SF 709 if the medium 
subsequently contains classified information.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
710. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 710 is 7540-01-207-5539.

[52 FR 10191, Mar. 30, 1987]

[[Page 516]]



Sec. 2003.32  DATA DESCRIPTOR Label SF 711.

    (a) SF 711 is used to identify additional safeguarding controls that 
pertain to classified information that is stored or contained on 
automatic data processing (ADP) or other media.
    (b) SF 711 shall be used in all situations that require the use of a 
DATA DESCRIPTOR Label. Agency-wide use of SF 711 shall begin when 
supplies of existing forms are exhausted or January 31, 1988, whichever 
occurs earlier.
    (c) SF 711 is affixed to the ADP medium containing classified 
information in a manner that would not adversely affect operation of 
equipment in which the medium is used. SF 711 is ordinarily used in 
conjunction with the SF 706, SF 707, SF 708 or SF 709, as appropriate. 
Once the Label has been applied, it cannot be removed. The SF 711 
provides spaces for information that should be completed as required.
    (d) Only the Director of ISOO may grant a waiver from the use of SF 
711. To apply for a waiver, an agency must submit its proposed 
alternative form to the Director of ISOO along with its justification 
for use. The Director of ISOO will review the request and notify the 
agency of the decision.
    (e) The national stock number of the SF 711 is 7540-01-207-5541.

[52 FR 10191, Mar. 30, 1987]



PART 2004--DIRECTIVE ON SAFEGUARDING CLASSIFIED NATIONAL SECURITY INFORMATION--Table of Contents




Sec.
2004.1  Authority.
2004.2  General.
2004.3  Definitions.
2004.4  Responsibilities of holders.
2004.5  Standards for security equipment.
2004.6  Storage.
2004.7  Information controls.
2004.8  Transmission.
2004.9  Destruction.
2004.10  Loss, possible compromise or unauthorized disclosure.
2004.11  Special access programs.
2004.12  Telecommunications, automated information systems and network 
          security.
2004.13  Technical security.
2004.14  Emergency authority.

Appendix A to Part 2004--Open Storage Areas.
Appendix B to Part 2004--Foreign Government Information.

    Authority: E.O. 12958, 60 FR 19825, 3 CFR, 1995 Comp., p. 333.

    Source: 64 FR 51854, Sept. 24, 1999, unless otherwise noted.



Sec. 2004.1  Authority.

    This Directive is issued pursuant to Section 5.2 (c) of Executive 
Order (E.O.) 12958, ``Classified National Security Information.'' The 
E.O. and this Directive set forth the requirements for the safeguarding 
of classified national security information (hereinafter classified 
information) and are applicable to all U.S. Government agencies.



Sec. 2004.2  General.

    (a) Classified information, regardless of its form, shall be 
afforded a level of protection against loss or unauthorized disclosure 
commensurate with its level of classification.
    (b) Except for NATO and other foreign government information, agency 
heads or their designee(s) (hereinafter referred to as agency heads) may 
adopt alternative measures, using risk management principles, to protect 
against loss or unauthorized disclosure when necessary to meet 
operational requirements. When alternative measures are used for other 
than temporary, unique situations, the alternative measures shall be 
documented and provided to the Director, Information Security Oversight 
Office (ISOO), to facilitate that office's oversight responsibility. 
Upon request, the description shall be provided to any other agency with 
which classified information or secure facilities are shared. In all 
cases, the alternative measures shall provide protection sufficient to 
reasonably deter and detect loss or unauthorized disclosure. Risk 
management factors considered will include sensitivity, value and 
crucial nature of the information; analysis of known and anticipated 
threats; vulnerability; and countermeasures benefits versus cost.
    (c) NATO classified information shall be safeguarded in compliance 
with U.S.

[[Page 517]]

Security Authority for NATO Instructions I-69 and I-70. Other foreign 
government information shall be safeguarded as described herein for U.S. 
information except as required by an existing treaty, agreement or other 
obligation (hereinafter, obligation). When the information is to be 
safeguarded pursuant to an existing obligation, the additional 
requirements at Appendix B may apply to the extent they were required in 
the obligation as originally negotiated or are agreed upon during 
amendment. Negotiations on new obligations or amendments to existing 
obligations shall strive to bring provisions for safeguarding foreign 
government information into accord with standards for safeguarding U.S. 
information as described in this Directive.
    (d) An agency head who originates or handles classified information 
shall refer any matter pertaining to the implementation of this 
Directive that he or she cannot resolve to the Director, ISOO for 
resolution.



Sec. 2004.3  Definitions.

    (a) Open storage area. An area, constructed in accordance with 
Appendix A and authorized by the agency head for open storage of 
classified information.
    (b) Authorized person. A person who has a favorable determination of 
eligibility for access to classified information, has signed an approved 
nondisclosure agreement, and has a need-to-know for the specific 
classified information in the performance of official duties.
    (c) Cleared commercial carrier. A carrier that is authorized by law, 
regulatory body, or regulation, to transport SECRET and CONFIDENTIAL 
material and has been granted a SECRET facility clearance in accordance 
with the National Industrial Security Program.
    (d) Security-in-depth. A determination by the agency head that a 
facility's security program consists of layered and complementary 
security controls sufficient to deter and detect unauthorized entry and 
movement within the facility. Examples include, but are not limited to, 
use of perimeter fences, employee and visitor access controls, use of an 
Intrusion Detection System (IDS), random guard patrols throughout the 
facility during non-working hours, closed circuit video monitoring or 
other safeguards that mitigate the vulnerability of open storage areas 
without alarms and security storage cabinets during non-working hours.
    (e) Vault. An area approved by the agency head which is designed and 
constructed of masonry units or steel lined construction to provide 
protection against forced entry. A modular vault approved by the General 
Services Administration (GSA) may be used in lieu of a vault as 
prescribed in the first sentence of this paragraph (e). Vaults shall be 
equipped with a GSA-approved vault door and lock.



Sec. 2004.4  Responsibilities of holders.

    Authorized persons who have access to classified information are 
responsible for:
    (a) Protecting it from persons without authorized access to that 
information, to include securing it in approved equipment or facilities 
whenever it is not under the direct control of an authorized person;
    (b) Meeting safeguarding requirements prescribed by the agency head; 
and
    (c) Ensuring that classified information is not communicated over 
unsecured voice or data circuits, in public conveyances or places, or in 
any other manner that permits interception by unauthorized persons.



Sec. 2004.5  Standards for security equipment.

    The Administrator of General Services shall, in coordination with 
agency heads originating classified information, establish and publish 
uniform standards, specifications and supply schedules for security 
equipment designed to provide secure storage for and destruction of 
classified information. Whenever new security equipment is procured, it 
shall be in conformance with the standards and specifications 
established by the Administratior of General Services, and shall, to the 
maximum extent possible, be of the type available through the Federal 
Supply System.

[[Page 518]]



Sec. 2004.6  Storage.

    (a) General. Classified information shall be stored only under 
conditions designed to deter and detect unauthorized access to the 
information. Storage at overseas locations shall be at U.S. Government 
controlled facilities unless otherwise stipulated in treaties or 
international agreements. Overseas storage standards for facilities 
under a Chief of Mission are promulgated under the authority of the 
Overseas Security Policy Board.
    (b) Requirements for physical protection. (1) Top Secret. Top Secret 
information shall be stored by one of the following methods:
    (i) In a GSA-approved security container with one of the following 
supplemental controls:
    (A) Continuous protection by cleared guard or duty personnel;
    (B) Inspection of the security container every two hours by cleared 
guard or duty personnel;
    (C) An Intrusion Detection System (IDS) with the personnel 
responding to the alarm arriving within 15 minutes of the alarm 
annunciation [Acceptability of Intrusion Detection Equipment (IDE): All 
IDE must be UL-listed (or equivalent as defined by the agency head) and 
approved by the agency head. Government and proprietary installed, 
maintained, or furnished systems are subject to approval only by the 
agency head.]; or
    (D) Security-In-Depth conditions, provided the GSA-approved 
container is equipped with a lock meeting Federal Specification FF-L-
2740.
    (ii) An open storage area constructed in accordance with Appendix A, 
which is equipped with an IDS with the personnel responding to the alarm 
arriving within 15 minutes of the alarm annunciation if the area is 
covered by Security-In-Depth or a five minute alarm response if it is 
not.
    (iii) An IDS-equipped vault with the personnel responding to the 
alarm arriving within 15 minutes of the alarm annunciation.
    (2) Secret. Secret information shall be stored by one of the 
following methods:
    (i) In the same manner as prescribed for Top Secret information;
    (ii) In a GSA-approved security container or vault without 
supplemental controls; or
    (iii) In either of the following:
    (A) Until October 1, 2012, in a non-GSA-approved container having a 
built-in combination lock or in a non-GSA approved container secured 
with a rigid metal lockbar and an agency head approved padlock; or
    (B) An open storage area. In either case, one of the following 
supplemental controls is required:
    (1) The location that houses the container or open storage area 
shall be subject to continuous protection by cleared guard or duty 
personnel;
    (2) Cleared guard or duty personnel shall inspect the security 
container or open storage area once every four hours; or
    (3) An IDS (per paragraph (b)(1)(i)(C) of this section) with the 
personnel responding to the alarm arriving within 30 minutes of the 
alarm annunciation. [In addition to one of these supplemental controls 
specified in paragraphs (b)(2)(iii)(B)(1) through (3), security-in-depth 
as determined by the agency head is required as part of the supplemental 
controls for a non-GSA approved container or open storage area storing 
Secret information.]
    (3) Confidential. Confidential information shall be stored in the 
same manner as prescribed for Top Secret or Secret information except 
that supplemental controls are not required.
    (c) Combinations. Use and maintenance of dial-type locks and other 
changeable combination locks.
    (1) Equipment in service. The classification of the combination 
shall be the same as the highest level of classified information that is 
protected by the lock. Combinations to dial-type locks shall be changed 
only by persons having a favorable determination of eligibility for 
access to classified information and authorized access to the level of 
information protected unless other sufficient controls exist to prevent 
access to the lock or knowledge of the combination. Combinations shall 
be changed under the following conditions:
    (i) Whenever such equipment is placed into use;

[[Page 519]]

    (ii) Whenever a person knowing the combination no longer requires 
access to it unless other sufficient controls exist to prevent access to 
the lock; or
    (iii) Whenever a combination has been subject to possible 
unauthorized disclosure.
    (2) Equipment out of service. When security equipment is taken out 
of service, it shall be inspected to ensure that no classified 
information remains and the built-in combination lock shall be reset to 
a standard combination.
    (d) Key operated locks. When special circumstances exist, an agency 
head may approve the use of key operated locks for the storage of Secret 
and Confidential information. Whenever such locks are used, 
administrative procedures for the control and accounting of keys and 
locks shall be established.



Sec. 2004.7  Information controls.

    (a) General. Agency heads shall establish a system of control 
measures which assure that access to classified information is limited 
to authorized persons. The control measures shall be appropriate to the 
environment in which the access occurs and the nature and volume of the 
information. The system shall include technical, physical, and personnel 
control measures. Administrative control measures which may include 
records of internal distribution, access, generation, inventory, 
reproduction, and disposition of classified information shall be 
required when technical, physical and personnel control measures are 
insufficient to deter and detect access by unauthorized persons.
    (b) Reproduction. Reproduction of classified information shall be 
held to the minimum consistent with operational requirements. The 
following additional control measures shall be taken:
    (1) Reproduction shall be accomplished by authorized persons 
knowledgeable of the procedures for classified reproduction;
    (2) Unless restricted by the originating Agency, Top Secret, Secret, 
and Confidential information may be reproduced to the extent required by 
operational needs, or to facilitate review for declassification;
    (3) Copies of classified information shall be subject to the same 
controls as the original information; and
    (4) The use of technology that prevents, discourages, or detects the 
unauthorized reproduction of classified information is encouraged.



Sec. 2004.8  Transmission.

    (a) General. Classified information shall be transmitted and 
received in an authorized manner which ensures that evidence of 
tampering can be detected, that inadvertent access can be precluded, and 
that provides a method which assures timely delivery to the intended 
recipient. Persons transmitting classified information are responsible 
for ensuring that intended recipients are authorized persons with the 
capability to store classified information in accordance with this 
Directive.
    (b) Dispatch. Agency heads shall establish procedures which ensure 
that:
    (1) All classified information physically transmitted outside 
facilities shall be enclosed in two layers, both of which provide 
reasonable evidence of tampering and which conceal the contents. The 
inner enclosure shall clearly identify the address of both the sender 
and the intended recipient, the highest classification level of the 
contents, and any appropriate warning notices. The outer enclosure shall 
be the same except that no markings to indicate that the contents are 
classified shall be visible. Intended recipients shall be identified by 
name only as part of an attention line. The following exceptions apply:
    (i) If the classified information is an internal component of a 
packable item of equipment, the outside shell or body may be considered 
as the inner enclosure provided it does not reveal classified 
information;
    (ii) If the classified information is an inaccessible internal 
component of a bulky item of equipment, the outside or body of the item 
may be considered to be a sufficient enclosure provided observation of 
it does not reveal classified information;
    (iii) If the classified information is an item of equipment that is 
not reasonably packable and the shell or body is classified, it shall be 
concealed with

[[Page 520]]

an opaque enclosure that will hide all classified features;
    (iv) Specialized shipping containers, including closed cargo 
transporters or diplomatic pouch, may be considered the outer enclosure 
when used; and
    (v) When classified information is hand-carried outside a facility, 
a locked briefcase may serve as the outer enclosure.
    (2) Couriers and authorized persons designated to hand-carry 
classified information shall ensure that the information remains under 
their constant and continuous protection and that direct point-to-point 
delivery is made. As an exception, agency heads may approve, as a 
substitute for a courier on direct flights, the use of specialized 
shipping containers that are of sufficient construction to provide 
evidence of forced entry, are secured with a high security padlock, are 
equipped with an electronic seal that would provide evidence of 
surreptitious entry and are handled by the carrier in a manner to ensure 
that the container is protected until its delivery is completed.
    (c) Transmission methods within and between the U.S., Puerto Rico, 
or a U.S. possession or trust territory. (1) Top Secret. Top Secret 
information shall be transmitted by direct contact between authorized 
persons; the Defense Courier Service or an authorized government agency 
courier service; a designated courier or escort with Top Secret 
clearance; electronic means over approved communications systems. Under 
no circumstances will Top Secret information be transmitted via the U.S. 
Postal Service.
    (2) Secret. Secret information shall be transmitted by:
    (i) Any of the methods established for Top Secret; U.S. Postal 
Service Express Mail and U.S. Postal Service Registered Mail, as long as 
the Waiver of Signature and Indemnity block, item 11-B, on the U.S. 
Postal Service Express Mail Label shall not be completed; and cleared 
commercial carriers or cleared commercial messenger services. The use of 
street-side mail collection boxes is strictly prohibited; and
    (ii) Agency heads may, on an exceptional basis and when an urgent 
requirement exists for overnight delivery within the U.S. and its 
Territories, authorize the use of the current holder of the General 
Services Administration contract for overnight delivery of information 
for the Executive Branch as long as applicable postal regulations (39 
CFR chapter I) are met. Any such delivery service shall be U.S. owned 
and operated, provide automated in-transit tracking of the classified 
information, and ensure package integrity during transit. The contract 
shall require cooperation with government inquiries in the event of a 
loss, theft, or possible unauthorized disclosure of classified 
information. The sender is responsible for ensuring that an authorized 
person will be available to receive the delivery and verification of the 
correct mailing address. The package may be addressed to the recipient 
by name. The release signature block on the receipt label shall not be 
executed under any circumstances. The use of external (street side) 
collection boxes is prohibited. Classified Communications Security 
Information, NATO, and foreign government information shall not be 
transmitted in this manner.
    (3) Confidential. Confidential information shall be transmitted by 
any of the methods established for Secret information or U.S. Postal 
Service Certified Mail. In addition, when the recipient is a U.S. 
Government facility, the confidential information may be transmitted via 
U.S. First Class Mail. However, confidential information shall not be 
transmitted to government contractor facilities via first class mail. 
When first class mail is used, the envelope or outer wrapper shall be 
marked to indicate that the information is not to be forwarded, but is 
to be returned to sender. The use of street-side mail collection boxes 
is prohibited.
    (d) Transmission methods to a U.S. Government facility located 
outside the U.S. The transmission of classified information to a U.S. 
Government facility located outside the 50 states, the District of 
Columbia, the Commonwealth of Puerto Rico, or a U.S. possession or trust 
territory, shall be by methods specified above for Top Secret 
information or by the Department of State Courier Service. U.S. 
Registered Mail through Military Postal Service facilities may be used 
to transmit Secret

[[Page 521]]

and Confidential information provided that the information does not at 
any time pass out of U.S. citizen control nor pass through a foreign 
postal system.
    (e) Transmission of U.S. classified information to foreign 
governments. Such transmission shall take place between designated 
government representatives using the transmission methods described in 
paragraph (d) of this section. When classified information is 
transferred to a foreign government or its representative a signed 
receipt is required.
    (f) Receipt of classified information. Agency heads shall establish 
procedures which ensure that classified information is received in a 
manner which precludes unauthorized access, provides for inspection of 
all classified information received for evidence of tampering and 
confirmation of contents, and ensures timely acknowledgment of the 
receipt of Top Secret and Secret information by an authorized recipient. 
As noted in paragraph (e) of this section, a receipt acknowledgment of 
all classified material transmitted to a foreign government or its 
representative is required.



Sec. 2004.9  Destruction.

    (a) General. Classified information identified for destruction shall 
be destroyed completely to preclude recognition or reconstruction of the 
classified information in accordance with procedures and methods 
prescribed by agency heads. The methods and equipment used to routinely 
destroy classified information include burning, cross-cut shredding, 
wet-pulping, melting, mutilation, chemical decomposition or pulverizing.
    (b) Technical guidance. Technical guidance concerning appropriate 
methods, equipment, and standards for the destruction of classified 
electronic media and processing equipment components may be obtained by 
submitting all pertinent information to the National Security Agency/
Central Security Service, Directorate for Information Systems Security, 
Fort Meade, MD 20755. Specifications concerning appropriate equipment 
and standards for the destruction of other storage media may be obtained 
from the GSA.



Sec. 2004.10  Loss, possible compromise or unauthorized disclosure.

    (a) General. Any person who has knowledge that classified 
information has been or may have been lost, possibly compromised or 
disclosed to an unauthorized person(s) shall immediately report the 
circumstances to an official designated for this purpose.
    (b) Cases involving information originated by a foreign government 
or another U.S. government agency. Whenever a loss or possible 
unauthorized disclosure involves the classified information or interests 
of a foreign government agency, or another government agency, the 
department or agency in which the compromise occurred shall advise the 
other government agency or foreign government of the circumstances and 
findings that affect their information or interests. However, foreign 
governments normally will not be advised of any security system 
vulnerabilities that contributed to the compromise.
    (c) Inquiry/investigation and corrective actions. Agency heads shall 
establish appropriate procedures to conduct an inquiry/investigation of 
a loss, possible compromise or unauthorized disclosure of classified 
information, in order to implement appropriate corrective actions, which 
may include disciplinary sanctions, and to ascertain the degree of 
damage to national security.
    (d) Department of Justice and legal counsel coordination. Agency 
heads shall establish procedures to ensure coordination with legal 
counsel whenever a formal action, beyond a reprimand, is contemplated 
against any person believed responsible for the unauthorized disclosure 
of classified information. Whenever a criminal violation appears to have 
occurred and a criminal prosecution is contemplated, agency heads shall 
use established procedures to ensure coordination with--
    (1) The Department of Justice, and
    (2) The legal counsel of the agency where the individual responsible 
is assigned or employed.



Sec. 2004.11  Special access programs.

    (a) General. The safeguarding requirements of this Directive may be 
enhanced for information in Special Access Programs (SAP), established 
under the provisions of Section 4.4 of E.O.

[[Page 522]]

12958, by the agency head responsible for creating the SAP. Agency heads 
shall ensure that the enhanced controls are based on an assessment of 
the value, critical nature, and vulnerability of the information.
    (b) Significant interagency support requirements. Agency heads must 
ensure that a Memorandum of Agreement/Understanding (MOA/MOU) is 
established for each Special Access Program that has significant 
interagency support requirements, to appropriately and fully address 
support requirements and supporting agency oversight responsibilities 
for that SAP.



Sec. 2004.12  Telecommunications, automated information systems and network security.

    Each agency head shall ensure that classified information 
electronically accessed, processed, stored or transmitted is protected 
in accordance with applicable national policy issuances identified in 
the Index of National Security Telecommunications and Information 
Systems Security Issuances (NSTISSI) and Director of Central 
Intelligence Directive (DCID) 6/3.



Sec. 2004.13  Technical security.

    Based upon the risk management factors referenced in Sec. 2004.2 of 
this directive agency heads shall determine the requirement for 
technical countermeasures such as Technical Surveillance Countermeasures 
(TSCM) and TEMPEST necessary to detect or deter exploitation of 
classified information through technical collection methods and may 
apply countermeasures in accordance with NSTISSI 7000, entitled Tempest 
Countermeasures for Facilities, and SPB Issuance 6-97, entitled National 
Policy on Technical Surveillance Countermeasures.



Sec. 2004.14  Emergency authority.

    Agency heads may prescribe special provisions for the dissemination, 
transmittal, destruction, and safeguarding of classified information 
during military operations or other emergency situations.

               Appendix A to Part 2004--Open Storage Areas

    This Appendix describes the construction standards for open storage 
areas.
    1. Construction. The perimeter walls, floors, and ceiling will be 
permanently constructed and attached to each other. All construction 
must be done in a manner as to provide visual evidence of unauthorized 
penetration.
    2. Doors. Doors shall be constructed of wood, metal, or other solid 
material. Entrance doors shall be secured with a built-in GSA-approved 
three-position combination lock. When special circumstances exist, the 
agency head may authorize other locks on entrance doors for Secret and 
Confidential storage. Doors other than those secured with the 
aforementioned locks shall be secured from the inside with either 
deadbolt emergency egress hardware, a deadbolt, or a rigid wood or metal 
bar which extends across the width of the door, or by other means 
approved by the agency head.
    3. Vents, ducts, and miscellaneous openings. All vents, ducts, and 
similar openings in excess of 96 square inches (and over 6 inches in its 
smallest dimension) that enter or pass through an open storage area 
shall be protected with either bars, expanded metal grills, commercial 
metal sound baffles, or an intrusion detection system.
    4. Windows.
    a. All windows which might reasonably afford visual observation of 
classified activities within the facility shall be made opaque or 
equipped with blinds, drapes, or other coverings.
    b. Windows at ground level will be constructed from or covered with 
materials which provide protection from forced entry. The protection 
provided to the windows need be no stronger than the strength of the 
contiguous walls. Open storage areas which are located within a 
controlled compound or equivalent may eliminate the requirement for 
forced entry protection if the windows are made inoperable either by 
permanently sealing them or equipping them on the inside with a locking 
mechanism and they are covered by an IDS (either independently or by the 
motion detection sensors within the area.)

         Appendix B to Part 2004--Foreign Government Information

    The requirements described below are additional baseline 
safeguarding standards that may be necessary for foreign government 
information, other than NATO information, that requires protection 
pursuant to an existing treaty, agreement, or other obligation. NATO 
classified information shall be safeguarded in compliance with United

[[Page 523]]

States Security Authority for NATO Instructions I-69 and I-70. To the 
extent practical, and to facilitate its control, foreign government 
information should be stored separately from other classified 
information. To avoid additional costs, separate storage may be 
accomplished by methods such as separate drawers of a container. The 
safeguarding standards described below may be modified if required or 
permitted by treaties or agreements, or for other obligations, with the 
prior written consent of the National Security Authority of the 
originating government.
    1. Top Secret. Records shall be maintained of the receipt, internal 
distribution, destruction, access, reproduction, and transmittal of 
foreign government Top Secret information. Reproduction requires the 
consent of the originating government. Destruction will be witnessed.
    2. Secret. Records shall be maintained of the receipt, external 
dispatch and destruction of foreign government Secret information. Other 
records may be necessary if required by the originator. Secret foreign 
government information may be reproduced to meet mission requirements 
unless prohibited by the originator. Reproduction shall be recorded 
unless this requirement is waived by the originator.
    3. Confidential. Records need not be maintained for foreign 
government Confidential information unless required by the originator.
    4. Restricted and other foreign government information provided in 
confidence. In order to assure the protection of other foreign 
government information provided in confidence (e.g., foreign government 
``Restricted,'' ``Designated,'' or unclassified provided in confidence), 
such information must be classified under E.O. 12958. The receiving 
agency, or a receiving U.S. contractor, licensee, grantee, or 
certificate holder acting in accordance with instructions received from 
the U.S. Government, shall provide a degree of protection to the foreign 
government information at least equivalent to that required by the 
government or international organization that provided the information. 
When adequate to achieve equivalency, these standards may be less 
restrictive than the safeguarding standards that ordinarily apply to US 
CONFIDENTIAL information. If the foreign protection requirement is lower 
than the protection required for US CONFIDENTIAL information, the 
following requirements shall be met:
    a. Documents may retain their original foreign markings if the 
responsible agency determines that these markings are adequate to meet 
the purposes served by U.S. classification markings. Otherwise, 
documents shall be marked, ``This document contains (insert name of 
country) (insert classification level) information to be treated as US 
(insert classification level).'' The notation, ``Modified Handling 
Authorized,'' may be added to either the foreign or U.S. markings 
authorized for foreign government information. If remarking foreign 
originated documents or matter is impractical, an approved cover sheet 
is an authorized option;
    b. Documents shall be provided only to those who have an established 
need-to-know, and where access is required by official duties;
    c. Individuals being given access shall be notified of applicable 
handling instructions. This may be accomplished by a briefing, written 
instructions, or by applying specific handling requirements to an 
approved cover sheet;
    d. Documents shall be stored in such a manner so as to prevent 
unauthorized access;
    e. Documents shall be transmitted in a method approved for 
classified information, unless this method is waived by the originating 
government.
    5. Third-country transfers. The release or disclosure of foreign 
government information to any third-country entity must have the prior 
consent of the originating government if required by a treaty, 
agreement, bilateral exchange, or other obligation.

[[Page 525]]



                 CHAPTER XXI--NATIONAL SECURITY COUNCIL




  --------------------------------------------------------------------
Part                                                                Page
2102            Rules and regulations to implement the 
                    Privacy Act of 1974.....................         527
2103            Regulations to implement E.O. 12065--
                    including procedures for public access 
                    to documents that may be declassified...         530

[[Page 527]]



PART 2102--RULES AND REGULATIONS TO IMPLEMENT THE PRIVACY ACT OF 1974--Table of Contents




Sec.
2102.1  Introduction.
2102.2  Purpose and scope.
2102.3  Definitions.
2102.4  Procedures for determining if an individual is the subject of a 
          record.
2102.13  Requirements for access to a record.
2102.15  Requirements for requests to amend records.
2102.21  Procedures for appeal of determination to deny access to or 
          amendment of requested records.
2102.31  Disclosure of a record to persons other than the individual to 
          whom it pertains.
2102.41  Fees.
2102.51  Penalties.
2102.61  Exemptions.

    Authority: 5 U.S.C. 552a (f) and (k).

    Source: 40 FR 47746, Oct. 9, 1975, unless otherwise noted.



Sec. 2102.1  Introduction.

    (a) Insofar as the Privacy Act of 1974 (5 U.S.C. 552a) applies to 
the National Security Council (hereafter NSC), it provides the American 
public with expanded opportunities to gain access to records maintained 
by the NSC Staff which may pertain to them as individuals. These 
regulations are the exclusive means by which individuals may request 
personally identifiable records and information from the National 
Security Council.
    (b) The NSC Staff, in addition to performing the functions 
prescribed in the National Security Act of 1947, as amended (50 U.S.C. 
401), also serves as the supporting staff to the President in the 
conduct of foreign affairs. In doing so the NSC Staff is acting not as 
an agency but as an extension of the White House Office. In that the 
White House Office is not considered an agency for the purposes of this 
Act, the materials which are used by NSC Staff personnel in their role 
as supporting staff to the President are not subject to the provisions 
of the Privacy Act of 1974. A description of these White House Office 
files is, nevertheless, appended to the NSC notices of systems of files 
and will be published annually in the Federal Register.
    (c) In general, Records in NSC files pertain to individual members 
of the public only if these individuals have been (1) employed by the 
NSC, (2) have corresponded on a foreign policy matter with a member of 
the NSC or its staff, or (3) have, as a U.S. Government official, 
participated in an NSC meeting or in the preparation of foreign policy-
related documents for the NSC.



Sec. 2102.2  Purpose and scope.

    (a) The following regulations set forth procedures whereby 
individuals may seek and gain access to records concerning themselves 
and will guide the NSC Staff response to requests under the Privacy Act. 
In addition, they outline the requirements applicable to the personnel 
maintaining NSC systems of records.
    (b) These regulations, published pursuant to the Privacy Act of 
1974, Pub. L. 93-579, Section 552a (f) and (k), 5 U.S.C. (hereinafter 
the Act), advise of procedures whereby an individual can:
    (1) Request notification of whether the NSC Staff maintains or has 
disclosed a record pertaining to him or her in any non-exempt system of 
records;
    (2) Request a copy of such record or an accounting of that 
disclosure;
    (3) Request an amendment to a record; and,
    (4) Appeal any initial adverse determination of any request under 
the Act.
    (c) These regulations also specify those systems of records which 
the NSC has determined to be exempt from certain provisions of the Act 
and thus not subject to procedures established by this regulation.



Sec. 2102.3  Definitions.

    As used in these regulations:
    (a) Individual. A citizen of the United States or an alien lawfully 
admitted for permanent residence.
    (b) Maintain. Includes maintain, collect, use or disseminate. Under 
the Act it is also used to connote control over, and, therefore, 
responsibility for, systems of records in support of the NSC statutory 
function (50 U.S.C. 401, et seq.).
    (c) Systems of Records. A grouping of any records maintained by the 
NSC from which information is retrieved by

[[Page 528]]

the name of the individual or by some other identifying particular 
assigned to the individual.
    (d) Determination. Any decision made by the NSC or designated 
official thereof which affects the individual's rights, opportunities, 
benefits, etc. and which is based in whole or in part on information 
contained in that individual's record.
    (e) Routine Use. With respect to the disclosure of a record, the use 
of such a record in a manner which is compatible with the purpose for 
which it was collected.
    (f) Disclosure. The granting of access or transfer of a record by 
any means.



Sec. 2102.4  Procedures for determining if an individual is the subject of a record.

    (a) Individuals desiring to determine if they are the subject of a 
record or system of records maintained by the NSC Staff should address 
their inquiries, marking them plainly as a PRIVACY ACT REQUEST, to:

Staff Secretary, National Security Council, Room 374, Old Executive 
Office Building, Washington, DC 20506.


All requests must be made in writing and should contain:
    (1) A specific reference to the system of records maintained by the 
NSC as listed in the NSC Notices of Systems and Records (copies 
available upon request); or
    (2) A description of the record or systems of records in sufficient 
detail to allow the NSC to determine whether the record does, in fact, 
exist in an NSC system of records.
    (b) All requests must contain the printed or typewritten name of the 
individual to whom the record pertains, the signature of the individual 
making the request, and the address to which the reply should be sent. 
In instances when the identification is insufficient to insure 
disclosure to the individual to whom the information pertains in view of 
the sensitivity of the information, NSC reserves the right to solicit 
from the requestor additional identifying information.
    (c) Responses to all requests under the Act will be made by the 
Staff Secretary, or by another designated member of the NSC Staff 
authorized to act in the name of the Staff Secretary in responding to a 
request under this Act. Every effort will be made to inform the 
requestor if he or she is the subject of a specific record or system of 
records within ten working days (excluding Saturdays, Sundays and legal 
Federal Holidays) of receipt of the request. Such a response will also 
contain the procedures to be followed in order to gain access to any 
record which may exist and a copy of the most recent NSC notice, as 
published in the Federal Register, on the system of records in which the 
record is contained.
    (d) Whenever it is not possible to respond in the time period 
specified above, the NSC Staff Secretary or a designated alternate will, 
within ten working days (excluding Saturdays, Sundays and legal Federal 
Holidays), inform the requestor of the reasons for the delay (e.g., 
insufficient requestor information, difficulties in record location, 
etc.), steps that need to be taken in order to expedite the request, and 
the date by which a response is anticipated.



Sec. 2102.13  Requirements for access to a record.

    (a) Individuals requesting access to a record or system of records 
in which there is information concerning them must address a request in 
writing to the Staff Secretary of the NSC (see Sec. 2102.1). Due to 
restricted access to NSC offices in the Old Executive Office Building 
where the files are located, requests cannot be made in person.
    (b) All written requests should contain a concise description of the 
records to which access is requested. In addition, the requestor should 
include any other information which he or she feels would assist in the 
timely identification of the record. Verification of the requestor's 
identity will be determined under the same procedures used in requests 
for learning of the existence of a record.
    (c) To the extent possible, any request for access will be answered 
by the Staff Secretary or a designated alternate within ten working days 
(excluding Saturdays, Sundays, and legal Federal holidays) of the 
receipt of the

[[Page 529]]

request. In the event that a response cannot be made within this time, 
the requestor will be notified by mail of the reasons for the delay and 
the date upon which a reply can be expected.
    (d) The NSC response will forward a copy of the requested materials 
unless further identification or clarification of the request is 
required. In the event access is denied, the requestor shall be informed 
of the reasons therefore and the name and address of the individual to 
whom an appeal should be directed.



Sec. 2102.15  Requirements for requests to amend records.

    (a) Individuals wishing to amend a record contained in the NSC 
systems of records pertaining to them must submit a request in writing 
to the Staff Secretary of the NSC in accordance with the procedures set 
forth herein.
    (b) All requests for amendment or correction of a record must state 
concisely the reason for requesting the amendment. Such requests should 
include a brief statement which describes the information the requestor 
believes to be inaccurate, incomplete, or unnecessary and the amendment 
or correction desired.
    (c) To the extent possible, every request for amendment of a record 
will be answered within ten working days (excluding Saturdays, Sundays, 
and legal Federal holidays) of the receipt of the request. In the event 
that a response cannot be made within this time, the requestor will be 
notified by mail of the reasons for the delay and the date upon which a 
reply can be expected. A final response to a request for amendment will 
include the NSC Staff determination on whether to grant or deny the 
request. If the request is denied, the response will include:
    (1) The reasons for the decision;
    (2) The name and address of the individual to whom an appeal should 
be directed;
    (3) A description of the process for review of the appeal within the 
NSC; and
    (4) A description of any other procedures which may be required of 
the individual in order to process the appeal.



Sec. 2102.21  Procedures for appeal of determination to deny access to or amendment of requested records.

    (a) Individuals wishing to appeal an NSC Staff denial of a request 
for access or to amend a record concerning them must address a letter of 
appeal to the Staff Secretary of the NSC. The letter must be received 
within thirty days from the date of the Staff Secretary's notice of 
denial and, at a minimum, should identify the following:
    (1) The records involved;
    (2) The dates of the initial request and subsequent NSC 
determination; and
    (3) A brief statement of the reasons supporting the request for 
reversal of the adverse determination.
    (b) Within thirty working days (excluding Saturdays, Sundays and 
legal Federal holidays) of the date of receipt of the letter of appeal, 
the Assistant to the President for National Security Affairs 
(hereinafter the ``Assistant''), or the Deputy Assistant to the 
President for National Security Affairs (hereinafter the ``Deputy 
Assistant''), acting in his name, shall issue a determination on the 
appeal. In the event that a final determination cannot be made within 
this time period, the requestor will be informed of the delay, the 
reasons therefor and the date on which a final response is expected.
    (c) If the original request was for access and the initial 
determination is reversed, a copy of the records sought will be sent to 
the individual. If the initial determination is upheld, the requestor 
will be so advised and informed of the right to judicial review pursuant 
to 5 U.S.C. 552a(g).
    (d) If the initial denial of a request to amend a record is 
reversed, the records will be corrected and a copy of the amended record 
will be sent to the individual. In the event the original decision is 
upheld by the Assistant to the President, the requestor will be so 
advised and informed in writing of his or her right to seek judicial 
review of the final agency determination, pursuant to section 552a(g) of 
title 5, U.S.C. In addition, the requestor will be advised of his right 
to have a concise statement of the reasons for disagreeing with the 
final determination appended to the disputed records. This statement

[[Page 530]]

should be mailed to the Staff Secretary within ten working days 
(excluding Saturdays, Sundays, and legal Federal Holidays) of the date 
of the requestor's receipt of the final determination.



Sec. 2102.31  Disclosure of a record to persons other than the individual to whom it pertains.

    (a) Except as provided by the Privacy Act, 5 U.S.C. 552a(b), the NSC 
will not disclose a record concerning an individual to another person or 
agency without the prior written consent of the individual to whom the 
record pertains.



Sec. 2102.41  Fees.

    (a) Individuals will not be charged for:
    (1) The first copy of any record provided in response to a request 
for access or amendment;
    (2) The search for, or review of, records in NSC files;
    (3) Any copies reproduced as a necessary part of making a record or 
portion thereof available to the individual.
    (b) After the first copy has been provided, records will be 
reproduced at the rate of twenty-five cents per page for all copying of 
four pages or more.
    (c) The Staff Secretary may provide copies of a record at no charge 
if it is determined to be in the interest of the Government.
    (d) The Staff Secretary may require that all fees be paid in full 
prior to the issuance of the requested copies.
    (e) Remittances shall be in the form of a personal check or bank 
draft drawn on a bank in the United States, or a postal money order. 
Remittances shall be made payable to the ``United States Treasury'' and 
mailed to the Staff Secretary, National Security Council, Washington, DC 
20506.
    (f) A receipt for fees paid will be given only upon request. Refund 
of fees paid for services actually rendered will not be made.



Sec. 2102.51  Penalties.

    Title 18, U.S.C. section 1001, Crimes and Criminal Procedures, makes 
it a criminal offense, subject to a maximum fine of $10,000 or 
imprisonment for not more than five years or both, to knowingly and 
willfully make or cause to be made any false or fraudulent statements or 
representations in any matter within the jurisdiction of any agency of 
the United States. Section (i)(3) of the Privacy Act (5 U.S.C. 552a) 
makes it a misdemeanor, subject to a maximum fine of $5,000, to 
knowingly and willfully request or obtain any record concerning an 
individual under false pretenses. Sections (i)(1) and (2) of 5 U.S.C. 
552a provide penalties for violations by agency employees, of the 
Privacy Act or regulations established thereunder.



Sec. 2102.61  Exemptions.

    Pursuant to subsection (k) of the Privacy Act (5 U.S.C. 552a), the 
Staff Secretary has determined that certain NSC systems of records may 
be exempt in part from sections 553(c)(3), (d), (e)(1), (e)(4), (G), 
(H), (I), and (f) of title 5, and from the provisions of these 
regulations. These systems of records may contain information which is 
classified pursuant to Executive Order 11652. To the extent that this 
occurs, records in the following systems would be exempt under the 
provision of 5 U.S.C. 552a(k)(1):


NSC 1.1--Central Research Index,

NSC 1.2--NSC Correspondence Files, and

NSC 1.3--NSC Meetings Registry.



PART 2103--REGULATIONS TO IMPLEMENT E.O. 12065--INCLUDING PROCEDURES FOR PUBLIC ACCESS TO DOCUMENTS THAT MAY BE DECLASSIFIED--Table of Contents




                         Subpart A--Introduction

Sec.
2103.1  References.
2103.2  Purpose.
2103.3  Applicability.

                   Subpart B--Original Classification

2103.11  Basic policy.
2103.12  Level of original classification.
2103.13  Duration of original classification.
2103.14  Challenges to classification.

                  Subpart C--Derivative Classification

2103.21  Definition and application.

[[Page 531]]

               Subpart D--Declassification and Downgrading

2103.31  Declassification authority.
2103.32  Mandatory review for declassification.
2103.33  Downgrading authority.

                         Subpart E--Safeguarding

2103.41  Reproduction controls.

                  Subpart F--Implementation and Review

2103.51  Information Security Oversight Committee.
2103.52  Classification Review Committee.

    Authority: E.O. 12065 and Information Security Oversight Office 
Directive No. 1.

    Source: 44 FR 2384, Jan. 11, 1979, unless otherwise noted.



                         Subpart A--Introduction



Sec. 2103.1  References.

    (a) Executive Order 12065, ``National Security Information,'' dated 
June 28, 1978.
    (b) Information Security Oversight Office, Directive No. 1, 
``National Security Information,'' dated October 2, 1978.



Sec. 2103.2  Purpose.

    The purpose of this regulation is to ensure, consistent with the 
authorities listed in Sec. 2103.1, that national security information 
processed by the National Security Council Staff is protected from 
unauthorized disclosure, but only to the extent, and for such period, as 
is necessary to safeguard the national security.



Sec. 2103.3  Applicability.

    This regulation governs the National Security Council Staff 
Information Security Program. In consonance with the authorities listed 
in Sec. 2103.1, it establishes the policy and procedures for the 
security classification, downgrading, declassification, and safeguarding 
of information that is owned by, is produced for or by, or is under the 
control of the National Security Council Staff.



                   Subpart B--Original Classification



Sec. 2103.11  Basic policy.

    It is the policy of the National Security Council Staff to make 
available to the public as much information concerning its activities as 
is possible, consistent with its responsibility to protect the national 
security.



Sec. 2103.12  Level of original classification.

    Unnecessary classification, and classification at a level higher 
than is necessary, shall be avoided. If there is reasonable doubt as to 
which designation in section 1-1 of Executive Order 12065 is 
appropriate, or whether information should be classified at all, the 
less restrictive designation should be used, or the information should 
not be classified.



Sec. 2103.13  Duration of original classification.

    Original classification may be extended beyond six years only by 
officials with Top Secret classification authority. This extension 
authority shall be used only when these officials determine that the 
basis for original classification will continue throughout the entire 
period that the classification will be in effect and only for the 
following reasons:
    (a) The information is ``foreign government information'' as defined 
by the authorities in Sec. 2301.1;
    (b) The information reveals intelligence sources and methods;
    (c) The information pertains to communication security;
    (d) The information reveals vulnerability or capability data, the 
unauthorized disclosure of which can reasonably be expected to render 
ineffective a system, installation, or project important to the national 
security;
    (e) The information concerns plans important to the national 
security, the unauthorized disclosure of which reasonably can be 
expected to nullify the effectiveness of the plan;
    (f) The information concerns specific foreign relations matters, the 
continued protection of which is essential to the national security;

[[Page 532]]

    (g) Disclosure of the information would place a person's life in 
immediate jeopardy; or
    (h) The continued protection of the information is specifically 
required by statute.

Even when the extension authority is exercised, the period of original 
classification shall not be greater than twenty years from the date or 
original classification, except that the original classification of 
``foreign government information'' pursuant to paragraph (a) of this 
section may be for a period of thirty years.



Sec. 2103.14  Challenges to classification.

    If holders of classified information believe that the information is 
improperly or unnecessarily classified, or that original classification 
has been extended for too long a period, they should discuss the matter 
with their immediate superiors or the classifier of the information. If 
these discussions do not satisfy the concerns of the challenger, the 
matter should be brought to the attention of the chairperson of the NSC 
Information Security Oversight Committee (see Sec. 2103.51 of this 
part).



                  Subpart C--Derivative Classification



Sec. 2103.21  Definition and application.

    Derivative classification is the act of assigning a level of 
classification to information that is determined to be the same in 
substance as information that is currently classified. Thus, derivative 
classification may be accomplished by any person cleared for access to 
that level of information, regardless of whether the person has original 
classification authority at that level.



               Subpart D--Declassification and Downgrading



Sec. 2103.31  Declassification authority.

    The Staff Secretary, Staff Counsel, and Director of Freedom of 
Information of the National Security Council Staff are authorized to 
declassify NSC documents after consultation with the appropriate NSC 
Staff members.



Sec. 2103.32  Mandatory review for declassification.

    (a) Receipt. (1) Requests for mandatory review for declassification 
under section 3-501 of Executive Order 12065 must be in writing and 
should be addressed to :

    National Security Council, ATTN: Staff Secretary (Mandatory Review 
Request), Old Executive Office Building, Washington, DC 20506.

    (2) The requestor shall be informed of the date of receipt of the 
request. This date will be the basis for the time limits specified in 
paragraph (b) of this section.
    (3) If the request does not reasonably describe the information 
sought, the requestor shall be notified that, unless additional 
information is provided or the request is made more specific, no further 
action will be taken.
    (b) Review. (1) The requestor shall be informed of the National 
Security Council Staff determination within sixty days of receipt of the 
initial request.
    (2) If the determination is to withhold some or all of the material 
requested, the requestor may appeal the determination. The requestor 
shall be informed that such an appeal must be made in writing within 
sixty days of receipt of the denial and should be addressed to the 
chairperson of the National Security Council Classification Review 
Committee.
    (3) The requestor shall be informed of the appellate determination 
within thirty days of receipt of the appeal.
    (c) Fees. (1) Fees for the location and reproduction of information 
that is the subject of a mandatory review request shall be assessed 
according to the following schedule:
    (i) Search for records. $5.00 per hour when the search is conducted 
by a clerical employee; $8.00 per hour when the search is conducted by a 
professional employee. No fee shall be assessed for searches of less 
than one hour.
    (ii) Reproduction of documents. Documents will be reproduced at a 
rate of $.25 per page for all copying of four pages or more. No fee 
shall be assessed for reproducing documents that are three pages or 
less, or for the first three pages of longer documents.

[[Page 533]]

    (2) Where it is anticipated that the fees chargeable under this 
section will amount to more than $25, and the requestor has not 
indicated in advance a willingness to pay fees as high as are 
anticipated, the requestor shall be promptly notified of the amount of 
the anticipated fee or such portion thereof as can readily be estimated. 
In instances where the estimated fees will greatly exceed $25, an 
advance deposit may be required. Dispatch of such a notice or request 
shall suspend the running of the period for response by the NSC Staff 
until a reply is received from the requestor.
    (3) Remittances shall be in the form either of a personal check or 
bank draft drawn on a bank in the United States, or a postal money 
order. Remittances shall be made payable to the Treasury of the United 
States and mailed to the Staff Secretary, National Security Council, 
Washington, DC 20506.
    (4) [Reserved]
    (5) A receipt for fees paid will be given only upon request. Refund 
of fees paid for services actually rendered will not be made.
    (6) If a requestor fails to pay within thirty days for services 
rendered, further action on any other requests submitted by that 
requestor shall be suspended.
    (7) The Staff Secretary, National Security Council may waive all or 
part of any fee provided for in this section when it is deemed to be in 
either the interest of the NSC Staff or of the general public.



Sec. 2103.33  Downgrading authority.

    The Staff Secretary, Staff Counsel, and Director of Freedom of 
Information of the National Security Council Staff are authorized to 
downgrade NSC documents, after consultation with the appropriate NSC 
Staff members.



                         Subpart E--Safeguarding



Sec. 2103.41  Reproduction controls.

    The Staff Secretary shall maintain records to show the number and 
distribution of all Top Secret documents, of all documents covered by 
special access programs distributed outside the originating agency, and 
of all Secret and Confidential documents that are marked with special 
dissemination or reproduction limitations.



                  Subpart F--Implementation and Review



Sec. 2103.51  Information Security Oversight Committee.

    The NCS Information Security Oversight Committee shall be chaired by 
the Staff Counsel of the National Security Council Staff. The Committee 
shall be responsible for acting on all suggestions and complaints 
concerning the administration of the National Security Council 
information security program. The chairperson, who shall represent the 
NSC Staff on the Interagency Information Security Committee shall also 
be responsible for conducting an active oversight program to ensure 
effective implementation of Executive Order 12065.



Sec. 2103.52  Classification Review Committee.

    The NSC Classification Review Committee shall be chaired by the 
Staff Secretary of the National Security Council. The Committee shall 
decide appeals from denials of declassification requests submitted 
pursuant to section 3-5 of Executive Order 12065. The Committee shall 
consist of the chairperson, the NSC Director of Freedom of Information, 
and the NSC Staff member with primary subject matter responsibility for 
the material under review.

[[Page 535]]



          CHAPTER XXIV--OFFICE OF SCIENCE AND TECHNOLOGY POLICY




  --------------------------------------------------------------------
Part                                                                Page
2400            Regulations to implement E.O. 12356; Office 
                    of Science and Technology Policy 
                    information security program............         537

[[Page 537]]



PART 2400--REGULATIONS TO IMPLEMENT E.O. 12356; OFFICE OF SCIENCE AND TECHNOLOGY POLICY INFORMATION SECURITY PROGRAM--Table of Contents




                      Subpart A--General Provisions

Sec.
2400.1  Authority.
2400.2  Purpose.
2400.3  Applicability.
2400.4  Atomic Energy Material.

                   Subpart B--Original Classification

2400.5  Basic policy.
2400.6  Classification levels.
2400.7  Original classification authority.
2400.8  Limitations on delegation of original classification authority.
2400.9  Classification requirements.
2400.10  Presumption of damage.
2400.11  Duration of classification.
2400.12  Identification and markings.
2400.13  Limitations on classification.

                  Subpart C--Derivative Classification

2400.14  Use of derivative classification.
2400.15  Classification guides.
2400.16  Derivative classification markings.

               Subpart D--Declassification and Downgrading

2400.17  Policy.
2400.18  Declassification and downgrading authority.
2400.19  Declassification by the Director of the Information Security 
          Oversight Office.
2400.20  Systematic review for declassification.
2400.21  Mandatory review for declassification.
2400.22  Freedom of Information Act and Privacy Act requests.
2400.23  Prohibition.
2400.24  Downgrading.

                         Subpart E--Safeguarding

2400.25  Access.
2400.26  Access by historical researchers and former Presidential 
          appointees.
2400.27  Storage of classification information.
2400.28  Dissemination of classified information.
2400.29  Accountability and control.
2400.30  Reproduction of classified information.
2400.31  Destruction of classified information.
2400.32  Transmittal of classified information.
2400.33  Loss or possible compromise.

                Subpart F--Foreign Government Information

2400.34  Classification.
2400.35  Duration of classification.
2400.36  Declassification.
2400.37  Mandatory review.
2400.38  Protection of foreign government information.

                      Subpart G--Security Education

2400.39  Responsibility and objectives.

Subpart H--Office of Science and Technology Policy Information Security 
                           Program Management

2400.40  Responsibility.
2400.41  Office Review Committee.
2400.42  Security Officer.
2400.43  Heads of offices.
2400.44  Custodians.
2400.45  Information Security Program Review.
2400.46  Suggestions or complaints.

    Authority: E.O. 12356 and Information Security Oversight Office 
Directive No. 1.

    Source: 48 FR 10821, Mar. 15, 1983, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 2400.1  Authority.

    (a) Executive Order 12356 ``National Security Information,'' dated 
April 2, 1982, 47 FR 14874 (Apr. 6, 1982); 47 FR 15557 (Apr. 12, 1982) 
and Order of Designation of May 7, 1982, 47 FR 20105 (May 11,1982).
    (b) Information Security Oversight Office, Directive No. 1, 
``National Security Information,'' dated June 23, 1982, 47 FR 27836 
(June 25, 1982) (Directive No. 1).



Sec. 2400.2  Purpose.

    The purpose of this Regulation is to ensure, consistent with the 
authorities of Sec. 2400.1 that information of the Office of Science and 
Technology Policy (OSTP) relating to national security is protected from 
unauthorized disclosure, but only to the extent and for such period as 
is necessary to safeguard the national security.

[[Page 538]]



Sec. 2400.3  Applicability.

    This Regulation governs the Office of Science and Technology Policy 
Information Security Program. In accordance with the provisions of 
Executive Order 12356 and Directive No. 1 it establishes, for uniform 
application throughout the Office of Science and Technology Policy, the 
policies and procedures for the security classification, downgrading, 
declassification and safeguarding of information that is owned by, 
produced for or by, or under the control of the office of Science and 
Technology Policy.



Sec. 2400.4  Atomic Energy Material.

    Nothing in this Regulation supersedes any requirement made by or 
under the Atomic Energy act of 1954, as amended. ``Restricted Data'' and 
information designated as ``Formerly Restricted Data'' shall be handled, 
protected, classified, downgraded, and declassified in conformity with 
the provisions of the Atomic Energy Act of 1954, as amended, and 
regulations issued pursuant thereto by the Department of Energy.



                   Subpart B--Original Classification



Sec. 2400.5  Basic policy.

    Except as provided in the Atomic Energy Act of 1954, as amended, 
Executive Order 12356, as implemented by Directive No. 1 and this 
Regulation, provides the only basis for classifying information. The 
policy of the Office of Science and Technology Policy is to make 
available to the public as much information concerning its activities as 
is possible, consistent with its responsibility to protect the national 
security. Information may not be classified unless its disclosure 
reasonably could be expected to cause damage to the national security.



Sec. 2400.6  Classification levels.

    (a) National security information (hereinafter ``classified 
information'') shall be classified at one of the following three levels:
    (1) ``Top Secret'' shall be applied to information, the unauthorized 
disclosure of which reasonably could be expected to cause exceptionally 
grave damage to the national security.
    (2) ``Secret'' shall be applied to information, the unauthorized 
disclosure of which reasonably could be expected to cause serious damage 
to the national security.
    (3) ``Confidential'' shall be applied to information, the 
unauthorized disclosure of which reasonably could be expected to cause 
damage to the national security.
    (b) Except as otherwise provided by statute, no other terms shall be 
used to identify classified information. Markings other than ``Top 
Secret,'' ``Secret,'' and ``Confidential,'' such as ``For Official Use 
Only,'' shall not be used to identify national security information. In 
addition, no other term or phrase shall be used in conjunction with one 
of the three authorized classification levels, such as ``Secret 
Sensitive'' or ``Agency Confidential.'' The terms ``Top Secret'', 
``Secret'', and ``Confidential'' should not be used to identify 
nonclassified executive branch information.
    (c) Unnecessary classification, and classification at a level higher 
than is necessary shall be scrupulously avoided.
    (d) If there is reasonable doubt about the need to classify 
information, it shall be safeguarded as if it were classified 
``Confidential'' pending a determination by an original classification 
authority, who shall make this determination within thirty (30) days. If 
there is reasonable doubt about the appropriate level of classification 
the originator of the information shall safeguard it at the higher level 
of classification pending a determination by an original classification 
authority, who shall make this determination within thirty (30) days. 
Upon the determination of a need for classification and/or the proper 
classification level, the information that is classified shall be marked 
as provided in Sec. 2400.12 of this part.



Sec. 2400.7  Original classification authority.

    (a) Authority for original classification of information as Top 
Secret shall be exercised within OSTP only by the

[[Page 539]]

Director and by such principal subordinate officials having frequent 
need to exercise such authority as the Director shall designate in 
writing.
    (b) The authority to classify information originally as Secret shall 
be exercised within OSTP only by the Director, other officials delegated 
in writing to have original Top Secret classification authority, and any 
other officials delegated in writing to have original Secret 
classification authority.
    (c) The authority to classify information originally as Confidential 
shall be exercised within OSTP only by officials with original Top 
Secret or Secret classification authority and any officials delegated in 
writing to have original Confidential classification authority.



Sec. 2400.8  Limitations on delegation of original classification authority.

    (a) The Director, OSTP is the only official authorized to delegate 
original classification authority.
    (b) Delegations of original classification authority shall be held 
to an absolute minimum.
    (c) Delegations of original classification authority shall be 
limited to the level of classification required.
    (d) Original classification authority shall not be delegated to OSTP 
personnel who only quote, restate, extract or paraphrase, or summarize 
classified information or who only apply classification markings derived 
from source material or as directed by a classification guide.
    (e) The Executive Director, OSTP, shall maintain a current listing 
of persons or positions receiving any delegation of original 
classification authority. If possible, this listing shall be 
unclassified.
    (f) Original classification authority may not be redelegated.
    (g) Exceptional Cases. When an employee, contractor, licensee, or 
grantee of OSTP that does not have original classification authority 
originates information believed by that person to require 
classification, the information shall be protected in a manner 
consistent with these Regulations as provided in Sec. 2400.6(d) of this 
part. The information shall be transmitted promptly as provided in these 
Regulations to the official in OSTP who has appropriate subject matter 
interest and classification authority with respect to this information. 
That official shall decide within thirty (30) days whether to classify 
this information. If the information is not within OSTP's area of 
classification responsibility, OSTP shall promptly transmit the 
information to the responsible agency. If it is not clear which agency 
has classification responsibility for this information, it shall be sent 
to the Director of the Information Security Oversight Office. The 
Director shall determine the agency having primary subject matter 
interest and forward the information, with appropriate recommendations, 
to that agency for a classification determination.



Sec. 2400.9  Classification requirements.

    (a) Information may be classified only if it concerns one or more of 
the categories cited in Executive Order 12356, as subcategorized below, 
and an official having original classification authority determines that 
its unauthorized disclosure, either by itself or in the context of other 
information, reasonably could be expected to cause damage to the 
national security.
    (1) Military plans, weapons or operations;
    (2) The vulnerabilities or capabilities of systems, installations, 
projects, or plans relating to the national security;
    (3) Foreign government information;
    (4) Intelligence activities (including special activities), or 
intelligence sources or methods;
    (5) Foreign relations or foreign activities of the United States;
    (6) Scientific, technological, or economic matters relating to the 
national security;
    (7) United States Government programs for safe-guarding nuclear 
materials or facilities;
    (8) Cryptology;
    (9) A confidential source; or
    (10) Other categories of information which are related to national 
security and that require protection against unauthorized disclosure as 
determined by the Director, Office of Science and Technology Policy. 
Each such determination shall be reported promptly to

[[Page 540]]

the Director of the Information Security Oversight Office.
    (b) Foreign government information need not fall within any other 
classification category listed in paragraph (a) of this section to be 
classified.
    (c) Certain information which would otherwise be unclassified may 
require classification when combined or associated with other 
unclassified or classified information. Classification on this basis 
shall be fully supported by a written explanation that, at a minimum, 
shall be maintained with the file or referenced on the record copy of 
the information.
    (d) Information classified in accordance with this section shall not 
be declassified automatically as a result of any unofficial publication 
or inadvertent or unauthorized disclosure in the United States or abroad 
of identical or similar information. Following an inadvertent or 
unauthorized publication or disclosure of information identical or 
similar to information that has been classified in accordance with 
Executive Order 12356 or predecessor orders, OSTP, if the agency of 
primary interest, shall determine the degree of damage to the national 
security, the need for continued classification, and in coordination 
with the agency in which the disclosure occurred, what action must be 
taken to prevent similar occurrences. If the agency of primary interest 
is other than OSTP, the matter shall be referred to that agency.



Sec. 2400.10  Presumption of damage.

    Unauthorized disclosure of foreign government information, the 
identity of a confidential foreign source, or intelligence sources or 
methods, is presumed to cause damage to the national security.



Sec. 2400.11  Duration of classification.

    (a) Information shall be classified as long as required by national 
security considerations. When it can be determined, a specific date or 
event for declassification shall be set by the original classification 
authority at the time the information is originally classified.
    (b) Automatic declassification determinations under predecessor 
Executive Orders shall remain valid unless the classification is 
extended by an authorized official of the originating agency. These 
extensions may be by individual documents or categories of information. 
The originating agency shall be responsible for notifying holders of the 
information of such extensions.
    (c) Information classified under predecessor Executive Orders and 
marked for declassification review shall remain classified until 
reviewed for declassification under the provisions of Executive Order 
12356.
    (d) Information classified under predecessor Executive Orders that 
does not bear a specific date or event for declassification shall remain 
classified until reviewed for declassification. The authority to extend 
the classification of information subject to automatic declassification 
under predecessor Orders is limited to those officials who have 
classification authority over the information and are designated in 
writing to have original classification authority at the level of the 
information to remain classified. Any decision to extend this 
classification on other than a document-by-document basis shall be 
reported to the Director of the Information Security Oversight Office.



Sec. 2400.12  Identification and markings.

    (a) At the time of original classification, the following 
information shall be shown on the face of all classified documents, or 
clearly associated with other forms of classified information in a 
manner appropriate to the medium involved, unless this information 
itself would reveal a confidential source or relationship not otherwise 
evident in the document or information:
    (1) One of the three classification levels defined in Sec. 2400.6 of 
this part;
    (2) The identity of the original classification authority if other 
than the person whose name appears as the approving or signing official;
    (3) The agency and office of origin; and
    (4) The date or event for declassification, or the notation 
``Originating Agency's Determination Required.''
    (b) Each classified document shall, by marking or other means, 
indicate which portions are classified, with the applicable 
classification level, and which portions are not classified. The

[[Page 541]]

Director OSTP may, for good cause, grant and revoke waivers of this 
requirement for specified classes of documents or information. The 
Director of the Information Security Oversight Office shall be notified 
of any waivers.
    (c) Marking designations implementing the provisions of Executive 
Order 12356, including abbreviations, shall conform to the standards 
prescribed in Directive No. 1 issued by the Information Security 
Oversight Office.
    (d) Foreign government information shall either retain its original 
classification or be assigned a United States classification that shall 
ensure a degree of protection at least equivalent to that required by 
the entity that furnished the information.
    (e) Information assigned a level of classification under predecessor 
Executive Orders shall be considered as classified at that level of 
classification despite the omission of other required markings. Omitted 
markings may be inserted on a document by the officials specified in 
Sec. 2400.18 of this part.



Sec. 2400.13  Limitations on classification.

    (a) In no case shall information be classified in order to conceal 
violations of law, inefficiency, or administrative error; to prevent 
embarrassment to a person, organization, or agency; to restrain 
competition; or to prevent or delay the release of information that does 
not require protection in the interest of national security.
    (b) Basic scientific research information not clearly related to the 
national security may not be classified.
    (c) The Director may reclassify information previously declassified 
and disclosed if it is determined in writing that (1) the information 
requires protection in the interest of national security; and (2) the 
information may reasonably be recovered. These reclassification actions 
shall be reported promptly to the Director of the Information Security 
Oversight Office. Before reclassifying any information, the Director 
shall consider the factors listed in Sec. 2001.6 of Directive No. 1, 
which shall be addressed in the report to the Director of the 
Information Security Oversight Office.
    (d) Information may be classified or reclassified after OSTP has 
received a request for it under the Freedom of Information Act (5 U.S.C. 
552a) or the Privacy Act of 1974 (5 U.S.C. 552), or the mandatory review 
provisions of Executive Order 12356 (section 3.4) if such classification 
meets the requirements of this Order and is accomplished personally and 
on a document-by-document basis by the Director.



                  Subpart C--Derivative Classification



Sec. 2400.14  Use of derivative classification.

    (a) Derivative classification is (1) the determination that 
information is in substance the same as information currently 
classified, and (2) the application of the same classification markings. 
Persons who only reproduce, extract, or summarize classified 
information, or who only apply classification markings derived from 
source material or as directed by a classification guide, need not 
possess original classification authority. If a person who applies 
derivative classification markings believes that the paraphrasing, 
restating, or summarizing of classified information has changed the 
level of or removed the basis for classification, that person must 
consult an appropriate official of the originating agency or office of 
origin who has the authority to declassify, downgrade or upgrade the 
information.
    (b) Persons who apply derivative classification markings shall:
    (1) Observe and respect original classification decisions; and
    (2) Carry forward to any newly created documents any assigned 
authorized markings. The declassification date or event that provides 
the longest period of classification shall be used for documents 
classified on the basis of multiple sources.



Sec. 2400.15  Classification guides.

    (a) OSTP shall issue and maintain classification guides to 
facilitate the proper and uniform derivative classification of 
information. These guides shall be used to direct derivative 
classification.
    (b) The classification guides shall be approved, in writing, by the 
Director or by officials having Top Secret original

[[Page 542]]

classification authority. Such approval constitutes an original 
classification decision.
    (c) Each classification guide shall specify the information subject 
to classification in sufficient detail to permit its ready and uniform 
identification and categorization and shall set forth the classification 
level and duration in each instance. Additionally, each classification 
guide shall prescribe declassification instructions for each element of 
information in terms of (1) a period of time, (2) the occurrence of an 
event, or (3) a notation that the information shall not be automatically 
declassified without the approval of OSTP.
    (d) The classification guides shall be kept current and shall be 
fully reviewed at least every two years. The Executive Director, OSTP 
shall maintain a list of all OSTP classification guides in current use.
    (e) The Executive Director, OSTP shall receive and maintain the 
record copy of all approved classification guides and changes thereto. 
He will assist the originator in determining the required distribution.
    (f) The Director may, for good cause, grant and revoke waivers of 
the requirement to prepare classification guides for specified classes 
of documents or information. The Director of the Information Security 
Oversight Office shall be notified of any waivers. The Director's 
decision to waive the requirement to issue classification guides for 
specific classes of documents or information will be based, at a 
minimum, on an evaluation of the following factors:
    (1) The ability to segregate and describe the elements of 
information;
    (2) The practicality of producing or disseminating the guide because 
of the nature of the information;
    (3) The anticipated usage of the guide as a basis for derivative 
classification; and
    (4) The availability of alternative sources for derivatively 
classifying the information in a uniform manner.



Sec. 2400.16  Derivative classification markings.

    (a) Documents classified derivatively on the basis of source 
documents or classification guides shall bear all markings prescribed in 
Sec. 2400.12 of this part and Directive No. 1 as are applicable. 
Information for these markings shall be taken from the source document 
or instructions in the appropriate classification guide. When markings 
are omitted because they may reveal a confidential source or 
relationship not otherwise evident, as described in Sec. 2400.12 of this 
part, the information may not be used as a basis for derivative 
classification.
    (b) The authority for classification shall be shown as directed in 
Directive No. 1.



               Subpart D--Declassification and Downgrading



Sec. 2400.17  Policy.

    Declassification of information shall be given emphasis comparable 
to that accorded classification. Information classified pursuant to 
Executive Order 12356 and prior orders shall be declassified or 
downgraded as soon as national security considerations permit. Decisions 
concerning declassification shall be based on the loss of sensitivity of 
the information with the passage of time or on the occurrence of an 
event which permits declassification. When information is reviewed for 
declassification pursuant to this regulation, that information shall be 
declassified unless the designated declassification authority determines 
that the information continues to meet the classification requirements 
prescribed in Sec. 2400.9 of this part despite the passage of time. The 
Office of Science and Technology Policy officials shall coordinate their 
review of classified information with other agencies that have a direct 
interest in the subject matter.



Sec. 2400.18  Declassification and downgrading authority.

    Information shall be declassified or downgraded by the official who 
authorized the original classification, if that official is still 
serving the same position; the originator's successor; a supervisory 
official of either; or officials delegated such authority in writing by 
the Director, OSTP. The Executive Director, OSTP shall maintain a 
current listing of persons or positions receiving

[[Page 543]]

those delegations. If possible, these listings shall be unclassified.



Sec. 2400.19  Declassification by the Director of the Information Security Oversight Office.

    If the Director of the Information Security Oversight Office (ISOO) 
determines that information is classified in violation of Executive 
Order 12356, the Director, ISOO may require the information to be 
declassified by the agency that originated the classification. Any such 
decision by the Director ISOO may be appealed by the Director, OSTP to 
the National Security Council. The information shall remain classified, 
pending a prompt decision on the appeal.



Sec. 2400.20  Systematic review for declassification.

    (a) Permanent records. Systematic review is applicable only to those 
classified records, and presidential papers or records that the 
Archivist of the United States, acting under the Federal Records Act, 
has determined to be of sufficient historical or other value to warrant 
permanent retention.
    (b) Non-permanent records. Non-permanent classified records shall be 
disposed of in accordance with schedules approved by the Administrator 
of General Services under the Records Disposal Act. These schedules 
shall provide for the continued retention of records subject to an 
ongoing mandatory review for declassification request.
    (c) Office of Science and Technology Policy Responsibility. The 
Director, OSTP, shall:
    (1) Issue guidelines for systematic declassification review and, if 
applicable, for downgrading. These guidelines shall be developed in 
consultation with the Archivist and the Director of the Information 
Security Oversight Office and be designated to assist the Archivist in 
the conduct of systematic reviews;
    (2) Designate experienced personnel to provide timely assistance to 
the Archivist in the systematic review process;
    (3) Review and update guidelines for systematic declassification 
review and downgrading at least every five years unless earlier review 
is requested by the Archivist.
    (d) Foreign Government Information. Systematic declassification 
review of foreign government information shall be in accordance with 
guidelines issued by the Director of the Information Security Oversight 
Office.
    (e) Special procedures. The Office of Science and Technology Policy 
shall be bound by the special procedures for systematic review of 
classified cryptologic records and classified records pertaining to 
intelligence activities (including special activities) or intelligence 
sources or methods issued by the Secretary of Defense and the Director 
of Central Intelligence, respectively.



Sec. 2400.21  Mandatory review for declassification.

    (a) Except as provided in paragraph (d) of this section, all 
information classified under Executive Order 12356 or predecessor orders 
shall be subject to a review for declassification by the Office of 
Science and Technology Policy, if:
    (1) The request is made by a United States citizen or permanent 
resident alien, a federal agency, or a State or local government; and
    (2) The request is made in writing and describes the document or 
material containing the information with sufficient specificity to 
enable the Office of Science and Technology Policy to locate it with a 
reasonable amount of effort.
    (b) Requests should be addressed to: Executive Director, Office of 
Science and Technology Policy, Executive Office of the President, 
Washington, DC 20506.
    (c) If the request does not reasonably describe the information 
sought to allow identification of documents containing such information, 
the requester shall be notified that unless additional information is 
provided or the request is made more specific, no further action will be 
taken.
    (d) Information originated by a President, the White House Staff, by 
committees, commissions, or boards appointed by the President, or others 
specifically providing advice and counsel to a President or acting on 
behalf of a

[[Page 544]]

President is exempted from the mandatory review provisions of 
Sec. 2400.24(a) of this part. The Archivist of the United States shall 
have the authority to review, downgrade and declassify information under 
the control of the Administrator of General Services or the Archivist 
pursuant to sections 2107, 2107 note, or 2203 of title 44, United States 
Code. Review procedures developed by the Archivist shall provide for 
consultation with agencies having primary subject matters interest and 
shall be consistent with the provisions of applicable laws or lawful 
agreements that pertain to the respective presidential papers or 
records. Any decision by the Archivist may be appealed to the Director 
of the Information Security Oversight Office. Agencies with primary 
subject matter interest shall be notified promptly of the Director's 
decision on such appeals and may further appeal to the National Security 
Council. The information shall remain classified pending a prompt 
decision on the appeal.
    (e) Office of Science and Technology Policy officials conducting a 
mandatory review for declassification shall declassify information no 
longer requiring protection under Executive Order 12356. They shall 
release this information unless withholding is otherwise authorized 
under applicable law.
    (f) Office of Science and Technology Policy responses to mandatory 
review requests shall be governed by the amount of search and review 
time required to process the request. Normally the requester shall be 
informed of the Office of Science and Technology Policy determination 
within thirty days of receipt of the original request (or within thirty 
days of the receipt of the required amplifying information in accordance 
with paragraph (c) of this section). In the event that a determination 
cannot be made within thirty days, the requester shall be informed of 
the additional time needed to process the request. However, OSTP, shall 
make a final determination within one year from the date of receipt of 
the request except in unusual circumstances.
    (g) When information cannot be declassified in its entirety, OSTP 
will make a reasonable effort to release, consistent with other 
applicable law, those declassified portions of that requested 
information the constitute a coherent segment.
    (h) If the information may not be released in whole or in part, the 
requester shall be given a brief statement as to the reason for denial, 
and notice of the right to appeal the determination in writing within 
sixty days of receipt of the denial to the chairperson of the Office of 
Science and Technology Policy Review Committee. If appealed, the 
requester shall be informed in writing of the appellate determination 
within thirty days of receipt of the appeal.
    (i) When a request is received for information originated by another 
agency, the Executive Director, Office of Science and Technology Policy, 
shall:
    (1) Forward the request to such agency for review together with a 
copy of the document containing the information requested, where 
practicable, and where appropriate, with the Office of Science and 
Technology Policy recommendation to withhold or declassify and release 
any of the information;
    (2) Notify the requester of the referral unless the agency to which 
the request is referred objects to such notice on grounds that its 
association with the information requires protection; and
    (3) Request, when appropriate, that the agency notify the Office of 
Science and Technology Policy of its determination.
    (j) If the request requires the rendering of services for which fees 
may be charged under title 5 of the Independent Offices Appropriation 
Act, 31 U.S.C. 483a, the Executive Director, Office of Science and 
Technology Policy, may calculate the anticipated amount of fees to be 
charged.
    (1) Fees for the location and reproduction of information that is 
the subject of a mandatory review request shall be assessed according to 
the following schedule:
    (i) Search for records. $5.00 per hour when the search is conducted 
by a clerical employee; $8.00 per hour when the search is conducted by a 
professional employee. No fee shall be assessed for searches of less 
than one hour.
    (ii) Reproduction of documents. Documents will be reproduced at a 
rate of

[[Page 545]]

$.25 per page for all copying of four pages or more. No fee shall be 
assessed for reproducing documents that are three pages or less, or for 
the first three pages of longer documents.
    (2) Where it is anticipated that the fees chargeable under this 
section will amount to more than $25, and the requestor has not 
indicated in advance a willingness to pay fees as high as are 
anticipated, the requester shall be promptly notified of the amount of 
the anticipated fee or such portion thereof as can readily be estimated. 
In instances where the estimated fees will greatly exceed $25, an 
advance deposit may be required. Dispatch of such a notice or request 
shall suspend the running of the period for response by OSTP until a 
reply is received from the requester.
    (3) Remittances shall be in the form either of a personal check or 
bank draft drawn on a bank in the United States, or a postal money 
order. Remittances shall be made to the Treasury of the United States 
and mailed to the Executive Director, Office of Science and Technology 
Policy, Executive Office of the President, Washington, DC 20506.
    (4) A receipt for fees paid will be given only upon request. Refund 
of fees paid for services actually rendered will not be made.
    (5) If a requester fails to pay within thirty days for services 
rendered, further action on any other requests submitted by that 
requestor shall be suspended.
    (6) The Executive Director, Office of Science and Technology Policy 
may waive all or part of any fee provided for in this section when it is 
deemed to be in either the interest of the OSTP or the general public.



Sec. 2400.22  Freedom of Information Act and Privacy Act requests.

    The Office of Science and Technology Policy shall process requests 
for declassification that are submitted under the provisions of the 
Freedom of Information Act, as amended, or the Privacy Act of 1974, in 
accordance with the provisions of those Acts.



Sec. 2400.23  Prohibition.

    In response to a request for information under the Freedom of 
Information Act, the Privacy Act of 1974, or the mandatory review 
provisions of Executive Order 12356 and Directive No. 1, or this 
regulation:
    (a) The Office of Science and Technology Policy shall refuse to 
confirm or deny the existence or non-existence of requested information 
whenever the fact of its existence or non-existence is itself 
classifiable under Executive Order 12356.
    (b) When the Office of Science and Technology Policy receives any 
request for documents in its custody that were classified by another 
agency, it shall refer copies of the request and the requested documents 
to the originating agency for processing, and may, after consultation 
with the originating agency, inform the requester of the referral. In 
cases which the originating agency determines in writing that a response 
under paragraph (a) of this section is required, the Office of Science 
and Technology Policy shall respond to the requester in accordance with 
that paragraph.



Sec. 2400.24  Downgrading.

    (a) When it will serve a useful purpose, original classification 
authorities may, at the time of original classification, specify that 
downgrading of the assigned classification will occur on a specified 
date or upon the occurrence of a stated event.
    (b) Classified information marked for automatic downgrading is 
downgraded accordingly without notification to holders.
    (c) Classified information not marked for automatic downgrading may 
be assigned a lower classification designation by the originator or by 
an official authorized to declassify the same information. Prompt notice 
of such downgrading shall be provided to known holders of the 
information.



                         Subpart E--Safeguarding



Sec. 2400.25  Access.

    (a) A person is eligible for access to classified information 
provided that a determination of trustworthiness has

[[Page 546]]

been made by agency heads or designated officials and provided that such 
access is essential to the accomplishment of lawful and authorized 
Government purposes. A personnel security clearance is an indication 
that the trustworthiness decision has been made. Procedures shall be 
established by the head of each office to prevent access to classified 
information before a personnel security clearance has been granted. The 
number of people cleared and granted access to classified information 
shall be maintained at the minimum number that is consistent with 
operational requirements and needs. No one has a right to have access to 
classified information solely by virtue of rank or position. The final 
responsibility for determinating whether an individual's official duties 
require possession of or access to any element or item of classified 
information, and whether the individual has been granted the appropriate 
security clearance by proper authority, rests with the individual who 
has authorized possession, knowledge, or control of the information and 
not with the prospective recipient. These principles are equally 
applicable if the prospective recipient is an organizational entity, 
other Federal agencies, contractors, foreign governments, and others.
    (b) When access to a specific classification category is no longer 
required for the performance of an individual's assigned duties, the 
security clearance will be administratively adjusted, without prejudice 
to the individual, to the classification category, if any, required.
    (c) The Director, Office of Science and Technology Policy may create 
special access programs to control access, distribution, and protection 
of particularly sensitive information classified pursuant to Executive 
Order 12356 or predecessor orders if:
    (1) Normal management and safeguarding procedures do not limit 
access sufficiently;
    (2) The number of persons with access is limited to the minimum 
necessary to meet the objective of providing extra protection for the 
information;
    (3) The special access program is established in writing; and
    (4) A system of accounting for the program is established and 
maintained.



Sec. 2400.26  Access by historical researchers and former Presidential appointees.

    (a) The requirement in Section 4.1(a) of Executive Order 12356 that 
access to classified information may be granted only as is essential to 
the accomplishment of authorized and lawful Government purposes may be 
waived as provided in paragraph (b) of this section for persons who:
    (1) Are engaged in historical research projects, or
    (2) Previously have occupied policy-making positions to which they 
were appointed by the President.
    (b) Waivers under paragraph (a) of this section may be granted only 
if the Director, Office of Science and Technology Policy:
    (1) Determines in writing that access is consistent with the 
interest of national security;
    (2) Takes appropriate steps to protect classified information from 
unauthorized disclosure or compromise, and ensures that the information 
is safeguarded in a manner consistent with Executive Order 12356;
    (3) Limits the access granted to former presidential appointees to 
items that the person originated, reviewed, signed, or received while 
serving as a presidential appointee; and
    (4) Has received a written agreement from the researcher or former 
presidential appointee that his notes can be reviewed by OSTP for a 
determination that no classified material is contained therein.



Sec. 2400.27  Storage of classification information.

    Whenever classified information is not under the personal control 
and observation of an authorized person, it will be guarded or stored in 
a locked security container approved for the storage and protection of 
the appropriate level of classified information as prescribed in 
Sec. 2001.43 of Directive No. 1.

[[Page 547]]



Sec. 2400.28  Dissemination of classified information.

    Heads of OSTP offices shall establish procedures consistent with 
this Regulation for dissemination of classified material. The 
originating official may prescribe specific restrictions on 
dissemination of classified information when necessary.
    (a) Classified information shall not be disseminated outside the 
executive branch except under conditions that ensure that the 
information will be given protection equivalent to that afforded within 
the executive branch.
    (b) Except as provided by directives issued by the President through 
the National Security Council, classified information originating in one 
agency may not be disseminated outside any other agency to which it has 
been made available without the consent of the originating agency. For 
purposes of this Section, the Department of Defense shall be considered 
one agency.



Sec. 2400.29  Accountability and control.

    (a) Each item of Top Secret, Secret, and Confidential information is 
subject to control and accountability requirements.
    (b) The Security Officer will serve as Top Secret Control Officer 
(TSCO) for the Office of Science and Technology Policy and will be 
responsible for the supervision of the Top Secret control program. He/
she will be assisted by an Assistant Top Secret Control Officer (ATSCO) 
to effect the Controls prescribed herein for all Top Secret material.
    (c) The TSCO shall receive, transmit, and maintain current access 
and accountability records for Top Secret information. The records shall 
show the number and distribution of all Top Secret documents, including 
any reproduced copies.
    (d) Top Secret documents and material will be accounted for by a 
continuous chain of receipts.
    (e) An inventory of Top Secret documents shall be made at least 
annually.
    (f) Destruction of Top Secret documents shall be accomplished only 
by the TSCO or the ATSCO.
    (g) Records shall be maintained to show the number and distribution 
of all classified documents covered by special access programs, and of 
all Secret and Confidential documents which are marked with special 
dissemination and reproduction limitations.
    (h) The Security Officer will develop procedures for the 
accountability and control of Secret and Confidential information. These 
procedures shall require all Secret and Confidential material originated 
or received by OSTP to be controlled. Control shall be accomplished by 
the ATSCO.



Sec. 2400.30  Reproduction of classified information.

    Documents or portions of documents and materials that contain Top 
Secret information shall not be reproduced without the consent of the 
originator or higher authority. Any stated prohibition against 
reproduction shall be strictly observed. Copying of documents containing 
classified information at any level shall be minimized. Specific 
reproduction equipment shall be designated for the reproduction of 
classified information and rules for reproduction of classified 
information shall be posted on or near the designated equipment. Notices 
prohibiting reproduction of classified information shall be posted on 
equipment used only for the reproduction of unclassified information. 
All copies of classified documents reproduced for any purpose including 
those incorporated in a working paper are subject to the same controls 
prescribed for the document from which the reproduction is made.



Sec. 2400.31  Destruction of classified information.

    (a) Classified information no longer needed in current working files 
or for reference or record purposes shall be processed for appropriate 
disposition in accordance with the provisions of chapters 21 and 33 of 
title 44, U.S.C., which governs disposition of classified records. 
Classified information approved for destruction shall be destroyed in 
accordance with procedures and methods prescribed by the Director, OSTP, 
as implemented by the Security Officer. These procedures and methods 
must provide adequate protection to prevent access by unauthorized 
persons and must preclude recognition

[[Page 548]]

or reconstruction of the classified information or material.
    (b) All classified information to be destroyed will be provided to 
the ATSCO for disposition. Controlled documents will be provided whole 
so that accountability records may be corrected prior to destruction by 
the ATSCO.



Sec. 2400.32  Transmittal of classified information.

    The transmittal of classified information outside of the Office of 
Science and Technology Policy shall be in accordance with procedures of 
Sec. 2001.44 of Directive No. 1. The Security Officer shall be 
responsible for resolving any questions relative to such transmittal.



Sec. 2400.33  Loss or possible compromise.

    (a) Any person who has knowledge of the loss or possible compromise 
of classified information shall immediately report the circumstances to 
the Security Officer. The Security Officer shall notify the Director and 
the agency that originated the information as soon as possible so that a 
damage assessment may be conducted and appropriate measures taken to 
negate or minimize any adverse effect of the compromise.
    (b) The Security Officer shall initiate an inquiry to:
    (1) Determine cause,
    (2) Place responsibility, and
    (3) Take corrective measures and appropriate administrative, 
disciplinary, or legal action.
    (c) The Security Officer shall keep the Director advised on the 
details of the inquiry.



                Subpart F--Foreign Government Information



Sec. 2400.34  Classification.

    (a) Foreign government information classified by a foreign 
government or international organization of governments shall retain its 
original classification designation or be assigned a United States 
classification designation that will ensure a degree of protection 
equivalent to that required by the government or organization that 
furnished the information. Original classification authority is not 
required for this purpose.
    (b) Foreign government information that was not classified by a 
foreign entity but was provided with the expectation, expressed or 
implied, that it be held in confidence must be classified because 
Executive Order 12356 states a presumption of damage to the national 
security in the event of unauthorized disclosure of such information.



Sec. 2400.35  Duration of classification.

    Foreign government information shall not be assigned a date or event 
for automatic declassification unless specified or agreed to by the 
foreign entity.



Sec. 2400.36  Declassification.

    Officials shall respect the intent of this Regulation to protect 
foreign government information and confidential foreign sources.



Sec. 2400.37  Mandatory review.

    Except as provided in this paragraph, OSTP shall process mandatory 
review requests for classified records containing foreign government 
information in accordance with Sec. 2400.21. The agency that initially 
received or classified the foreign government information shall be 
responsible for making a declassification determination after 
consultation with concerned agencies. If OSTP receives a request for 
mandatory review and is not the agency that received or classified the 
foreign government information, it shall refer the request to the 
appropriate agency for action. Consultation with the foreign originator 
through appropriate channels may be necessary prior to final action on 
the request.



Sec. 2400.38  Protection of foreign government information.

    Classified foreign government information shall be protected as is 
prescribed by this regulation for United States classified information 
of a comparable level.

[[Page 549]]



                      Subpart G--Security Education



Sec. 2400.39  Responsibility and objectives.

    The OSTP Security Officer shall establish a security education 
program for OSTP personnel. The program shall be sufficient to 
familiarize all OSTP personnel with the provisions of Executive Order 
12356 and Directive No. 1, and this regulation. It shall be designed to 
provide initial, refresher, and termination briefings to impress upon 
them their individual security responsibilities.



Subpart H--Office of Science and Technology Policy Information Security 
                           Program Management



Sec. 2400.40  Responsibility.

    The Director, OSTP is the senior OSTP official having authority and 
responsibility to ensure effective and uniform compliance with and 
implementation of Executive Order 12356 and its implementing Directive 
No. 1. As such, the Director, OSTP, shall have primary responsibility 
for providing guidance, oversight and approval of policy and procedures 
governing the OSTP Information Security Program. The Director, OSTP, may 
approve waivers or exceptions to the provisions of this regulation to 
the extent such action is consistent with Executive Order 12356 and 
Directive No. 1.



Sec. 2400.41  Office Review Committee.

    The Office of Science and Technology Policy Review Committee 
(hereinafter referred to as the Office Review Committee) is hereby 
established and will be responsible for the continuing review of the 
administration of this Regulation with respect to the classification and 
declassification of information or material originated or held by the 
Office of Science and Technology Policy. The Office Review Committee 
shall be composed of the Executive Director who shall serve as 
chairperson, the Assistant Director for National Security & Space, and 
the Security Officer.



Sec. 2400.42  Security Officer.

    Under the general direction of the Director, the Special Assistant 
to the Executive Director will serve as the Security Officer and will 
supervise the administration of this Regulation. He/she will develop 
programs, in particular a Security Education Program, to insure 
effective compliance with and implementation of the Information Security 
Program. Specifically he/she also shall:
    (a) Maintain a current listing by title and name of all persons who 
have been designated in writing to have original Top Secret, Secret, and 
Confidential Classification authority. Listings will be reviewed by the 
Director on an annual basis.
    (b) Maintain the record copy of all approved OSTP classification 
guides.
    (c) Maintain a current listing of OSTP officials designated in 
writing to have declassification and downgrading authority.
    (d) Develop and maintain systematic review guidelines.



Sec. 2400.43  Heads of offices.

    The Head of each unit is responsible for the administration of this 
regulation within his area. These responsibilities include:
    (a) Insuring that national security information is properly 
classified and protected;
    (b) Exercising a continuing records review to reduce classified 
holdings through retirement, destruction, downgrading or 
declassification;
    (c) Insuring that reproduction of classified information is kept to 
the absolute minimum;
    (d) Issuing appropriate internal security instructions and 
maintaining the prescribed control and accountability records on 
classified information under their jurisdiction.



Sec. 2400.44  Custodians.

    Custodians of classified material shall be responsible for providing 
protection and accountability for such material at all times and 
particularly for locking classified material in approved security 
equipment whenever it is not in use or under direct supervision of 
authorized persons. Custodians shall follow procedures which insure that 
unauthorized persons

[[Page 550]]

do not gain access to classified information or material by sight or 
sound, and classified information shall not be discussed with or in the 
presence of unauthorized persons.



Sec. 2400.45  Information Security Program Review.

    (a) The Director, OSTP, shall require an annual formal review of the 
OSTP Information Security Program to ensure compliance with the 
provisions of Executive Order 12356 and Directive No. 1, and this 
regulation.
    (b) The review shall be conducted by a group of three to five 
persons appointed by the Director and chaired by the Executive Director. 
The Security Officer will provide any records and assistance required to 
facilitate the review.
    (c) The findings and recommendations of the review will be provided 
to the Director for his determination.



Sec. 2400.46  Suggestions or complaints.

    Persons desiring to submit suggestions or complaints regarding the 
Office of Science and Technology Policy Information Security Program 
should do so in writing. This correspondence should be addressed to: 
Executive Director, Office of Science and Technology Policy, Executive 
Office of the President, Washington, DC 20506.

[[Page 551]]



        CHAPTER XXVII--OFFICE FOR MICRONESIAN STATUS NEGOTIATIONS




  --------------------------------------------------------------------
Part                                                                Page
2700            Security information regulations............         553

[[Page 553]]



PART 2700--SECURITY INFORMATION REGULATIONS--Table of Contents




                         Subpart A--Introduction

Sec.
2700.1  References.
2700.2  Purpose.
2700.3  Applicability.

                   Subpart B--Original Classification

2700.11  Basic policy.
2700.12  Criteria for and level of original classification.
2700.13  Duration of original classification.
2700.14  Challenges to classification.

                  Subpart C--Derivative Classification

2700.21  Definition and application.
2700.22  Classification guides.

               Subpart D--Declassification and Downgrading

2700.31  Declassification authority.
2700.32  Declassification general.
2700.33  Mandatory review for declassification.
2700.34  Downgrading authority.

                         Subpart E--Safeguarding

2700.41  General restrictions on access.
2700.42  Responsibility for safeguarding classified information.
2700.43  Reproduction controls.
2700.44  Administrative sanctions.

                  Subpart F--Implementation and Review

2700.51  Information Security Oversight Committee.
2700.52  Classified Review Committee.

    Authority: E.O. 12065, National Security Regulation of June 28, 1978 
(43 FR 28949, July 31, 1978); Information Security Oversight Office 
Directive No. 1 (43 FR 46280, October 5, 1978).

    Source: 44 FR 51574, Sept. 4, 1979. Correctly designated at 44 FR 
51990, Sept. 6, 1979, unless otherwise noted.



                         Subpart A--Introduction



Sec. 2700.1  References.

    (a) Executive Order 12065, ``National Security Information,'' June 
28, 1978, (hereinafter E.O. 12065).
    (b) Information Security Oversight Office, Directive No. 1, 
``National Security Information,'' October 2, 1978, (hereinafter ISOO 
Directive No. 1).



Sec. 2700.2  Purpose.

    The purpose of this Regulation is to ensure, consistent with the 
authorities listed in Sec. 2700.1, that national security information 
originated and/or held by the Office for Micronesian Status Negotiations 
(OMSN), which includes the Status Liaison Office, Saipan, Northern 
Mariana Islands (SLNO), is protected. To ensure that such information is 
protected, but only to the extent and for such period as is necessary, 
this regulation identifies the information to be protected and 
prescribes certain classification, declassification and safeguarding 
procedures to be followed.



Sec. 2700.3  Applicability.

    This Regulation supplements E.O. 12065 within OMSN with regard to 
National Security Information. In consonance with the authorities listed 
in Sec. 2700.1, it establishes general policies and certain procedures 
for the classification, declassification and safeguarding of information 
which is owned by, is produced for or by, or is under the control of 
OMSN.



                   Subpart B--Original Classification



Sec. 2700.11  Basic policy.

    (a) General. It is the policy of OMSN to make available to the 
public as much information concerning its activities as is possible, 
consistent with its responsibility to protect the national security.
    (b) Safeguarding national security information. Within the Federal 
Government there is some information which because it bears directly on 
the effectiveness of our national defense and the conduct of our foreign 
relations, must be subject to some constraints for the security of our 
nation.
    (c) Balancing test. To balance the public's interest in access to 
government information with the need to protect certain national 
security information from disclosure, these regulations indentify the 
information to be protected, prescribe classification, downgrading, 
declassification, and safeguarding procedures to be followed, and 
establish education, monitoring and

[[Page 554]]

sanctioning systems to insure their effectiveness. When questions arise 
as whether the need to protect information may be outweighed by the 
public interest in disclosure of the information, they shall be referred 
to OMSN pursuant to Sec. 2700.32(b) for a determination whether the 
public interest in disclosure outweighs the damage to national security 
that might reasonably be expected from disclosure.



Sec. 2700.12  Criteria for and level of original classification.

    (a) General Policy. Documents or other material are to be classified 
only when protecting the national security requires that the information 
they contain be withheld from public disclosure. Information may not be 
classified to conceal violations of law, inefficiency, or administrative 
error, or to prevent embarrassment to a person, organization or agency, 
or to restrain competition. No material may be classified to limit 
dissemination, or to prevent or delay public release, unless its 
classification is consistent with E.O. 12065.
    (b) Criteria. To be eligible for classification, information must 
meet two requirements:
    (1) First, it must deal with one of the criteria set forth in 
section 1-301 of E.O. 12065;
    (2) Second, the President's Personal Representative for Micronesian 
Status Negotiations or his delegate who has original classification 
authority must determine that unauthorized disclosure of the information 
or material can reasonably be expected to cause at least identifiable 
harm to the national security.
    (c) Classification designations. Only three designations of 
classification are authorized--``Top Secret,'' ``Secret,'' 
``Confidential.'' No other classification designation is authorized or 
shall have force.
    (d) Unnecessary classification, and classification at a level higher 
than is necessary, shall be avoided. If there is reasonable doubt as to 
which designation in section 1-1 of E.O. 12065 is appropriate, or 
whether information should be classified at all, the less restrictive 
designation should be used, or the information should not be classified.



Sec. 2700.13  Duration of original classification.

    (a) Information or material which is classified after December 1, 
1978, shall be marked at the time of classification with the date or 
event for declassification or a date for review for declassification. 
This date or event shall be as early as national security permits and 
shall be no more than six years after original classification except as 
provided in paragraph (b) of this section.
    (b) Only the President's Personal Representative for Micronesian 
Status Negotiations may authorize a classification period exceeding six 
years. Originally classified information that is so designated shall be 
identified with the authority and reason for extension. This authority 
shall be used sparingly. In those cases where extension of 
classification is warranted, a declassification date or event, or a date 
for review shall be set. This date or event shall be early as national 
security permits and shall be no more than twenty years after original 
classification except that for foreign information the date or event may 
be up to thirty years after original classification.



Sec. 2700.14  Challenges to classification.

    If holders of classified information believe the information is 
improperly or unnecessarily classified, or that original classification 
has been extended for too long a period, they should discuss the matter 
with their immediate superiors or the classifier of the information. If 
these discussions do not satisfy the concerns of the challenger, the 
matter should be brough to the attention of the chairman of the OMSN 
Information Security Oversight Committee, established pursuant to 
Sec. 2700.51. Action on such challenges shall be taken within 30 days 
from date of receipt and the challenger shall be notified of the 
results. When requested, anonymity of the challenger shall be preserved.

[[Page 555]]



                  Subpart C--Derivative Classification



Sec. 2700.21  Definition and application.

    Derivative classification is the act of assigning a level of 
classification to information which is determined to be the same in 
substance as information which is currently classified. Thus, derivative 
classification may be accomplished by any person cleared for access to 
that level of information, regardless of whether the person has original 
classification authority at that level.



Sec. 2700.22  Classification guides.

    OMSN shall issue classification guides pursuant to section 2-2 of 
E.O. 12065. These guides, which shall be used to direct derivative 
classification, shall identify the information to be protected in 
specific and uniform terms so that the information involved can be 
readily identified. The classification guides shall be approved in 
writing by the President's Personal Representative for Micronesian 
Status Negotiations. Such approval constitutes an original 
classification decision. The classification guides shall be kept current 
and shall be reviewed at least every two years.



               Subpart D--Declassification and Downgrading



Sec. 2700.31  Declassification authority.

    The Director, OMSN, is authorized to declassify OMSN originated 
documents after consultation with the appropriate OMSN staff members.



Sec. 2700.32  Declassification general.

    Declassification of classified information shall be given emphasis 
comparable to that accorded to classification. The determination to 
declassify information shall not be made on the basis of the level of 
classification assigned, but on the loss of the sensitivity of the 
information with the passage of time, and with due regard for the public 
interest in access to official information. At the time of review, any 
determination not to declassify shall be based on a determination that 
despite the passage of time since classification, release of information 
reasonably could still be expected to cause at least identifiable damage 
to the national security.



Sec. 2700.33  Mandatory review for declassification.

    (a) General. All information classified under the Order or prior 
orders, except as provided for in section 3-503 of E.O. 12065 shall be 
subject to review for declassification upon request of a member of the 
public, a government employee, or an agency.
    (b) Receipt. (1) Requests for mandatory review for declassification 
under section 3-501 of E.O. 12065 must be in writing and should be 
addressed to: Office for Micronesian Status Negotiations, ATTN: Security 
Officer (Mandatory Review Request), Room 3356, Department of the 
Interior, Washington, DC 20240.
    (2) The requestor shall be informed of the date of receipt of the 
request at OMSN. This date will be the basis for the time limits 
specified in paragraph (c) of this section.
    (3) If the request does not reasonably describe the information 
sought, the requestor shall be notified that, unless additional 
information is provided or the request is made more specific, no further 
action will be taken.
    (4) Subject to paragraph (b)(7) of this section, if the information 
requested is in the custody of and under the exclusive declassification 
authority of OMSN, OMSN shall determine whether the information or any 
reasonably segregable portion of it no longer requires protection. If 
so, OMSN shall promptly make such information available to the 
requester, unless withholding it is otherwise warranted under applicable 
law. If the information may not be released, in whole or in part, OMSN 
shall give the requester a brief statement of the reasons, a notice of 
the right to appeal the determination to the agency review committee, 
and notice that such an appeal must be filed with the review committee 
within 60 days.
    (5) When OMSN receives a request for information in a document which 
is in its custody, but which was classified by

[[Page 556]]

another agency, it shall refer the request to the appropriate agency for 
review, together with a copy of the document containing the information 
requested, where practicable. OMSN shall also notify the requester of 
the referral, unless the association of the reviewing agency with the 
information requires protection. The reviewing agency shall review a 
document in coordination with any other agency involved with the 
classification or having a direct interest in the subject matter. The 
reviewing agency shall respond directly to the requester in accordance 
with the pertinent procedures described above and, if requested, shall 
notify OMSN of its determination.
    (6) Requests for declassification of classified documents originated 
by OMSN or another agency but in the possession and control of the 
Administrator of General Services, pursuant to 44 U.S.C 2107 or 2107 
Note, shall be referred by the Archivist to the agency of origin for 
processing and for direct response to the requests. The Archivist will 
inform requesters of such referrals.
    (7) In the case of requests for documents containing foreign 
government information, OMSN, if it is also the agency which initially 
received the foreign government information, shall determine whether the 
foreign government information in the document may be declassified and 
released in accordance with agency policies or guidelines, consulting 
with other agencies of subject matter interest as necessary. If OMSN is 
not the agency which received the foreign government information, it 
shall refer the request to the latter agency, which shall take action on 
the request. In those cases where available agency policies or 
guidelines do not apply, consultation with the foreign originator 
through appropriate channels may be advisable prior to final action on 
the request.
    (8) If any agency makes a request on behalf of a member of the 
public, the request shall be considered as a request by that member of 
the public and handled accordingly.
    (c) Review. (1) Within sixty days from its receipt, OMSN shall 
inform the requestor of the determination of the mandatory review for 
declassification.
    (2) If the determination is to withhold some or all of the material 
requested, the requestor may appeal the determination. The requestor 
shall be informed that an appeal must be made in writing within sixty 
days of receipt of the denial and should be addressed to the chairperson 
of the OMSN Classification Review Committee established pursuant to 
Sec. 2700.52.
    (3) No agency in possession of a classified document may, in 
response to a request for the document made under the Freedom of 
Information Act (5 U.S.C. 552) or under section 3-5 of E.O. 12065, 
refuse to confirm the existence or non-existence of the document, unless 
the fact of its existence or non-existence would itself be classifiable.
    (4) The requestor shall be informed of the appellate determination 
within thirty days of receipt of the appeal.
    (5) In considering requests for mandatory review, OMSN may decline 
to review again any request for material which has been recently 
reviewed and denied, except insofar as the request constitutes an appeal 
under paragraph (f) of this section.
    (d) Processing of Requests. The processing of requests by OMSN shall 
be as follows:
    (1) The Security Officer or his designee shall record the request, 
and arrange for search and review of the documents. The documents will 
be reviewed for declassification in accordance with these regulations or 
any applicable guidelines. If the documents remain classified and are 
not to be released, in whole or in part, the reviewing office will also 
prepare a letter informing the requester as described in paragraph 
(b)(4) of this section. The letter to the requester shall be signed by 
the President's Personal Representative for Micronesian Status 
Negotiations, his Deputy or the Status Liaison Officer. The Security 
Officer or his designee shall record disposition of the case and forward 
the letter of denial to the requester.
    (2) If any request requires obtaining the views of other agencies, 
the receiving office shall arrange coordination of review with such 
other agencies.
    (3) When all documents involved in the request are declassified and 
released, the receiving office will send a

[[Page 557]]

release statement, to the requester, and shall inform the requester of 
any fees due before releasing documents.
    (4) In the case of documents of agency origin requested by a 
Presidential Library on behalf of a member of the public, if there is a 
partial denial, the letter will advise the requester as described in 
paragraph (b)(4) of this section, but the requester will be referred to 
the Archivist for copies of the released document, with portions 
excised. The receiving office will transmit such documents, with 
portions marked to be excised, to Archives which will transmit them with 
portions excised to the Presidential Library for its records and for use 
in the case of further similar requests.
    (5) The Security Officer or his designee shall also coordinate 
requests from other agencies seeking the views of OMSN as to 
declassification of documents originated by such other agencies but 
involving information of primary subject matter interest to OMSN. The 
Security Officer or his designee will transmit the documents to the 
reviewing individual for a determination as to declassification and will 
coordinate the reply of OMSN to the requesting agency.
    (e) Appeals. (1) The President's Personal Representative for 
Micronesian Status Negotiations shall receive appeals for denial of 
documents by OMSN. Such appeals shall be addressed to President's 
Personal Representative for Micronesian Status Negotiations, Suite 3356, 
Interior Department Building, Washington, DC 20240. The appeal must be 
received in OMSN within 60 days of the date of the original denial 
letter or the final release of documents, whichever is later.
    (2) Appeals shall be decided within 30 days of their receipt.
    (f) Fees. (1) Fees for the location and reproduction of information 
which is the subject of a mandatory review request shall be assessed 
according to the following schedule:
    (i) Search for records: $5.00 per hour when the search is conducted 
by a clerical employee; $8.00 per hour when the search is conducted by a 
professional employee. No fee shall be assessed for searches of less 
than one hour.
    (ii) Reproduction of documents: Documents will be reproduced at a 
rate of $.25 per page for all copying of four pages or more. No fee 
shall be assessed for reproducing documents which are three pages or 
less, or for the first three pages of longer documents.
    (2) Where it is anticipated that the fees chargeable under this 
section will amount to more than $25.00, and the requestor has not 
indicated in advance a willingness to pay fees as high as are 
anticipated, the requestor shall be promptly notified of the amount of 
the anticipated fee or such portion thereof as can readily be estimated. 
In instances where the estimated fees will greatly exceed $25.00, an 
advance deposit may be required. Dispatch of such a notice or request 
shall suspend the running of the period for response by OMSN until a 
reply is received from the requestor.
    (3) Remittance shall be in the form either of a personal check or 
bank draft on a bank in the United States, or a postal money order. 
Remittance shall be made payable to Treasurer of the United States and 
mailed to the address noted in paragraph (b)(1) of this section.
    (4) A receipt for fees paid will be provided only upon request. 
Refund of fees for services actually rendered will not be made.
    (5) OMSN may waive all or part of any fee provided for in this 
section when it is deemed to be in either the interest of OMSN or of the 
general public.



Sec. 2700.34  Downgrading authority.

    The Security Officer, OMSN is authorized to downgrade OMSN 
originated documents after consultation with the staff member who is 
charged with functional responsibility for the subject matter under 
question.



                         Subpart E--Safeguarding



Sec. 2700.41  General restrictions on access.

    (a) Determination of need-to-know. Classified information shall be 
made available to a person only when the possessor of the classified 
information establishes in each instance, except as provided in section 
4-3 of E.O. 12065,

[[Page 558]]

that access is essential to the accomplishment of official Government 
duties or contractual obligations.
    (b) Determination of Trustworthiness. A person is eligible for 
access to classified information only after a showing of trustworthiness 
as determined by the President's Personal Representative for Micronesian 
Status Negotiations based upon appropriate investigations in accordance 
with applicable standards and criteria.



Sec. 2700.42  Responsibility for safeguarding classified information.

    (a) General Policy. The specific responsibility for the maintenance 
of the security of classified information rest with each person having 
knowledge or physical custody therof, no matter how obtained. The 
ultimate responsibility for safeguarding classified information rests on 
each supervisor to the same degree that supervisor is charged with 
functional responsibility.
    (b) Security and Top Secret Control Officers. The Director, OMSN, 
and the Status Liaison Officer, Saipan, are assigned specific security 
responsibilities as Security Officer and Top Secret Control Officer.
    (c) Handling. All documents bearing the terms ``Top Secret,'' 
``Secret'' and ``Confidential'' shall be delivered to the Top Secret 
Control Officer or his designee immediately upon receipt. All potential 
recipients of such documents shall be advised of the names of such 
designees and updated information as necessary. In the event that the 
Top Secret Control Officer or his designees are not available to receive 
such documents, they shall be turned over to the office supervisor and 
secured, unopened, in a designated combination safe located in OMSN or 
SLNO, as appropriate until the Top Secret Control Officer is available. 
All materials not immediately deliverable to the Top Secret Control 
Officer shall be delivered at the earliest opportunity. Under no 
circumstances shall classified material that cannot be delivered to the 
Top Secret Control Officer be stored other than in the designated safe.
    (d) Storage. All classified documents shall be stored in the 
designated combination safe or safes located in OMSN or SLNO as 
appropriate. The combination shall be changed as required by ISOO 
Directive No. 1, section IV F (5)(a). The combinations shall be known 
only to the Security Officer and his designees with the appropriate 
security clearance.
    (e) Security Education Program. The Security Officer shall establish 
a program of briefings to familiarize personnel with the provisions of 
E.O. 12065 and implementing directives. Such briefings shall be held 
once per year, or more frequently. Before any new or newly assigned 
employee enters on duty, he shall be given instruction in sufficient 
detail in security procedures and practices to inform him of his 
responsibilities arising from his access to classified data.
    (f) Access by Historical Researchers and Former Presidential 
Appointees. In keeping with provisions 4-301 and 4-302 of E.O. 12065, 
the President's Personal Representative for Micronesian Status 
Negotiations shall designate appropriate officials to determine, prior 
to granting access to classified information, the propriety of such 
action in the interest of national security and assurance of the 
recipient's trustworthiness and need-to-know.



Sec. 2700.43  Reproduction controls.

    OMSN and SLNO shall maintain records to show the number and 
distribution of all OMSN originated classified documents. Reproduction 
of classified material shall take place only in accordance with section 
4-4 of E.O. 12065 and any limitations imposed by the originator. Should 
copies be made, they are subject to the same controls as the original 
document. Records showing the number of distribution of copies shall be 
maintained by the Office Supervisor and the log stored with the original 
documents. These measures shall not restrict reproduction for the 
purposes of mandatory review.



Sec. 2700.44  Administrative sanctions.

    Officers and employees of the United States Government assigned to 
OMSN shall be subject to appropriate administrative sanctions if they 
knowingly and willingly commit a violation under section 5-5 of E.O. 
12065. These sanctions may include reprimand, suspension without pay, 
removal, termination

[[Page 559]]

of classification authority, or other sanction in accordance with 
applicable law or the applicable regulations of the agency from which 
they are assigned to OMSN.



                  Subpart F--Implementation and Review



Sec. 2700.51  Information Security Oversight Committee.

    The OMSN Information Security Oversight Committee shall be chaired 
by the Security Officer, OMSN. The Committee shall be responsible for 
acting on all suggestions and complaints concerning the administration 
of the OMSN information security program. The chairperson shall also be 
responsible for conducting an active oversight program to ensure 
effective implementation of E.O. 12065.



Sec. 2700.52  Classified Review Committee.

    The OMSN Classification Review Committee shall be chaired by the 
President's Personal Representative for Micronesian Status Negotiations. 
The Committee shall decide appeals from denials of declassification 
requests submitted pursuant to section 3-5 of E.O. 12065. The Committee 
shall consist of the President's Personal Representative, Department of 
Defense/Legal Advisor and Political/Economic Advisor.

[[Page 561]]



    CHAPTER XXVIII--OFFICE OF THE VICE PRESIDENT OF THE UNITED STATES




  --------------------------------------------------------------------
Part                                                                Page
2800            Security procedures.........................         563

[[Page 563]]



PART 2800--SECURITY PROCEDURES--Table of Contents




Sec.
2800.1  Purpose.
2800.2  Guiding directives.
2800.3  Policy.
2800.4  General information.
2800.5  Policies.
2800.6  Delegation of classification and declassification authority.
2800.7  Designation of chairperson for Ad Hoc Committees.

Attachment 1 to Part 2800--Employment Agreement & Indoctrination 
          Statement
Attachment 2 to Part 2800--Security Termination Statement
Attachment 3 to Part 2800--Sample

    Authority: EO 12065, 43 FR 28949, 3 CFR, 1978 Comp., p. 190; 
(Information Security Oversight Office, Directive No. 1, 43 FR 46280, 32 
CFR ch. II.

    Source: 44 FR 66591, Nov. 20, 1979, unless otherwise noted.



Sec. 2800.1  Purpose.

    To establish procedures and provide guidance for the security of 
classified information and material within the Office of the Vice 
President.



Sec. 2800.2  Guiding directives.

    (a) Executive Order 12065, June 28, 1978, Subject: National Security 
Information.
    (b) Information Security Oversight Office, Directive No. 1, October 
2, 1978, Subject: National Security Information.



Sec. 2800.3  Policy.

    The classification, declassification, safeguarding and handling of 
classified information within the Office of the Vice President will 
comply with the letter and spirit of those directives listed in 
Sec. 2800.2. All personnel of the Office of the Vice President are 
responsible individually for complying with the provisions of these 
regulations are in all respects. The provisions of these regulations 
applicable to all personnel assigned or detailed to the Office of the 
Vice President.



Sec. 2800.4  General information.

    (a) Staff Security Officer/Top Secret Control Officer. A Vice 
Presidential Staff Security Officer and Assistant Staff Security Officer 
will be assigned to perform the duties as outlined in these regulations. 
They will normally be on the staff of the Assistant to the Vice 
President for National Security Affairs. The Staff Security Officer and 
Assistant Staff Security Officer will serve as Top Secret Control 
Officer and Assistant Top Secret Control Officer and custodians of 
classified material for the Office of the Vice President respectively, 
and will be responsible for the overall supervision of the Top Secret 
Control program. They will maintain positive control over the movement 
of all Top Secret material under their jurisdiction.
    (b) Custodian, Office of the Assistant to the Vice President for 
Congressional Relations. The Assistant to the Vice President for 
Congressional Relations, Office of the President of the Senate, will be 
designated as Custodian of classified material for that office. He will 
be responsible for compliance with the instructions contained herein. In 
this capacity, he will be charged with safeguarding classified material 
necessary to the operation of the office.
    (c) National Security Classifications. Classifications of National 
Security Information are defined in Executive Order 12065, sections 1-
102 through 1-104.
    (d) Prohibited Markings. (1) The caveats ``FOR OFFICIAL USE ONLY'' 
and ``ADMINISTRATIVELY RESTRICTED'' are used within the Office of the 
Vice President to designate certain unclassified information which 
requires control. These caveats will under no circumstances be applied 
to information which qualifies as classified information. Further, 
neither they nor other terms will be used in conjunction with the 
prescribed security classifications of CONFIDENTIAL, SECRET and TOP 
SECRET.
    (2) Unclassified information bearing either of the foregoing 
administrative designations cannot be protected from release under the 
national security exemption of the Freedom of Information Act (although 
other exemptions may be available).
    (e) Security Clearances. No person shall be given access to 
classified information or material unless a favorable background 
investigation has been

[[Page 564]]

completed determining that the individual is trustworthy and that access 
is necessary for the performance of official duties.
    (1) Security Clearance Procedures. (i) The Counsel to the Vice 
President will:
    (A) Be responsible for the processing of full field investigations 
for personnel assigned to the Vice President's staff. Department of 
Defense detailees are processed by the Defense Investigative Service.
    (B) Inform the Staff Security Office of individuals whose full field 
investigations have been satisfactorily completed and approved and of 
any subsequent changes.
    (C) Notify the Staff Security Office as soon as he/she is aware that 
a staff member is planning to terminate his/her employment.
    (ii) The Staff Security Office will provide newly cleared persons 
with a security orientation briefing covering policy and procedures for 
handling classified information and material. After the briefing 
individuals will sign a Statement of Understanding of Security 
Procedures (Attachment 1). This statement will be kept on file by the 
Staff Security Office.
    (iii) There is no such thing as an ``Interim Security Clearance'' 
for persons employed by or detailed to the Office of the Vice President. 
Under no circumstances will uncleared persons be given access to 
classified material. Access to classified material will be denied until 
the individual has had a satisfactorily completed background 
investigation, has received the security orientation briefing and signed 
the Statement of Understanding of Security Procedures.
    (iv) The Staff Security Office, as part of an individual's departure 
debriefing, will remind them of their continuing responsibilities to 
protect classified information to which they have had access during the 
performance of their official duties. After being debriefed, the 
individual will sign a Security Termination Statement acknowledging his 
responsibilities (Attachment 2).
    (2) Satisfactory completion of a background investigation does not 
in itself grant an individual access to classified information. 
Individual clearances for access to classified information or material 
will be controlled by the Staff Security Office and certified in writing 
on an individual basis.
    (f) Access to Classified Material. Each member of the staff who has 
custody or possession of classified information is responsible for 
providing the required degree of protection from unauthorized disclosure 
at all times.
    (1) Classified information and material will only be disclosed to an 
individual after it has been determined that the individual possesses 
the required clearance and has a valid ``need to know.'' Persons 
releasing the information shall be responsible in every case for 
determining the recipient's eligibility for access.
    (2) Access to Sensitive Compartmented Intelligence Information will 
be controlled by the Assistant to the Vice President for National 
Security Affairs.
    (g) Custody and safekeeping of Classified Material. (1) Classified 
material addressed to the Office of the Vice President will normally be 
delivered to and receipted for by the Staff Security Office where it 
will be entered into the classified material control system.
    (i) Staff members receiving classified material from any source by 
any means will personally deliver such material to the Staff Security 
Office for appropriate entry into the classified control system.
    (ii) Conversely, members of the staff desiring to transmit 
classified material will deliver the material to the Staff Security 
Office for handling in accordance with paragraph (h)(5) of this section.
    (2) Storage of Classified Material. (i) Classified material will be 
stored only in accordance with the provisions of ISOO Directive No. 1, 
paragraph IV-F-1 through 4.
    (ii) Filing of unclassified material in security containers is 
prohibited except where the unclassified material is an integral part of 
a file which contains classified material. If extenuating circumstances 
necessitate the use of a security container for storing only 
unclassified material, the container will be marked with a sign stating 
``This container is not used to store

[[Page 565]]

classified material'' or ``Do not store classified material in this 
container.''
    (3) Record of safe locations. The Staff Security Office will assign 
numbers to all security containers used to store classified material in 
the Office of the Vice President. A record of safe numbers, locations 
and date of last combination change will be maintained in the Staff 
Security Office.
    (4) Changing of lock combinations. Combinations of security 
containers will be changed by the Staff Security Office or the Secret 
Service. This service may be requested by contacting the Staff Security 
Office. Combinations will be changed in accordance with the provisions 
of ISOO Directive No. 1, paragraph IV-F-5.
    (5) Records of combinations. Records of combinations shall be 
maintained by the Staff Security Office. Whenever a combination is 
changed, the new combination and other required information will be 
recorded on GSA Optional Form 63. The sealed envelope will then be 
delivered to the Staff Security Office for retention in the vault safe.
    (6) Custodians. Each container used for storage of classified 
material within the Office of the Vice President will have assigned a 
primary and alternate custodian. Responsibility for security of these 
containers shall rest with those persons, and their names shall be 
affixed on the outside of the top drawer of each container positioned so 
as to be readily discernible. Optional Form 63 shall be used for this 
purpose.
    (h) Handling of Classified Material--(1) Use of cover sheets. A 
separate cover sheet indicating the classification of the material will 
be fastened to the top page of cover of each CONFIDENTIAL, SECRET or TOP 
SECRET document.
    (2) Unattended documents. Classified material will be under the 
direct supervision of a person with an appropriate security clearance 
and a verified need-to-know at all times when in use. Special care will 
be taken to insure that classified material is not left unsecured or 
unattended in an office.
    (3) Working papers. Working papers are documents, including drafts, 
photographs, etc., created to assist in the formulation and preparation 
of finished papers. Working papers containing classified information 
will be marked with the appropriate classification and provided the same 
degree of protection as that given to other documents of an equal 
category of classification.
    (4) Communications security. Classified information shall not be 
discussed over any voice communications device except as authorized over 
approved secure communications circuits. This restriction also applies 
to electrical transmission of classified material via any unsecure 
circuitry involving teletypes, DEX equipment or other systems of a like 
nature. Appropriate secure facilities for the discussion or transmittal 
of classified material may be arranged by contacting the Staff Security 
Office.
    (5) Transmittal of Classified Material--(i) Outside the Office of 
the Vice President and the White House Complex. The Staff Security 
Office is responsible for transmitting or transferring all classified 
material outside the Office of the Vice President and the White House 
Complex in accordance with the provisions of ISOO Directive No. 1, 
paragraphs I, G and H.
    (ii) Within the Office of the Vice President and the White House 
Complex. Transfer or movement of classified material will be 
accomplished only by properly cleared persons handcarrying the material 
to the recipient. The material shall be carried in an envelope marked 
with the appropriate classification. Use of see through messenger 
envelopes is not authorized. Recipients will sign a receipt (GSA 
Optional Form 112) for all material classified SECRET and TOP SECRET. 
Whenever TOP SECRET material is transferred, the Staff Security Office 
will be notified in order to maintain accurate accountability of the 
material. Classified material will never be delivered to an uncleared 
person, left in an unoccupied office, or sent through unclassified mail 
delivery/distribution systems.
    (iii) Staff members requiring the use of classified material at 
conferences or meetings held outside the Washington, DC Metropolitan 
area and who intend to use commercial transportation shall provide the 
material to the Staff Security Office far enough in advance to assure 
that the material will be available

[[Page 566]]

on or before the date needed. This requirement does not apply when 
utilizing government/military transportation. In this case, material may 
be handcarried. The Staff Security Office will brief each staff member 
prior to departure concerning security requirements or arrangements 
needed to safeguard the material while away from his office. For 
meetings or conferences within the Washington, DC Metropolitan area, 
members may handcarry classified material. Use of classified material 
during a conference or meeting requires increased awareness and 
precautionary handling to avoid security violations and/or compromises. 
Staff members using classified material during a meeting or conference 
are responsible for ensuring that the material is properly protected at 
all times, and that personnel present posses appropriate clearances for 
the material being presented.
    (iv) Visits to foreign countries. Special precautions must be taken 
when visiting foreign countries to ensure classified material is 
protected at all times. For all visits to foreign countries a member of 
the staff will be appointed as custodian for all classified material 
reqired for the success of the mission. This individual will be the 
holder of a diplomatic passport which exempts him from customs 
inspections. Individual so designated will coordinate with United States 
embassy personnel in the country to be visited for securing of 
classified material within the embassy compound or other appropriate 
secure area during the course of the visit.
    (6) Preparation and marking of Classified Material. All classified 
material originating within the office of the Vice President will be 
prepared and marked by properly authorized and cleared personnel in 
accordance with ISOO Directive No. 1, paragraphs I, G, and H. A sample 
letter is attached for your guidance (Attachment 3). Derivitive 
information will be prepared and classified in accordance with ISOO 
Directive No. 1, paragraphs II A through C. Questions concerning 
procedures should be directed to the Staff Security Office.
    (7) Reproduction of Classified Material. (i) Reproduction of 
classified material will be accomplished only by properly cleared 
persons.
    (ii) Reproduction of TOP SECRET material will be accomplished only 
by a member of the Staff Security Office or a designated representative 
of that office.
    (iii) Accountability of reproduced classified material will be 
maintained by informing the Staff Security Office of the reproduction of 
SECRET and TOP SECRET material, the number of copies reproduced and 
their disposition.
    (iv) Reproduction machines can retain the imagery of material passed 
through them. Therefore, to avoid inadvertent disclosure of classified 
information through subsequent use of machines, staff members will 
always run machines through four cycles (four blank pages) after the 
last page of the classified material has been reproduced. These pages 
will be destroyed in the same manner as classified material.
    (8) Destruction of Classified Material. (i) SECRET and TOP SECRET 
material will be given to the Staff Security Office for destruction to 
insure destruction is properly recorded and destroyed material is 
removed from the classified control system.
    (ii) CONFIDENTIAL material may be destroyed in the holder's office 
by tearing lengthwise and placing in a ``Burn Bag'' specifically 
designated for classified material.
    (iii) Classified waste material will be separated from other office 
waste material and placed in ``Burn Bags.'' Classified waste material 
includes working papers, notes, drafts of classified correspondence, 
carbon paper, typewriter ribbons and any other material containing 
information requiring destruction. ``Burn Bags'' will be collected daily 
by a member of the White House Executive Protective Service who will 
then dispose of the bags in a secure facility.
    (iv) Typewriter ribbons. Classified material can be reproduced from 
imprints on used typewriter ribbons. Therefore, ribbons which are used 
in the preparation of classified material must be safeguarded 
accordingly, i.e., they will

[[Page 567]]

be stored in a safe at the close of business, destroyed as classified 
waste when no longer serviceable, etc.
    (9) Inventories. The Staff Security Office will conduct inventories 
of all TOP SECRET material charged to the Office of the Vice President 
at least annually to determine the adequacy of control procedures and 
insure accountability.
    (i) Loss or compromise. Any person who has knowledge of loss of 
possible compromise of classified information shall promptly report the 
circumstances to the Staff Security Office for appropriate action in 
accordance with ISOO Directive No. 1, paragraph IV, H.
    (j) Penalties. Any individual breach of security may warrant 
penalties up to and including the separation of the individual from his 
employment or criminal prosecution.
    (k) Special access. Special access authority is required for release 
of Sensitive Compartmented Intelligence Information. The names of 
personnel cleared for access to this category of information are on file 
in the Staff Security Office.



Sec. 2800.5  Policies.

    (a) Basic policy. Except as provided in the Atomic Energy Act of 
1943, as amended, Executive Order 12065, as implemented by ISOO 
Directive No. 1, provides the only basis for classifying information. It 
is the policy of this office to make available to the public as much 
information concerning its activities as possible consistent with the 
need to protect the national security. Accordingly, security 
classification shall be applied only to protect the national security.
    (b) Duration of classification. Classification shall not be 
continued longer than necessary for the protection of national security. 
Each decision to classify requires a simultaneous determination of the 
duration such classification must remain in effect. For further 
guidance, refer to sections 1-401 and 1-402, E.O. 12065.
    (c) Declassification. Declassification of information shall be given 
emphasis comparable to that accorded to classification. Decisions 
concerning declassification shall be based on the loss of the 
information's sensitivity with the passage of time or upon the 
occurrence of a declassification event. For further guidance, refer to 
sections 3-102, 3-103 and 3-104 of E.O. 12065.
    (d) Systematic review for declassification. Systematic review for 
declassification will be in accordance with sections 3-204, 3-401 and 3-
503 of E.O. 12065.
    (e) Mandatory review requests. Requests from a member of the public, 
a government employee, or an agency, to declassify and release 
information will be acted upon within 60 days provided the request 
reasonably identifies the information. After review, the information or 
any reasonably segregable portion thereof that no longer requires 
protection, shall be declassified and released, except as provided in 
section 3-503, E.O. 12065, unless withholding is otherwise warranted 
under applicable law.
    (f) Classification guides. The Chief Counsel, National Security 
Council, has determined that, in view of the limited amount of material 
originally classified by this office, the preparation and publication of 
classification guides is not required.
    (g) Access to Classified Information by historical researchers and 
former Presidential appointees. Access may be granted under the 
provisions of section 4-3 of E.O. 12065; however, access is permissive 
and not mandatory.



Sec. 2800.6  Delegation of classification and declassification authority.

    Pursuant to the provisions of sections 1-201 and 3-103 of E.O. 12065 
of June 28, 1978, the following officials within the Office of the Vice 
President, are designated to originally classify and declassify 
information as ``SECRET'' and/or ``CONFIDENTIAL'':
    (a) Chief of Staff to the Vice President.
    (b) Counsel to the Vice President.
    (c) Executive Assistant to the Vice President.
    (d) Assistant to the Vice President for National Security Affairs.
    (e) Assistant to the Vice President for Issues Development and 
Domestic Policy.
    (f) Additionally, the following individuals are designated to 
declassify ``SECRET'' and/or ``CONFIDENTIAL''

[[Page 568]]

information in accordance with section 3-103 of E.O. 12065:
    (i) Staff Security Officer/Top Secret Control Officer.
    (ii) Assistant Staff Security Officer/Assistant Top Secret Control 
Officer.



Sec. 2800.7  Designation of chairperson for Ad Hoc Committees.

    The Counsel to the Vice President is designated as the responsible 
official to chair Ad Hoc Committees as necessary to act on all 
suggestions and complaints with respect to the administration of the 
information security program.

[[Page 569]]

           Attachment 1 to Part 2800--Employment Agreement & 
                       Indoctrination Statement
    [GRAPHIC] [TIFF OMITTED] TC21OC91.054
    

[[Page 570]]


[GRAPHIC] [TIFF OMITTED] TC21OC91.055


[[Page 571]]


        Attachment 2 to Part 2800--Security Termination Statement
      [GRAPHIC] [TIFF OMITTED] TC25OC91.011
      

[[Page 572]]


                    Attachment 3 to Part 2800--Sample
      [GRAPHIC] [TIFF OMITTED] TC25OC91.012
      


[[Page 573]]



                              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 575]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2002)

                      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)

                   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)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      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)
      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)

[[Page 576]]

    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)
    LXXIII  Department of Agriculture (Part 8301)
     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
         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)

[[Page 577]]

       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)
       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  Office of Procurement and Property Management, 
                Department of Agriculture (Parts 3200--3299)
    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)

[[Page 578]]

     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--599)

                 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, 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)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Part 1800)

                      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)
       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)

[[Page 579]]

       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  Department of the Treasury (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)
        IV  Emergency Steel Guarantee Loan Board (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    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)
        VI  Air Transportation System Stabilization (Parts 1300--
                1399)

                 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 Industry and Security, Department of 
                Commerce (Parts 700--799)
      VIII  Bureau of Economic Analysis, Department of Commerce 
                (Parts 800--899)

[[Page 580]]

        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)
        II  Railroad Retirement Board (Parts 200--399)

[[Page 581]]

       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 (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (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)
       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)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 582]]

        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)
        IV  Office of Housing and Office of Multifamily Housing 
                Assistance Restructuring, Department of Housing 
                and Urban Development (Parts 400--499)
         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--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Section 8 Housing Assistance 
                Programs, Section 202 Direct Loan Program, Section 
                202 Supportive Housing for the Elderly Program and 
                Section 811 Supportive Housing for Persons With 
                Disabilities Program) (Parts 800--899)
        IX  Office of Assistant Secretary for Public and Indian 
                Housing, Department of Housing and Urban 
                Development (Parts 900--1699)
         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)

[[Page 583]]

                           Title 25--Indians

         I  Bureau of Indian Affairs, Department of the Interior 
                (Parts 1--299)
        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 (Parts 1000--1199)
       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--899)

           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)
      VIII  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 800--899)
        IX  National Crime Prevention and Privacy Compact Council 
                (Parts 900--999)
        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            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)

[[Page 584]]

        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)
      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)
       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)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)

[[Page 585]]

                      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
       XII  Defense Logistics Agency (Parts 1200--1299)
       XVI  Selective Service System (Parts 1600--1699)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       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)

               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)

[[Page 586]]

                        Title 35--Panama Canal

         I  Panama Canal Regulations (Parts 1--299)

             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)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Part 1501)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States 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)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)

[[Page 587]]

       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)

          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 Service, Department of 
                Labor (Parts 61-1--61-999)
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
       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 (Parts 300-1--300-99)
       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 (Part 303-70)
       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  Centers for Medicare & Medicaid Services, 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)

[[Page 588]]

                   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)

                       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)

[[Page 589]]

     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)

                      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  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)

[[Page 590]]

        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)
        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 Motor Carrier Safety 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)

[[Page 591]]

        XI  Bureau of Transportation Statistics, Department of 
                Transportation (Parts 1400--1499)
       XII  Transportation Security Administration, Department of 
                Transportation (Parts 1500--1599)

                   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)
        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 593]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2002)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Advanced Research Projects Agency                 32, I
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                            5, LXXIII
  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
  Procurement and Property Management, Office of  7, XXXII
  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
Arctic Research Commission                        45, XXIII

[[Page 594]]

Armed Forces Retirement Home                      5, XI
Army Department                                   32, V
  Engineers, Corps of                             33, II; 36, III
  Federal Acquisition Regulation                  48, 51
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
Broadcasting Board of Governors                   22, V
  Federal Acquisition Regulation                  48, 19
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
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
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
  Federal Acquisition Regulation                  48, 13
  Fishery Conservation and Management             50, VI
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II
  National Marine Fisheries Service               50, II, IV, VI
  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, United States      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
Court Services and Offender Supervision Agency    28, VIII
     for the District of Columbia
Customs Service, United States                    19, I
Defense Contract Audit Agency                     32, I
Defense Department                                5, XXVI; 32, Subtitle A; 
                                                  40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII

[[Page 595]]

  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
District of Columbia, Court Services and          28, VIII
     Offender Supervision Agency for the
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
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
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
Environmental Protection Agency                   5, LIV; 40, I, IV, VII
  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                5, III, LXXVII; 14, VI; 
                                                  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-Import Bank of the United States           5, LII; 12, IV
Family Assistance, Office of                      45, II

[[Page 596]]

Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
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
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 Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
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
General Services Administration                   5, LVII; 41, 105
  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulation          41, 101
  Federal Travel Regulation System                41, Subtitle F

[[Page 597]]

  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
  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
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          5, XLV; 45, Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  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
  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
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
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  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
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
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
Industry and Security, Bureau of                  15, VII
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
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

[[Page 598]]

  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
  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 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, XI; 40, 
                                                  IV
  Drug Enforcement Administration                 21, II
  Federal Acquisition Regulation                  48, 28
  Federal Claims Collection Standards             31, IX
  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 Service,      41, 61; 20, IX
       Office of 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; 14, VI; 
                                                  48, 99
Marine Mammal Commission                          50, V
Maritime Administration                           46, II
Merit Systems Protection Board                    5, II

[[Page 599]]

Micronesian Status Negotiations, Office for       32, XXVII
Mine Safety and Health Administration             30, I
Minerals Management Service                       30, II
Minority Business Development Agency              15, XIV
Miscellaneous Agencies                            1, IV
Monetary Offices                                  31, I
Morris K. Udall Scholarship and Excellence in     36, XVI
     National Environmental Policy Foundation
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 and Community Service, Corporation for   45, XII, XXV
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 Council on Disability                    34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
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, VI
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 Interstate Low-Level Radioactive Waste  10, XVIII
     Commission
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
Oklahoma City National Memorial Trust             36, XV
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, United States        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
[[Page 600]]

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
  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 Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Procurement and Property Management, Office of    7, XXXII
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; 28, XI
  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 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

[[Page 601]]

  Federal Motor Carrier Safety Administration     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
  Surface Transportation Board                    49, X
  Transportation Security Administration          49, XII
  Transportation Statistics Bureau                49, XI
Transportation, Office of                         7, XXXIII
Transportation Security Administration            49, XII
Transportation Statistics Bureau                  49, XI
Travel Allowances, Temporary Duty (TDY)           41, 301
Treasury Department                               5, XXI; 12, XV; 17, IV; 
                                                  31, IX
  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
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       38, I
  Federal Acquisition Regulation                  48, 8
Veterans' Employment and Training Service,        41, 61; 20, IX
     Office of the 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 603]]



List of CFR Sections Affected



All sections in this volume of the Code of Federal Regulations which 
were affected 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 VII
806b  Revised......................................................20278
807  Removed........................................................8671
    Added..........................................................43608
834  Removed.......................................................12313
855  Revised.......................................................47228
901  Revised; eff. 7-28-86.........................................23221
Chapter XII
1285  Revised......................................................35634
    Appendixes E and F added.......................................37396
1286  Revised......................................................33595
Chapter XVI
1602.2  Revised....................................................17621
1602.11  Revised...................................................17621
1602.14  Revised...................................................17621
1602.15  Revised...................................................17621
1602.18  Revised...................................................17621
1602.24  Added.....................................................17621
1602.25  Added.....................................................17621
1605.6  Revised....................................................17621
1605.51  (b) removed...............................................17622
1605.81  (b) revised...............................................17622
1609.1  Revised....................................................17622
1618.3  Removed....................................................17622
1621.1  Revised....................................................17622
1621.3  Added......................................................17622
1624.4  (b) and (c) revised........................................17622
1624.5  (a) revised................................................17622
1624.6  (a) and (e) removed; (b) revised; (j) added................17623
1624.7  Revised....................................................17623
1624.10  Revised...................................................17623
1630.13  Revised...................................................17623
1630.16  Added.....................................................17624
1630.17  Revised...................................................17624
1630.18  Revised...................................................17624
1630.30  Revised...................................................17624
1630.31  Added.....................................................17624
1630.40  (a) introductory text revised; (a)(4) removed.............17624
1630.44  Revised...................................................17624
1630.45  Heading and (a) revised...................................17624
1630.48  Added.....................................................17624
1633.1  (e) and (f) revised........................................17624
1633.2  Revised....................................................17625
1633.6  Revised....................................................17625
1633.7  (b) revised; (c) removed...................................17625
1633.10  Revised...................................................17625
1633.11  Revised...................................................17625
1636.3  (a) revised................................................17625
1636.6  Heading revised............................................17625
1636.8  (a)(3) revised.............................................17625
1639.3  (a)(1) revised.............................................17626
1639.6  Heading revised............................................17626
1639.7  (c) added..................................................17626
1642  Heading revised..............................................17626
1642.3  Revised....................................................17626
1642.4  (a)(4) revised; (b) removed................................17626
1642.5  Removed....................................................17626
1642.7  (a) revised; (c) removed...................................17626
1648.1  Revised....................................................17626
1648.2  Removed....................................................17626
1648.3  (a) and (c) revised........................................17626
1648.4  (b) revised................................................17626
1648.5  (a) and (i) revised........................................17627
1648.6  (a) revised................................................17627
1651.1  (b) revised................................................17627
1651.4  (a), (j), (n)(3) and (r) revised...........................17627
1653.3  (a) and (k) revised........................................17627

[[Page 604]]

1656.2  Revised....................................................17627
1656.5  (a)(1)(iii) added; (e) revised.............................17628
1657  Added........................................................17628
Chapter XX
2003.3  Revised....................................................40681
2003.20  Revised...................................................40681

                                  1987

32 CFR
                                                                   52 FR
                                                                    Page
Chapter VII
807  Revised.......................................................36247
811  Revised.......................................................48675
811a  Revised......................................................48681
818a  Revised......................................................17756
856  Revised.......................................................20074
861  Added.........................................................37609
891  Removed.......................................................44597
Chapter XVI
1602.2  Revised..............................................8890, 24454
1602.11  Revised...................................................24454
1602.14  Revised...................................................24454
1602.15  Revised...................................................24454
1602.18  Revised...................................................24454
1602.24  Revised...................................................24454
1602.25  Revised...................................................24454
1605.6  Revised.....................................................8890
1605.51  (b) removed *.............................................24454
1605.81  (b) revised...............................................24454
1609.1  Revised....................................................24454
1618.3  Removed *..................................................24454
1621.1  Revised....................................................24454
1621.3  Revised.....................................................8890
1624.4  (b) and (c) revised........................................24455
1624.5  (a) revised................................................24455
1624.6  (a) and (e) removed *; (b) and (j) revised.................24455
1624.7  Revised....................................................24455
1624.10  Revised...................................................24455
1630.13  Revised...................................................24455
1630.16  Revised....................................................8891
    (b) corrected..................................................12641
1630.17  Revised....................................................8891
1630.18  Revised...................................................24456
1630.30  Revised...................................................24456
1630.31  Revised...................................................24456
1630.40  (a) introductory text revised; (a)(4) removed*............24456
------------------------------------------------------------------------
* See also document published at 51 FR 17618, May 14, 1986. For other 
documents related to this amendment, see Pub. L. 99-500; House Report: 
No. 99-977 (Comm. of Conference); House Report: No. 99-731 (Comm. on 
Appropriations); Congressional Record, Vol. 132 (1986): S 14764; 
Congressional Record, Vol. 132 (1986): H 6818.
1630.44  Revised...................................................24456
1630.45  Heading and (a) revised...................................24456
1630.48  Revised...................................................24456
1633.1  (f) revised.................................................8891
    (e) and (f) revised............................................24456
1633.2  Revised....................................................24457
1633.6  Revised..............................................8891, 24457
1633.7  (b) revised; (c) removed*..................................24457
1633.10  Revised...................................................24457
1633.11  Revised...................................................24457
1636.3  (a) revised................................................24457
1636.6  Heading revised............................................24457
1636.8  (a)(3) revised.............................................24457
1639.3  (a)(1) revised.............................................24458
1639.6  Heading revised............................................24458
1639.7  (c) revised................................................24458
1642  Heading revised..............................................24458
1642.3  Revised....................................................24458
1642.4  (a)(4) revised; (b) removed*...............................24458
1642.5  Added......................................................24458
1642.7  (a) revised; (c) removed*..................................24458
1648.1  Revised....................................................24458
1648.2  Removed*...................................................24458
1648.3  (c) revised.................................................8891
    (a) and (c) revised............................................24458
1648.4  (b) revised................................................24458
1648.5  (a) and (i) revised........................................24459
1648.6  (a) revised................................................24459
1651.1  (b) revised................................................24459
1651.4  (a), (j), (n)(3) and (r) revised...........................24459
1653.3  Heading, (a) and (k) revised...............................24459
1656.2  Revised.....................................................8891
1656.5  (e) revised.................................................8892
1657  Revised......................................................24459
1662.6  Revised....................................................13665
1698  Added........................................................24460
Chapter XIX
1900  Revised......................................................46456
Chapter XX
2001.43  (a)(1) revised............................................28418
2003.3  Revised....................................................10190
2003.20  (e) amended...............................................10190
    Revised........................................................28802
    (h)(1) revised..........................................29793, 48367
    (h)(1)(i)(b) corrected.........................................49250
2003.27  Added.....................................................10190
2003.28  Added.....................................................10190
2003.29  Added.....................................................10190
2003.30  Added.....................................................10190
2003.31  Added.....................................................10191
2003.32  Added.....................................................10191

[[Page 605]]

                                  1988

32 CFR
                                                                   53 FR
                                                                    Page
Chapter VII
809d  Removed......................................................49320
818  Revised.......................................................24688
838  Added.........................................................30255
855  Authority citation revised....................................19297
855.15  Table 1 revised............................................19297
884  Revised........................................................4014
887  Revised.........................................................876
Chapter XII
1285  Revised......................................................27963
1285.8  (e), (f), and (g) redesignated as (f), (g), and (h); new 
        (e) added..................................................38716
1285  Appendix G amended...........................................38716
1293  Added........................................................45462
Chapter XVI
1636.9  (c) and (d) removed........................................25328
Chapter XIX
1900.43  (e) added.................................................32388
1900.44  Added.....................................................32388
Chapter XX
2003.20  Revised...................................................38279

                                  1989

32 CFR
                                                                   54 FR
                                                                    Page
Chapter VII
806b.13  (a)(3) revised; (b) (19) and (20) added...................13521
    (b)(20) correctly designated; (b)(20)(i) corrected.............14957
861.6  (d)(1) (i) through (xi) revised; (d)(1) (xii) and (xiii) 
        added......................................................31185
863  Added..........................................................1169
Chapter XVI
1656.5  (a)(1)(iii) removed........................................27001
1697  Added........................................................48098

                                  1990

32 CFR
                                                                   55 FR
                                                                    Page
Chapter VII
806b.13  (b)(6)(iii) revised.......................................31384
    (a)(5) revised.................................................42370
807  Revised.......................................................36631
813  Revised.......................................................20787
836  Removed.......................................................20787
842  Revised........................................................2809
842.49  (f) revised................................................32076
842.57  (a)(4) amended; (b) revised; (c) removed; (d) and (e) 
        redesignated as (c) and (d)................................32076
842.84  (a)(2) introductory text, (iv), (b)(3) introductory text, 
        and (iv) amended...........................................32077
842.89  (a) and (d) revised........................................32077
842.95  (b) revised................................................32077
842.109  (d) revised...............................................32077
847  Removed.......................................................18600
Chapter XII
1286  Appendix H amended...........................................32913
Chapter XX
2001.44  (c)(1) revised............................................38030

                                  1991

32 CFR
                                                                   56 FR
                                                                    Page
Chapter VII
806b  Authority citation revised...................................33384
806b.13  (b)(19)(i), (ii) and (iii) removed; (b)(20) redesignated 
        as (b)(19).................................................33384
    (b)(7) and (10) revised........................................42939
    (b)(7)(i) and (10)(i) revised..................................60923
811  Revised.........................................................953
811.8  (a) table corrected.........................................10945
    Corrected......................................................12583
842.2  (e) amended..................................................1574
842.11  (d) removed; (e) redesignated as (d)........................1574
842.23  (a)(2) amended..............................................1574
842.42  (f)(11) added...............................................1574
842.57  (a)(5) introductory text revised; (a)(6) amended; (e) 
        added.......................................................1574
842.84  (b)(3) introductory text revised............................1574
842.88  (e) introductory text revised; (e)(6) added.................1574
842.136  (a) revised; (c)(1) amended................................1574
852  Removed.......................................................13589
861  Revised.......................................................30328
884  Revised........................................................1733
953  Removed.........................................................371
Chapter XII
1285  Revised......................................................65423
1286  Redesignated as part 323.....................................57803
Chapter XIX
1904  Added........................................................41458
1905  Added........................................................41459
Chapter XX
2003.20  (h)(4) added; (j) revised..................................2645
    (j) corrected..................................................27559
    Heading corrected..............................................27901

[[Page 606]]

                                  1992

32 CFR
                                                                   57 FR
                                                                    Page
Chapter VII
806  Revised.......................................................41396
860  Removed........................................................2840
861  Revised.......................................................44683
Chapter XIX
1906  Added........................................................39610
Chapter XXIX
Chapter XXIX  Established..........................................49394

                                  1993

32 CFR
                                                                   58 FR
                                                                    Page
Chapter VII
954  Removed........................................................4902
988  Removed.......................................................13008

                                  1994

32 CFR
                                                                   59 FR
                                                                    Page
Chapter VII
806  Revised.......................................................50835
806b  Revised......................................................53099
806b.13  (b)(6), (14), (15), and (16) introductory texts amended 
                                                                    2746
855  Authority citation revised....................................38367
855.11  (q) added..................................................38367

                                  1995

32 CFR
                                                                   60 FR
                                                                    Page
Chapter VII
806b  Appendix C amended...........................................36224
818a  Removed......................................................57934
855  Revised.......................................................37349
892  Removed.......................................................57934
989  Revised........................................................4548
Chapter XVI
1636.8  (b) revised................................................13908
1690  Removed......................................................15683
Chapter XX
2001  Revised......................................................53492

                                  1996

32 CFR
                                                                   61 FR
                                                                    Page
Chapter VII
801  Removed.......................................................46379
806b  Appendix C amended............................................2917
835  Removed........................................................4351
837  Removed.......................................................43466
838  Removed........................................................4351
843  Removed........................................................4352
848  Removed........................................................4352
856  Removed.......................................................45322
861.3  (d)(1) revised..............................................17841
861.4  (g)(1) and (2) revised......................................17841
862  Removed.......................................................45323
865.0--865.8 (Subpart A)  Revised..................................16047
909  Removed.......................................................45323
950  Removed.......................................................45323
Chapter XX
Chapter  XX Heading revised........................................10854
2001  Authority citation revised...................................10854
2001  Appendix A added...............................................108

                                  1997

32 CFR
                                                                   62 FR
                                                                    Page
Chapter VII
806b  Appendix C amended...........................................17070
813  Removed.........................................................631
818b  Removed........................................................631
844  Removed.........................................................631
Chapter XIX
1900  Revised; interim.............................................32481
1901  Revised; interim.............................................32488
1907  Revised; interim.............................................32494
1908  Added; interim...............................................32495
1909  Added; interim...............................................32498

                                  1998

32 CFR
                                                                   63 FR
                                                                    Page
Chapter VII
888g  Removed......................................................68685
Chapter XIX
1903  Revised......................................................44786
Chapter XXI
2101  Removed......................................................25736

                                  1999

32 CFR
                                                                      64
                                                                    Page
Chapter VII
806  Revised.......................................................72808
806b  Appendix C amended...........................................72032
812  Removed.......................................................17101
863  Removed.......................................................17545
881  Revised.......................................................33400
989  Revised.......................................................38129

[[Page 607]]

Chapter XVIII
Chapter  XVIII Established; interim................................49878
1800.31  (c)(4)(ii) correctly revised..............................53769
Chapter XIX
1903.4   (a)(3)(ii) correctly designated...........................27041
Chapter XX
2001.55  Added.....................................................49389
    (d) corrected..................................................62113
2004  Added........................................................51854

                                  2000

32 CFR
                                                                   65 FR
                                                                    Page
Chapter VII
811  Revised.......................................................64619
811a  Redesignated as 813..........................................64621
813  Redesignated from 811a; new 813 revised.......................64621
818  Removed.......................................................81740
884  Revised.......................................................64348
Chapter XVI
1615  Authority revised............................................60101
1615.1  (b) amended................................................47670
    (a)(1) revised; (a)(2) and (b) amended; (c) added..............60101
1615.4  Introductory text and (b) amended; (a) revised.............60101
1698.2  (b) amended................................................47670
Chapter XX
2001.55  (d) corrected.............................................16320
Chapter XXIX
Chapter  XXIX Removed..............................................30542

                                  2001

32 CFR
                                                                   66 FR
                                                                    Page
Chapter VII
806b  Appendix C amended...........................................54930
989.1  (a) and (b) corrected.......................................16868
989.3  (a)(4)(i), (iii), (c)(2)(iv), (d)(7) and (h)(7) corrected 
                                                                   16868
989.5  (d) corrected...............................................16868
989.12  Corrected..................................................16868
989.13  (c) corrected..............................................16868
989.14  (g) through (j) corrected..................................16868
989.17  Corrected..................................................16868
989.18  (a) corrected.......................................16868, 26793
989.19  (a), (b) and (c)(2) corrected..............................16868
989.20  Corrected..................................................16868
989.21  (a) and (b) corrected......................................16868
989.22  (a), (b) and (d) amended...................................16868
989.29  Corrected..................................................16869
989.32  Corrected..................................................16869
989.34  (a) and (b) corrected......................................16869
989.35  (c) corrected..............................................16869
989.36  Corrected..................................................16869
989.38  (b), (c) and (d) corrected.................................16869
989  Appendices A, B and C  corrected..............................16869
    Appendix C corrected...........................................31177
    Regulation at 66 FR 31177 eff. date corrected..................31976

                                  2002

   (Regulations published from January 1, 2002, through July 1, 2002)

32 CFR
                                                                   67 FR
                                                                    Page
Chapter VII
806b  Appendix C amended...........................................17619
809a  Revised......................................................13718
935  Revised.......................................................16999


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